B-1
| |
B-4
| |
B-5
| |
B-21
| |
B-21
| |
B-23
| |
B-41
| |
B-45
| |
B-47
| |
B-47
| |
B-55
| |
B-56
|
Fund2
|
Investor
|
Share
Classes1
Institutional
|
|
Vanguard
Treasury Money Market Fund |
VUSXX |
— |
|
Vanguard
S&P 500 Growth Index Fund |
— |
VSPGX |
|
Vanguard
S&P 500 Value Index Fund |
— |
VSPVX |
|
Vanguard
S&P Mid-Cap 400 Index Fund |
— |
VSPMX |
|
Vanguard
S&P Mid-Cap 400 Growth Index Fund |
— |
VMFGX |
|
Vanguard
S&P Mid-Cap 400 Value Index Fund |
— |
VMFVX |
|
Vanguard
S&P Small-Cap 600 Index Fund |
— |
VSMSX |
|
Vanguard
S&P Small-Cap 600 Growth Index Fund |
— |
VSGNX |
|
Vanguard
S&P Small-Cap 600 Value Index Fund |
— |
VSMVX |
Vanguard
Fund |
2019 |
2020 |
2021 |
Vanguard
S&P 500 Growth Index Fund |
$— |
$8,499.96 |
$33.76 |
Vanguard
S&P 500 Value Index Fund |
— |
8,499.95 |
1,195.97 |
Vanguard
S&P Mid-Cap 400 Growth Index Fund |
— |
8,499.96 |
2,998.77 |
Vanguard
S&P Mid-Cap 400 Index Fund |
— |
8,499.96 |
8,525.79 |
Vanguard
S&P Mid-Cap 400 Value Index Fund |
— |
8,499.96 |
3,382.44 |
Vanguard
S&P Small-Cap 600 Growth Index Fund |
— |
8,499.96 |
16,999.92 |
Vanguard
S&P Small-Cap 600 Index Fund |
— |
8,499.96 |
8,879.00 |
Vanguard
S&P Small-Cap 600 Value Index Fund |
— |
8,499.96 |
1,160.38
|
Vanguard
Fund |
Capital
Contribution
to Vanguard
|
Percentage
of
Fund’s
Average
Net Assets
|
Percent
of
Vanguard
Funds’
Contribution
|
Vanguard
S&P 500 Growth Index Fund |
$
217,000 |
Less than 0.01%
|
0.09% |
Vanguard
S&P 500 Value Index Fund |
85,000 |
Less than 0.01
|
0.03
|
Vanguard
S&P Mid-Cap 400 Index Fund |
95,000 |
Less than 0.01
|
0.04
|
Vanguard
S&P Mid-Cap 400 Growth Index Fund |
36,000 |
Less than 0.01
|
0.01
|
Vanguard
S&P Mid-Cap 400 Value Index Fund |
32,000 |
Less than 0.01
|
0.01
|
Vanguard
S&P Small-Cap 600 Index Fund |
120,000 |
Less than 0.01
|
0.05
|
Vanguard
S&P Small-Cap 600 Growth Index Fund |
19,000 |
Less than 0.01
|
0.01
|
Vanguard
S&P Small-Cap 600 Value Index Fund |
48,000 |
Less than 0.01
|
0.02
|
Annual
Shared Fund Operating Expenses
(Shared
Expenses Deducted From Fund Assets) | |||
Vanguard
Fund |
2019 |
2020 |
2021
|
Vanguard
S&P 500 Growth Index Fund |
|
|
|
Management
and Administrative Expenses |
0.09% |
0.09% |
0.09% |
Marketing and
Distribution Expenses |
Less than 0.01
|
Less than 0.01
|
Less than 0.01
|
Vanguard
S&P 500 Value Index Fund |
|
|
|
Management
and Administrative Expenses |
0.09% |
0.09% |
0.09% |
Marketing and
Distribution Expenses |
0.01 |
0.01 |
Less than 0.01
|
Vanguard
S&P Mid-Cap 400 Growth Index Fund |
|
|
|
Management
and Administrative Expenses |
0.12% |
0.12% |
0.13% |
Marketing and
Distribution Expenses |
0.01 |
0.01 |
Less than 0.01
|
Vanguard
S&P Mid-Cap 400 Index Fund |
|
|
|
Management
and Administrative Expenses |
0.08% |
0.08% |
0.08% |
Marketing and
Distribution Expenses |
0.01 |
Less than 0.01
|
Less than 0.01
|
Vanguard
S&P Mid-Cap 400 Value Index Fund |
|
|
|
Management
and Administrative Expenses |
0.12% |
0.12% |
0.12% |
Marketing and
Distribution Expenses |
Less than 0.01
|
Less than 0.01
|
Less than 0.01
|
Vanguard
S&P Small-Cap 600 Growth Index Fund |
|
|
|
Management
and Administrative Expenses |
0.13% |
0.12% |
0.13% |
Marketing and
Distribution Expenses |
0.01 |
0.01 |
Less than 0.01
|
Vanguard
S&P Small-Cap 600 Index Fund |
|
|
|
Management
and Administrative Expenses |
0.08% |
0.08% |
0.08% |
Marketing and
Distribution Expenses |
Less than 0.01
|
Less than 0.01
|
Less than 0.01
|
Vanguard
S&P Small-Cap 600 Value Index Fund |
|
|
|
Management
and Administrative Expenses |
0.13% |
0.12% |
0.13% |
Marketing and
Distribution Expenses |
0.01 |
0.01 |
Less than 0.01
|
Name,
Year of Birth |
Position(s)
Held
With
Funds
|
Vanguard
Funds’
Trustee/
Officer
Since |
Principal
Occupation(s)
During
the Past Five Years,
Outside
Directorships,
and
Other Experience |
Number of
Vanguard
Funds
Overseen by
Trustee/Officer
|
Interested
Trustee1
|
|
|
|
|
Mortimer J.
Buckley
(1969)
|
Chairman of
the
Board, Chief
Executive
Officer, and
President
|
January 2018
|
Chairman of
the board (2019–present) of Vanguard and
of each of
the investment companies served by
Vanguard;
chief executive officer (2018–present) of
Vanguard;
chief executive officer, president, and
trustee
(2018–present) of each of the investment
companies
served by Vanguard; president and director
(2017–present)
of Vanguard; and president
(2018–present)
of Vanguard Marketing Corporation.
Chief
investment officer (2013–2017), managing
director
(2002–2017), head of the Retail Investor Group
(2006–2012),
and chief information officer (2001–2006)
of Vanguard.
Chairman of the board (2011–2017) and
trustee
(2009–2017) of the Children’s Hospital of
Philadelphia;
and trustee (2018–present) and vice chair
(2019–present)
of The Shipley School. |
217 |
1 Mr.
Buckley is considered an “interested person” as defined in the 1940 Act
because he is an officer of the Trust. | ||||
Independent
Trustees |
|
|
|
|
Tara
Bunch
(1962) |
Trustee |
November
2021 |
Head of
Global Operations at Airbnb (2020–present).
Vice
President of AppleCare (2012–2020). Member of
the board of
Out & Equal (2002–2006), the University
of
California, Berkeley School of Engineering
(2020–present),
and Santa Clara University’s School of
Business
(2018–present). |
217 |
Emerson U.
Fullwood
(1948) |
Trustee |
January
2008 |
Executive
chief staff and marketing officer for North
America and
corporate vice president (retired 2008) of
Xerox
Corporation (document management products
and
services). Former president of the Worldwide
Channels
Group, Latin America, and Worldwide
Customer
Service and executive chief staff officer of
Developing
Markets of Xerox. Executive in residence
and 2009–2010
Distinguished Minett Professor at the
Rochester
Institute of Technology. Director of SPX
FLOW, Inc.
(multi-industry manufacturing). Director of
the
University of Rochester Medical Center, the
Monroe
Community College Foundation, the United
Way of
Rochester, North Carolina A&T University, and
Roberts
Wesleyan College. Trustee of the University of
Rochester. |
217 |
Name,
Year of Birth |
Position(s)
Held
With
Funds
|
Vanguard
Funds’
Trustee/
Officer
Since |
Principal
Occupation(s)
During
the Past Five Years,
Outside
Directorships,
and
Other Experience |
Number of
Vanguard
Funds
Overseen by
Trustee/Officer
|
Amy
Gutmann
(1949) |
Trustee |
June
2006 |
President
(2004–present) of the University of
Pennsylvania.
Christopher H. Browne Distinguished
Professor of
Political Science, School of Arts and
Sciences, and
professor of communication, Annenberg
School for
Communication, with secondary faculty
appointments
in the Department of Philosophy, School
of Arts and
Sciences, and at the Graduate School of
Education,
University of Pennsylvania. |
217 |
F. Joseph
Loughrey
(1949) |
Trustee |
October
2009 |
President and
chief operating officer (retired 2009) and
vice chairman
of the board (2008–2009) of Cummins
Inc.
(industrial machinery). Chairman of the board of
Hillenbrand,
Inc. (specialized consumer services).
Director of
the V Foundation. Member of the advisory
council for
the College of Arts and Letters and chair of
the advisory
board to the Kellogg Institute for
International
Studies, both at the University of Notre
Dame.
Chairman of the board of Saint Anselm College. |
217 |
Mark
Loughridge
(1953) |
Lead
Independent
Trustee |
March
2012 |
Senior vice
president and chief financial officer (retired
2013) of IBM
(information technology services).
Fiduciary
member of IBM’s Retirement Plan
Committee
(2004–2013), senior vice president and
general
manager (2002–2004) of IBM Global Financing,
vice
president and controller (1998–2002) of IBM, and
a variety of
other prior management roles at IBM.
Member of the
Council on Chicago Booth. |
217 |
Scott C.
Malpass
(1962) |
Trustee |
March
2012 |
Chief
investment officer and vice president of the
University of
Notre Dame (retired 2020). Assistant
professor of
finance at the Mendoza College of
Business,
University of Notre Dame (retired 2020), and
member of the
Notre Dame 403(b) Investment
Committee.
Member of the board of Catholic
Investment
Services, Inc. (investment advisors) and
the board of
superintendence of the Institute for the
Works of
Religion. |
217 |
Deanna
Mulligan
(1963) |
Trustee |
January
2018 |
Board chair
(2020), chief executive officer (2011–2020),
and president
(2010–2019) of The Guardian Life
Insurance
Company of America. Chief operating officer
(2010–2011)
and executive vice president (2008–2010)
of Individual
Life and Disability of The Guardian Life
Insurance
Company of America. Member of the board
of the
Economic Club of New York. Trustee of the
Partnership
for New York City (business leadership),
the Chief
Executives for Corporate Purpose, the New
York-Presbyterian
Hospital, and the Bruce Museum
(arts and
science). Member of the Advisory Council for
the Stanford
Graduate School of Business. |
217 |
André F.
Perold
(1952) |
Trustee |
December
2004 |
George Gund
Professor of Finance and Banking,
Emeritus at
the Harvard Business School (retired
2011). Chief
investment officer and co-managing
partner of
HighVista Strategies LLC (private
investment
firm). Board member (2018–present) of RIT
Capital
Partners (investment firm); investment
committee
member of Partners Health Care System. |
217 |
Name,
Year of Birth |
Position(s)
Held
With
Funds
|
Vanguard
Funds’
Trustee/
Officer
Since |
Principal
Occupation(s)
During
the Past Five Years,
Outside
Directorships,
and
Other Experience |
Number of
Vanguard
Funds
Overseen by
Trustee/Officer
|
Sarah Bloom
Raskin
(1961) |
Trustee |
January
2018 |
Deputy
secretary (2014–2017) of the United States
Department of
the Treasury. Governor (2010–2014) of
the Federal
Reserve Board. Commissioner
(2007–2010)
of financial regulation for the State of
Maryland.
Professor (2020–present), Distinguished
Fellow of the
Global Financial Markets Center
(2020–present),
and Rubenstein Fellow (2017–2020) of
Duke
University; trustee (2017–present) of Amherst
College;
member of the Amherst College Investment
Committee
(2019–present); and member of the
Regenerative
Crisis Response Committee
(2020–present). |
217 |
David
Thomas
(1956) |
Trustee |
July
2021 |
President of
Morehouse College (2018–present).
Professor of
Business Administration Emeritus at
Harvard
University (2017–2018) and Dean (2011–2016)
and Professor
of Management at Georgetown
University,
McDonough School of Business
(2016–2017).
Director of DTE Energy Company
(2013–present).
Trustee of Common Fund
(2019–present). |
217 |
Peter F.
Volanakis
(1955) |
Trustee |
July
2009 |
President and
chief operating officer (retired 2010) of
Corning
Incorporated (communications equipment)
and director
of Corning Incorporated (2000–2010) and
Dow Corning
(2001–2010). Director (2012) of SPX
Corporation
(multi-industry manufacturing). Overseer
of the Amos
Tuck School of Business Administration,
Dartmouth
College (2001–2013). Chairman of the
board of
trustees of Colby-Sawyer College. Member of
the BMW Group
Mobility Council. |
217 |
Executive
Officers |
|
|
|
|
Christine M.
Buchanan
(1970) |
Chief
Financial
Officer and
Acting
Treasurer |
November
2017 |
Principal of
Vanguard. Chief financial officer
(2021–present)
and treasurer (2017–present; acting
October
2021–present) of each of the investment
companies
served by Vanguard. Partner (2005–2017) at
KPMG (audit,
tax, and advisory services). |
217 |
David
Cermak
(1960) |
Finance
Director |
October
2019 |
Principal of
Vanguard. Finance director (2019–present)
of each of
the investment companies served by
Vanguard.
Managing director and head (2017–present)
of Vanguard
Investments Singapore. Managing director
and head
(2017–2019) of Vanguard Investments Hong
Kong.
Representative director and head (2014–2017)
of Vanguard
Investments Japan. |
217 |
John
Galloway
(1973) |
Investment
Stewardship
Officer |
September
2020 |
Principal of
Vanguard. Investment stewardship officer
(2020–present)
of each of the investment companies
served by
Vanguard. Head of Investor Advocacy
(2020–present)
and head of Marketing Strategy and
Planning
(2017–2020) at Vanguard. Deputy Assistant to
the President
of the United States (2015). |
217 |
Peter
Mahoney
(1974) |
Controller |
May
2015 |
Principal of
Vanguard. Controller (2015–present) of
each of the
investment companies served by
Vanguard.
Head of International Fund Services (2008–
2014) at
Vanguard. |
217 |
Anne E.
Robinson
(1970) |
Secretary |
September
2016 |
General
counsel (2016–present) of Vanguard.
Secretary
(2016–present) of Vanguard and of each of
the
investment companies served by Vanguard.
Managing
director (2016–present) of Vanguard.
Managing
director and general counsel of Global Cards
and Consumer
Services (2014–2016) at Citigroup.
Counsel
(2003–2014) at American Express. |
217 |
Name,
Year of Birth |
Position(s)
Held
With
Funds
|
Vanguard
Funds’
Trustee/
Officer
Since |
Principal
Occupation(s)
During
the Past Five Years,
Outside
Directorships,
and
Other Experience |
Number of
Vanguard
Funds
Overseen by
Trustee/Officer
|
Michael
Rollings
(1963) |
Finance
Director |
February
2017 |
Finance
director (2017–present) and treasurer (2017)
of each of
the investment companies served by
Vanguard.
Managing director (2016–present) of
Vanguard.
Chief financial officer (2016–present) of
Vanguard.
Director (2016–present) of Vanguard
Marketing
Corporation. Executive vice president and
chief
financial officer (2006–2016) of MassMutual
Financial
Group. |
217 |
John E.
Schadl
(1972) |
Chief
Compliance
Officer |
March
2019 |
Principal of
Vanguard. Chief compliance officer
(2019–present)
of Vanguard and of each of the
investment
companies served by Vanguard. Assistant
vice
president (2019–present) of Vanguard Marketing
Corporation. |
217
|
Trustee |
Aggregate
Compensation
From
the
Funds1
|
Pension or
Retirement
Benefits
Accrued as Part of
the Funds’
Expenses1
|
Accrued
Annual
Retirement
Benefit at
January 1,
20211
|
Total
Compensation
From All
Vanguard
Funds Paid
to Trustees2
|
Mortimer J.
Buckley |
— |
— |
— |
— |
Tara
Bunch4
|
— |
— |
— |
— |
Emerson U.
Fullwood |
$2,139 |
— |
— |
$287,500 |
Amy
Gutmann |
2,139 |
— |
— |
287,500 |
F. Joseph
Loughrey |
2,269 |
— |
— |
307,500 |
Mark
Loughridge |
2,593 |
— |
— |
357,500 |
Scott C.
Malpass |
2,139 |
— |
— |
287,500 |
Deanna
Mulligan |
2,139 |
— |
— |
287,500 |
André F.
Perold |
2,139 |
— |
— |
287,500 |
Sarah Bloom
Raskin |
2,269 |
— |
— |
307,500 |
David A.
Thomas5
|
204 |
— |
— |
— |
Peter F.
Volanakis |
2,269 |
— |
— |
307,500 |
Vanguard
Fund |
Trustee
|
Dollar Range
of
Fund
Shares
Owned by
Trustee |
Aggregate
Dollar Range
of Vanguard
Fund Shares
Owned by
Trustee |
Vanguard
S&P 500 Growth Index Fund |
Mortimer J. Buckley
|
— |
Over $100,000
|
|
Emerson U. Fullwood
|
— |
Over $100,000
|
|
Amy Gutmann
|
— |
Over $100,000
|
|
F. Joseph Loughrey
|
— |
Over $100,000
|
|
Mark Loughridge
|
— |
Over $100,000
|
|
Scott C. Malpass
|
— |
Over $100,000
|
|
Deanna Mulligan
|
— |
Over $100,000
|
|
André F. Perold
|
— |
Over $100,000
|
|
Sarah Bloom Raskin
|
— |
Over $100,000
|
|
Peter F. Volanakis
|
— |
Over $100,000
|
|
|
|
|
Vanguard
S&P 500 Value Index Fund |
Mortimer J. Buckley
|
— |
Over $100,000
|
|
Emerson U. Fullwood
|
— |
Over $100,000
|
|
Amy Gutmann
|
— |
Over $100,000
|
|
F. Joseph Loughrey
|
— |
Over $100,000
|
|
Mark Loughridge
|
— |
Over $100,000
|
|
Scott C. Malpass
|
— |
Over $100,000
|
|
Deanna Mulligan
|
— |
Over $100,000
|
|
André F. Perold
|
— |
Over $100,000
|
|
Sarah Bloom Raskin
|
— |
Over $100,000
|
|
Peter F. Volanakis
|
— |
Over $100,000
|
|
|
|
|
Vanguard
S&P Mid-Cap 400 Growth Index Fund |
Mortimer J. Buckley
|
— |
Over $100,000
|
|
Emerson U. Fullwood
|
— |
Over $100,000
|
|
Amy Gutmann
|
— |
Over $100,000
|
|
F. Joseph Loughrey
|
— |
Over $100,000
|
|
Mark Loughridge
|
— |
Over $100,000
|
|
Scott C. Malpass
|
— |
Over $100,000
|
|
Deanna Mulligan
|
— |
Over $100,000
|
|
André F. Perold
|
— |
Over $100,000
|
|
Sarah Bloom Raskin
|
— |
Over $100,000
|
|
Peter F. Volanakis
|
— |
Over $100,000
|
|
|
|
|
Vanguard
S&P Mid-Cap 400 Index Fund |
Mortimer J. Buckley
|
— |
Over $100,000
|
|
Emerson U. Fullwood
|
— |
Over $100,000
|
|
Amy Gutmann
|
— |
Over $100,000
|
|
F. Joseph Loughrey
|
— |
Over $100,000
|
|
Mark Loughridge
|
— |
Over $100,000
|
|
Scott C. Malpass
|
— |
Over $100,000
|
|
Deanna Mulligan
|
Over $100,000
|
Over $100,000
|
|
André F. Perold
|
— |
Over $100,000
|
|
Sarah Bloom Raskin
|
— |
Over $100,000
|
|
Peter F. Volanakis
|
— |
Over $100,000
|
|
|
|
|
Vanguard
Fund |
Trustee
|
Dollar Range
of
Fund
Shares
Owned by
Trustee |
Aggregate
Dollar Range
of Vanguard
Fund Shares
Owned by
Trustee |
Vanguard
S&P Mid-Cap 400 Value Index Fund |
Mortimer J. Buckley
|
— |
Over $100,000
|
|
Emerson U. Fullwood
|
— |
Over $100,000
|
|
Amy Gutmann
|
— |
Over $100,000
|
|
F. Joseph Loughrey
|
— |
Over $100,000
|
|
Mark Loughridge
|
— |
Over $100,000
|
|
Scott C. Malpass
|
— |
Over $100,000
|
|
Deanna Mulligan
|
— |
Over $100,000
|
|
André F. Perold
|
— |
Over $100,000
|
|
Sarah Bloom Raskin
|
— |
Over $100,000
|
|
Peter F. Volanakis
|
— |
Over $100,000
|
|
|
|
|
Vanguard
S&P Small-Cap 600 Growth Index Fund |
Mortimer J. Buckley
|
— |
Over $100,000
|
|
Emerson U. Fullwood
|
— |
Over $100,000
|
|
Amy Gutmann
|
— |
Over $100,000
|
|
F. Joseph Loughrey
|
— |
Over $100,000
|
|
Mark Loughridge
|
— |
Over $100,000
|
|
Scott C. Malpass
|
— |
Over $100,000
|
|
Deanna Mulligan
|
— |
Over $100,000
|
|
André F. Perold
|
— |
Over $100,000
|
|
Sarah Bloom Raskin
|
— |
Over $100,000
|
|
Peter F. Volanakis
|
— |
Over $100,000
|
|
|
|
|
Vanguard
S&P Small-Cap 600 Index Fund |
Mortimer J. Buckley
|
— |
Over $100,000
|
|
Emerson U. Fullwood
|
— |
Over $100,000
|
|
Amy Gutmann
|
— |
Over $100,000
|
|
F. Joseph Loughrey
|
— |
Over $100,000
|
|
Mark Loughridge
|
— |
Over $100,000
|
|
Scott C. Malpass
|
— |
Over $100,000
|
|
Deanna Mulligan
|
— |
Over $100,000
|
|
André F. Perold
|
— |
Over $100,000
|
|
Sarah Bloom Raskin
|
— |
Over $100,000
|
|
Peter F. Volanakis
|
— |
Over $100,000
|
|
|
|
|
Vanguard
S&P Small-Cap 600 Value Index Fund |
Mortimer J. Buckley
|
— |
Over $100,000
|
|
Emerson U. Fullwood
|
— |
Over $100,000
|
|
Amy Gutmann
|
— |
Over $100,000
|
|
F. Joseph Loughrey
|
— |
Over $100,000
|
|
Mark Loughridge
|
— |
Over $100,000
|
|
Scott C. Malpass
|
— |
Over $100,000
|
|
Deanna Mulligan
|
— |
Over $100,000
|
|
André F. Perold
|
— |
Over $100,000
|
|
Sarah Bloom Raskin
|
— |
Over $100,000
|
|
Peter F. Volanakis
|
— |
Over $100,000
|
Vanguard
Fund |
Share Class
|
Owner and
Address |
Percentage
of Ownership
|
Vanguard
S&P 500 Growth Index Fund |
Institutional Shares
|
ARI STAIMAN ORLANDO, FL
|
65.24%
|
|
|
TIMOTHY ROSSETTI BLUE BELL,
PA |
29.88% |
Vanguard
S&P 500 Value Index Fund |
Institutional
Shares |
NATIONAL FINANCIAL SERVICES
CORPORATION JERSEY CITY,
NJ |
63.88% |
|
|
SAXON & CO PHILADELPHIA,
PA |
6.67% |
|
|
SOUTH DAKOTA COMMUNITY
FOUNDATION PIERRE,
SD |
6.85% |
|
|
SEI PRIVATE TRUST COMPANY OAKS,
PA |
7.07% |
Vanguard
S&P Mid-Cap 400 Growth Index Fund |
Institutional
Shares |
CHARLES SCHWAB & CO INC SAN
FRANCISCO,
CA |
17.51% |
|
|
ICMA RETIREMENT CORPORATION
WASHINGTON,
DC |
14.58% |
|
|
NATIONAL FINANCIAL SERVICES
CORPORATION JERSEY CITY,
NJ |
10.69% |
|
|
SAXON & CO PHILADELPHIA,
PA |
11.82% |
|
|
US BANK NA Milwaukee,
WI |
31.60% |
|
|
TROWE PRICE RETIREMENT PLAN
SERVICES INC FBO VIRGINIA
HOSPITAL BENEFIT 401K PLAN
OWINGS MILLS,
MD |
8.22% |
Vanguard
S&P Mid-Cap 400 Index Fund |
Institutional
Shares |
MITRA & CO MILWAUKEE,
WI |
7.31% |
|
|
FIDELITY INVESTMENTS
INSTITUTIONAL OPERATIONS CO
COVINGTON,
KY |
14.21% |
|
|
NATIONAL FINANCIAL SERVICES
CORPORATION JERSEY CITY,
NJ |
8.58% |
|
|
PRINCOR FINANCIAL SERVICES COR
FBO PLIC VARIOUS
RETIREMENTPLANS DES MOINES,
IA |
11.32% |
|
|
VOYA INSTITUTIONAL TRUST CO FBO
CORE MARKET SOLUTIONS
BRAINTREE,
MA |
7.41% |
Vanguard
S&P Mid-Cap 400 Value Index Fund |
Institutional
Shares |
ASCENSUS TRUST COMPANY FBO
OMNIBUS REINVEST FARGO,
ND |
10.26% |
|
|
CHARLES SCHWAB & CO INC SAN
FRANCISCO,
CA |
9.50% |
|
|
TROWE PRICE RETIREMENT PLAN
SERVICES INC FBO EXPEDITORS
INTERNATIONAL OF WASHINGTON
INC 401K PLAN OWINGS MILLS,
MD |
30.40% |
|
|
THE PEDDIE SCHOOL HIGHTSTOWN,
NJ |
7.61% |
|
|
US BANK NA Milwaukee,
WI |
11.11% |
|
|
VOYA INSTITUTIONAL TRUST
COMPANY FBO ARVEST Braintree,
MA |
27.77% |
Vanguard
S&P Small-Cap 600 Index Fund |
Institutional
Shares |
FIDELITY INVESTMENTS
INSTITUTIONAL OPERATIONS CO
COVINGTON,
KY |
21.68% |
|
|
NATIONAL FINANCIAL SERVICES
CORPORATION JERSEY CITY,
NJ |
10.52% |
|
|
PRINCOR FINANCIAL SERVICES COR
FBO PLIC VARIOUS RETIREMENT
PLANS DES MOINES,
IA |
9.09% |
|
|
TIAA, FSB SAINT LOUIS,
MO |
5.23% |
Vanguard
Fund |
Share Class
|
Owner and
Address |
Percentage
of Ownership
|
Vanguard
S&P Small-Cap 600 Value Index Fund |
Institutional
Shares |
CHARLES H. REVSON FOUNDATION
NEW YORK,
NY |
8.99% |
|
|
GORDON IRLAM LOS ALTOS,
CA |
13.08% |
|
|
MAC & CO PITTSBURGH,
PA |
10.23% |
|
|
MG TRUST LEGACY WTRISC PHOENIX,
AZ |
27.96% |
|
|
MID ATLANTIC TRUST COMPANY FBO
MATC OMNIBUS DIV REINVEST LTCG
PITTSBURGH,
PA |
10.04% |
|
|
NATIONAL FINANCIAL SERVICES
CORPORATION JERSEY CITY,
NJ |
9.16% |
|
|
TRUSTEES OF DONATIONS TO THE
PROTESTANT EPISCOPAL CHURCH
BOSTON,
MA |
15.20%
|
Vanguard
Fund |
Owner
|
Percentage
of Ownership
|
Vanguard
S&P 500 Growth ETF |
Charles Schwab & Co., Inc.
|
14.36%
|
|
JPMorgan Chase Bank, National
Association |
8.06% |
|
Merrill Lynch, Pierce, Fenner
& Smith Incorporated |
6.65% |
|
National Financial Services LLC
|
13.46%
|
|
TD Ameritrade Clearing, Inc.
|
8.49% |
|
Vanguard Marketing Corporation
|
18.24%
|
Vanguard
S&P 500 Value ETF |
Charles Schwab & Co., Inc.
|
17.55%
|
|
Merrill Lynch, Pierce, Fenner
& Smith Incorporated |
12.71%
|
|
Morgan Stanley DW Inc.
|
6.01% |
|
National Financial Services LLC
|
12.87%
|
|
TD Ameritrade Clearing, Inc.
|
6.92% |
|
Vanguard Marketing Corporation
|
10.51%
|
Vanguard
S&P Mid-Cap 400 ETF |
Charles Schwab & Co., Inc.
|
10.23%
|
|
Morgan Stanley DW Inc.
|
8.93% |
|
National Financial Services LLC
|
13.65%
|
|
Pershing LLC
|
6.64% |
|
State Street Bank and Trust
Company |
7.71% |
|
Vanguard Marketing
Corporation |
13.06% |
Vanguard
S&P Mid-Cap 400 Growth ETF |
Charles Schwab & Co.,
Inc. |
18.95% |
|
Merrill Lynch, Pierce, Fenner
& Smith Incorporated |
5.51% |
|
National Financial Services
LLC |
11.99% |
|
TD Ameritrade Clearing,
Inc. |
5.50% |
|
Vanguard Marketing
Corporation |
32.82% |
Vanguard
S&P Mid-Cap 400 Value ETF |
Charles Schwab & Co.,
Inc. |
20.57% |
|
National Financial Services
LLC |
14.74% |
|
SEI
PV/GWP |
7.06% |
|
Vanguard Marketing
Corporation |
25.59% |
Vanguard
Fund |
Owner
|
Percentage
of Ownership
|
Vanguard
S&P Small-Cap 600 ETF |
Charles Schwab & Co.,
Inc. |
19.34% |
|
Merrill Lynch, Pierce, Fenner
& Smith Incorporated |
5.37% |
|
Morgan Stanley DW
Inc. |
6.02% |
|
National Financial Services
LLC |
16.11% |
|
TD Ameritrade Clearing,
Inc. |
7.48% |
|
Vanguard Marketing
Corporation |
12.91% |
Vanguard
S&P Small-Cap 600 Growth ETF |
Charles Schwab & Co.,
Inc. |
18.34% |
|
Edward D. Jones &
Co. |
5.01% |
|
National Financial Services
LLC |
14.74% |
|
TD Ameritrade Clearing,
Inc. |
9.93% |
|
Vanguard Marketing
Corporation |
22.11% |
Vanguard
S&P Small-Cap 600 Value ETF |
Charles Schwab & Co.,
Inc. |
18.94% |
|
National Financial Services
LLC |
15.24% |
|
Pershing
LLC |
6.16% |
|
TD Ameritrade Clearing,
Inc. |
11.03% |
|
Vanguard Marketing
Corporation |
22.24%
|
Vanguard
Fund |
Owner
|
Percentage
of Ownership
|
Vanguard
S&P Mid-Cap 400 Growth Index Fund |
Vanguard Marketing Corporation
|
28.23%
|
Vanguard
Fund |
2019 |
2020 |
2021
|
Vanguard
S&P 500 Growth Index Fund |
$
362,000 |
$
491,000 |
$
787,000 |
Vanguard
S&P 500 Value Index Fund |
151,000 |
186,000 |
301,000 |
Vanguard
S&P Mid-Cap 400 Index Fund |
324,000 |
306,000 |
390,000 |
Vanguard
S&P Mid-Cap 400 Growth Index Fund |
148,000 |
135,000 |
157,000 |
Vanguard
S&P Mid-Cap 400 Value Index Fund |
136,000 |
117,000 |
122,000 |
Vanguard
S&P Small-Cap 600 Index Fund |
310,000 |
327,000 |
466,000 |
Vanguard
S&P Small-Cap 600 Growth Index Fund |
67,000 |
52,000 |
72,000 |
Vanguard
S&P Small-Cap 600 Value Index Fund |
61,000 |
67,000 |
160,000 |
Portfolio
Manager |
|
No. of
accounts
|
Total assets
|
No. of
accounts with
performance-based
fees
|
Total assets
in
accounts
with
performance-based
fees
|
William
Coleman |
Registered
investment companies1
|
54 |
$
1.3T |
0 |
$
0 |
|
Other
pooled investment vehicles |
12 |
$
53B |
0 |
$
0 |
|
Other
accounts |
0 |
$
0 |
0 |
$
0 |
Donald
Butler |
Registered
investment companies2
|
14 |
$
1.5T |
0 |
$
0 |
|
Other
pooled investment vehicles |
1 |
$
3.5B |
0 |
$
0 |
|
Other
accounts |
0 |
$
0 |
0 |
$
0 |
Awais Khan
|
Registered
investment companies3
|
13 |
$
270B |
0 |
$
0 |
|
Other
pooled investment vehicles |
0 |
$
0 |
0 |
$
0 |
|
Other
accounts |
0 |
$
0 |
0 |
$
0 |
Michelle
Louie |
Registered
investment companies4
|
13 |
$
1.2T |
0 |
$
0 |
|
Other
pooled investment vehicles |
0 |
$
0 |
0 |
$
0 |
|
Other
accounts |
0 |
$
0 |
0 |
$
0 |
Vanguard
Fund |
Securities
Lending Activities |
Vanguard
S&P 500 Growth Index Fund |
|
Gross
income from securities lending activities
|
$1 |
Fees paid
to securities lending agent from a revenue split
|
$0 |
Fees paid for
any cash collateral management service (including fees deducted from a
pooled cash
collateral
reinvestment vehicle) that are not included in the revenue
split
|
$0 |
Administrative
fees not included in revenue split |
$0 |
Indemnification
fee not included in revenue split
|
$0 |
Rebate (paid
to borrower) |
$0 |
Other fees
not included in revenue split (specify)
|
$0 |
Aggregate
fees/compensation for securities lending activities |
$0 |
Net
income from securities lending activities
|
$1 |
Vanguard
S&P 500 Value Index Fund |
|
Gross
income from securities lending activities
|
$22,962
|
Fees paid
to securities lending agent from a revenue split
|
$0 |
Fees paid for
any cash collateral management service (including fees deducted from a
pooled cash
collateral
reinvestment vehicle) that are not included in the revenue
split
|
$12 |
Administrative
fees not included in revenue split |
$967 |
Indemnification
fee not included in revenue split
|
$0 |
Rebate (paid
to borrower) |
$11 |
Other fees
not included in revenue split (specify)
|
$0 |
Aggregate
fees/compensation for securities lending activities |
$990 |
Net
income from securities lending activities
|
$21,972 |
Vanguard
S&P MidCap 400 Growth Index Fund |
|
Gross
income from securities lending activities
|
$9,332
|
Fees paid
to securities lending agent from a revenue split
|
$0 |
Fees paid for
any cash collateral management service (including fees deducted from a
pooled cash
collateral
reinvestment vehicle) that are not included in the revenue
split
|
$34 |
Administrative
fees not included in revenue split |
$367 |
Indemnification
fee not included in revenue split
|
$0 |
Rebate (paid
to borrower) |
$0 |
Other fees
not included in revenue split (specify)
|
$0 |
Aggregate
fees/compensation for securities lending activities |
$401 |
Net
income from securities lending activities
|
$8,931 |
Vanguard
S&P MidCap 400 Index Fund |
|
Gross
income from securities lending activities
|
$86,648
|
Fees paid
to securities lending agent from a revenue split
|
$0 |
Fees paid for
any cash collateral management service (including fees deducted from a
pooled cash
collateral
reinvestment vehicle) that are not included in the revenue
split
|
$205 |
Administrative
fees not included in revenue split |
$2,403
|
Indemnification
fee not included in revenue split
|
$0 |
Rebate (paid
to borrower) |
$0
|
Vanguard
Fund |
Securities
Lending Activities |
Other fees
not included in revenue split (specify)
|
$0 |
Aggregate
fees/compensation for securities lending activities |
$2,608
|
Net
income from securities lending activities
|
$84,040 |
Vanguard
S&P MidCap 400 Value Index Fund |
|
Gross
income from securities lending activities
|
$42,532
|
Fees paid
to securities lending agent from a revenue split
|
$0 |
Fees paid for
any cash collateral management service (including fees deducted from a
pooled cash
collateral
reinvestment vehicle) that are not included in the revenue
split
|
$67 |
Administrative
fees not included in revenue split |
$1,081
|
Indemnification
fee not included in revenue split
|
$0 |
Rebate (paid
to borrower) |
$0 |
Other fees
not included in revenue split (specify)
|
$0 |
Aggregate
fees/compensation for securities lending activities |
$1,148
|
Net
income from securities lending activities
|
$41,384 |
Vanguard
S&P SmallCap 600 Growth Index Fund |
|
Gross
income from securities lending activities
|
$78,776
|
Fees paid
to securities lending agent from a revenue split
|
$0 |
Fees paid for
any cash collateral management service (including fees deducted from a
pooled cash
collateral
reinvestment vehicle) that are not included in the revenue
split
|
$159 |
Administrative
fees not included in revenue split |
$2,519
|
Indemnification
fee not included in revenue split
|
$0 |
Rebate (paid
to borrower) |
$0 |
Other fees
not included in revenue split (specify)
|
$0 |
Aggregate
fees/compensation for securities lending activities |
$2,678
|
Net
income from securities lending activities
|
$76,098 |
Vanguard
S&P SmallCap 600 Index Fund |
|
Gross
income from securities lending activities
|
$923,615
|
Fees paid
to securities lending agent from a revenue split
|
$0 |
Fees paid for
any cash collateral management service (including fees deducted from a
pooled cash
collateral
reinvestment vehicle) that are not included in the revenue
split
|
$2,030
|
Administrative
fees not included in revenue split |
$25,769
|
Indemnification
fee not included in revenue split
|
$0 |
Rebate (paid
to borrower) |
$0 |
Other fees
not included in revenue split (specify)
|
$0 |
Aggregate
fees/compensation for securities lending activities |
$27,799
|
Net
income from securities lending activities
|
$895,816 |
Vanguard
S&P SmallCap 600 Value Index Fund |
|
Gross
income from securities lending activities
|
$299,875
|
Fees paid
to securities lending agent from a revenue split
|
$0 |
Fees paid for
any cash collateral management service (including fees deducted from a
pooled cash
collateral
reinvestment vehicle) that are not included in the revenue
split
|
$518 |
Administrative
fees not included in revenue split |
$7,668
|
Indemnification
fee not included in revenue split
|
$0 |
Rebate (paid
to borrower) |
$0 |
Other fees
not included in revenue split (specify)
|
$0 |
Aggregate
fees/compensation for securities lending activities |
$8,186
|
Net
income from securities lending activities
|
$291,689
|
Vanguard
Fund |
2019 |
2020 |
2021
|
Vanguard
S&P 500 Growth Index Fund |
$
23,000 |
$
16,000 |
$
21,000 |
Vanguard
S&P 500 Value Index Fund1
|
10,000 |
11,000 |
20,000 |
Vanguard
S&P Mid-Cap 400 Growth Index Fund |
25,000 |
23,000 |
26,000 |
Vanguard
S&P Mid-Cap 400 Index Fund1
|
31,000 |
27,000 |
47,000 |
Vanguard
S&P Mid-Cap 400 Value Index Fund |
27,000 |
32,000 |
31,000 |
Vanguard
S&P Small-Cap 600 Growth Index Fund2
|
21,000 |
22,000 |
13,000 |
Vanguard
S&P Small-Cap 600 Index Fund1
|
106,000 |
89,000 |
152,000 |
Vanguard
S&P Small-Cap 600 Value Index Fund1
|
19,000 |
37,000 |
74,000 |
Vanguard
Fund |
Regular
Broker or Dealer (or Parent) |
Aggregate
Holdings |
Vanguard
S&P 500 Growth Index Fund |
—
|
— |
Vanguard
S&P 500 Value Index Fund |
Banc of
America Securities LLC |
$
45,220,000 |
|
Citigroup
Global Markets Inc. |
21,349,000 |
|
Goldman Sachs
& Co. LLC |
20,207,000 |
|
J.P. Morgan
Securities LLC |
69,545,000 |
|
Morgan
Stanley & Co. LLC |
22,327,000 |
|
Wells Fargo
Securities, LLC |
27,133,000 |
Vanguard
S&P Mid-Cap 400 Growth Index Fund |
— |
— |
Vanguard
S&P Mid-Cap 400 Index Fund |
— |
— |
Vanguard
S&P Mid-Cap 400 Value Index Fund |
— |
— |
Vanguard
S&P Small-Cap 600 Growth Index Fund |
— |
— |
Vanguard
S&P Small-Cap 600 Index Fund |
— |
— |
Vanguard
S&P Small-Cap 600 Value Index Fund |
— |
— |