For personal use only · The Vanguard Group, Inc. in the US has completed and filed Form NSAR-B (annual report) for Registered Investment Companies with the Securities and Exchange
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US SEC Filing Announcement for the Vanguard® Exchange Traded Funds US SEC Filing Announcement for the Vanguard® Exchange Traded Funds
28 February 2017 Vanguard Investments Australia Ltd announces the following:
ETF ASX CODE
ANNOUNCEMENT
Vanguard® US Total Market Shares Index ETF VTS US SEC Filing of Form NSAR-B
<SEC-DOCUMENT>0000932471-17-003358.txt : 20170227<SEC-HEADER>0000932471-17-003358.hdr.sgml : 20170227<ACCEPTANCE-DATETIME>20170227165002ACCESSION NUMBER: 0000932471-17-003358CONFORMED SUBMISSION TYPE: NSAR-BPUBLIC DOCUMENT COUNT: 4CONFORMED PERIOD OF REPORT: 20161231FILED AS OF DATE: 20170227DATE AS OF CHANGE: 20170227EFFECTIVENESS DATE: 20170227
FILER:
COMPANY DATA: COMPANY CONFORMED NAME: VANGUARD INDEX FUNDS CENTRAL INDEX KEY: 0000036405 IRS NUMBER: 231999755 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231
FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-02652 FILM NUMBER: 17642541
BUSINESS ADDRESS: STREET 1: PO BOX 2600 STREET 2: V26 CITY: VALLEY FORGE STATE: PA ZIP: 19482 BUSINESS PHONE: 6106691000
MAIL ADDRESS: STREET 1: PO BOX 2600 STREET 2: V26 CITY: VALLEY FORGE STATE: PA ZIP: 19482
FORMER COMPANY: FORMER CONFORMED NAME: VANGUARD INDEX FUNDS/ DATE OF NAME CHANGE: 20011121
FORMER COMPANY: FORMER CONFORMED NAME: VANGUARD INDEX TRUST DATE OF NAME CHANGE: 19920703
FORMER COMPANY: FORMER CONFORMED NAME: FIRST INDEX INVESTMENT TRUST DATE OF NAME CHANGE: 19800904<SERIES-AND-CLASSES-CONTRACTS-DATA><EXISTING-SERIES-AND-CLASSES-CONTRACTS><SERIES><OWNER-CIK>0000036405<SERIES-ID>S000002839<SERIES-NAME>Vanguard 500 Index Fund<CLASS-CONTRACT><CLASS-CONTRACT-ID>C000007773<CLASS-CONTRACT-NAME>Investor Shares<CLASS-CONTRACT-TICKER-SYMBOL>VFINX</CLASS-CONTRACT><CLASS-CONTRACT><CLASS-CONTRACT-ID>C000007774<CLASS-CONTRACT-NAME>Admiral Shares<CLASS-CONTRACT-TICKER-SYMBOL>VFIAX</CLASS-CONTRACT><CLASS-CONTRACT><CLASS-CONTRACT-ID>C000092055<CLASS-CONTRACT-NAME>ETF Shares<CLASS-CONTRACT-TICKER-SYMBOL>VOO</CLASS-CONTRACT><CLASS-CONTRACT><CLASS-CONTRACT-ID>C000170274<CLASS-CONTRACT-NAME>Institutional Select Shares<CLASS-CONTRACT-TICKER-SYMBOL>VFFSX</CLASS-CONTRACT><CLASS-CONTRACT><CLASS-CONTRACT-ID>C000179712
<CLASS-CONTRACT-NAME>Institutional Shares</CLASS-CONTRACT><CLASS-CONTRACT><CLASS-CONTRACT-ID>C000179713<CLASS-CONTRACT-NAME>Institutional Plus Shares</CLASS-CONTRACT></SERIES><SERIES><OWNER-CIK>0000036405<SERIES-ID>S000002840<SERIES-NAME>Vanguard Value Index Fund<CLASS-CONTRACT><CLASS-CONTRACT-ID>C000007775<CLASS-CONTRACT-NAME>Investor Shares<CLASS-CONTRACT-TICKER-SYMBOL>VIVAX</CLASS-CONTRACT><CLASS-CONTRACT><CLASS-CONTRACT-ID>C000007776<CLASS-CONTRACT-NAME>Admiral Shares<CLASS-CONTRACT-TICKER-SYMBOL>VVIAX</CLASS-CONTRACT><CLASS-CONTRACT><CLASS-CONTRACT-ID>C000007777<CLASS-CONTRACT-NAME>Institutional Shares<CLASS-CONTRACT-TICKER-SYMBOL>VIVIX</CLASS-CONTRACT><CLASS-CONTRACT><CLASS-CONTRACT-ID>C000007778<CLASS-CONTRACT-NAME>ETF Shares<CLASS-CONTRACT-TICKER-SYMBOL>VTV</CLASS-CONTRACT></SERIES><SERIES><OWNER-CIK>0000036405<SERIES-ID>S000002841<SERIES-NAME>Vanguard Extended Market Index Fund<CLASS-CONTRACT><CLASS-CONTRACT-ID>C000007779<CLASS-CONTRACT-NAME>Investor Shares<CLASS-CONTRACT-TICKER-SYMBOL>VEXMX</CLASS-CONTRACT><CLASS-CONTRACT><CLASS-CONTRACT-ID>C000007780<CLASS-CONTRACT-NAME>Admiral Shares<CLASS-CONTRACT-TICKER-SYMBOL>VEXAX</CLASS-CONTRACT><CLASS-CONTRACT><CLASS-CONTRACT-ID>C000007781<CLASS-CONTRACT-NAME>Institutional Shares<CLASS-CONTRACT-TICKER-SYMBOL>VIEIX</CLASS-CONTRACT><CLASS-CONTRACT><CLASS-CONTRACT-ID>C000007782<CLASS-CONTRACT-NAME>ETF Shares<CLASS-CONTRACT-TICKER-SYMBOL>VXF</CLASS-CONTRACT><CLASS-CONTRACT><CLASS-CONTRACT-ID>C000096110<CLASS-CONTRACT-NAME>Institutional Plus Shares<CLASS-CONTRACT-TICKER-SYMBOL>VEMPX</CLASS-CONTRACT><CLASS-CONTRACT><CLASS-CONTRACT-ID>C000170275<CLASS-CONTRACT-NAME>Institutional Select Shares<CLASS-CONTRACT-TICKER-SYMBOL>VSEMX</CLASS-CONTRACT></SERIES><SERIES><OWNER-CIK>0000036405<SERIES-ID>S000002842<SERIES-NAME>Vanguard Growth Index Fund<CLASS-CONTRACT><CLASS-CONTRACT-ID>C000007783<CLASS-CONTRACT-NAME>Investor Shares<CLASS-CONTRACT-TICKER-SYMBOL>VIGRX</CLASS-CONTRACT><CLASS-CONTRACT><CLASS-CONTRACT-ID>C000007784<CLASS-CONTRACT-NAME>Admiral Shares<CLASS-CONTRACT-TICKER-SYMBOL>VIGAX</CLASS-CONTRACT>
<CLASS-CONTRACT-ID>C000007797<CLASS-CONTRACT-NAME>Institutional Shares<CLASS-CONTRACT-TICKER-SYMBOL>VSCIX</CLASS-CONTRACT><CLASS-CONTRACT><CLASS-CONTRACT-ID>C000007798<CLASS-CONTRACT-NAME>ETF Shares<CLASS-CONTRACT-TICKER-SYMBOL>VB</CLASS-CONTRACT><CLASS-CONTRACT><CLASS-CONTRACT-ID>C000096112<CLASS-CONTRACT-NAME>Institutional Plus Shares<CLASS-CONTRACT-TICKER-SYMBOL>VSCPX</CLASS-CONTRACT></SERIES><SERIES><OWNER-CIK>0000036405<SERIES-ID>S000002846<SERIES-NAME>Vanguard Small-Cap Growth Index Fund<CLASS-CONTRACT><CLASS-CONTRACT-ID>C000007799<CLASS-CONTRACT-NAME>Investor Shares<CLASS-CONTRACT-TICKER-SYMBOL>VISGX</CLASS-CONTRACT><CLASS-CONTRACT><CLASS-CONTRACT-ID>C000007800<CLASS-CONTRACT-NAME>Institutional Shares<CLASS-CONTRACT-TICKER-SYMBOL>VSGIX</CLASS-CONTRACT><CLASS-CONTRACT><CLASS-CONTRACT-ID>C000007801<CLASS-CONTRACT-NAME>ETF Shares<CLASS-CONTRACT-TICKER-SYMBOL>VBK</CLASS-CONTRACT><CLASS-CONTRACT><CLASS-CONTRACT-ID>C000105304<CLASS-CONTRACT-NAME>Admiral Shares<CLASS-CONTRACT-TICKER-SYMBOL>VSGAX</CLASS-CONTRACT></SERIES><SERIES><OWNER-CIK>0000036405<SERIES-ID>S000002847<SERIES-NAME>Vanguard Small-Cap Value Index Fund<CLASS-CONTRACT><CLASS-CONTRACT-ID>C000007802<CLASS-CONTRACT-NAME>Investor Shares<CLASS-CONTRACT-TICKER-SYMBOL>VISVX</CLASS-CONTRACT><CLASS-CONTRACT><CLASS-CONTRACT-ID>C000007803<CLASS-CONTRACT-NAME>Institutional Shares<CLASS-CONTRACT-TICKER-SYMBOL>VSIIX</CLASS-CONTRACT><CLASS-CONTRACT><CLASS-CONTRACT-ID>C000007804<CLASS-CONTRACT-NAME>ETF Shares<CLASS-CONTRACT-TICKER-SYMBOL>VBR</CLASS-CONTRACT><CLASS-CONTRACT><CLASS-CONTRACT-ID>C000105305<CLASS-CONTRACT-NAME>Admiral Shares<CLASS-CONTRACT-TICKER-SYMBOL>VSIAX</CLASS-CONTRACT></SERIES><SERIES><OWNER-CIK>0000036405<SERIES-ID>S000002848<SERIES-NAME>Vanguard Total Stock Market Index Fund<CLASS-CONTRACT><CLASS-CONTRACT-ID>C000007805<CLASS-CONTRACT-NAME>Investor Shares<CLASS-CONTRACT-TICKER-SYMBOL>VTSMX</CLASS-CONTRACT><CLASS-CONTRACT><CLASS-CONTRACT-ID>C000007806<CLASS-CONTRACT-NAME>Admiral Shares<CLASS-CONTRACT-TICKER-SYMBOL>VTSAX</CLASS-CONTRACT><CLASS-CONTRACT><CLASS-CONTRACT-ID>C000007807
</TEXT></DOCUMENT><DOCUMENT><TYPE>EX-99.77B ACCT LTTR<SEQUENCE>2<FILENAME>b77idxtrust123116-2.txt<DESCRIPTION>AUDIT OPINIONS<TEXT>Report of Independent Registered Public AccountingFirm
To the Board of Trustees of Vanguard Index Funds and theShareholders ofVanguard Small-Cap Value Index FundVanguard Small-Cap Growth Index Fund andVanguard Small-Cap Index Fund
In planning and performing our audits of the financialstatements of Vanguard Small-Cap Value Index Fund, VanguardSmall-Cap Growth Index Fund and Vanguard Small-Cap IndexFund (constituting separate portfolios of Vanguard Index Funds,hereafter referred to as the ?Funds?) as of and for the year endedDecember 31, 2016, in accordance with the standards of thePublic Company Accounting Oversight Board (United States), weconsidered the Funds? internal control over financial reporting,including controls over safeguarding securities, as a basis fordesigning our auditing procedures for the purpose of expressingour opinion on the financial statements and to comply with therequirements of Form N-SAR, but not for the purpose ofexpressing an opinion on the effectiveness of the Funds? internalcontrol over financial reporting. Accordingly, we do not expressan opinion on the effectiveness of the Funds? internal controlover financial reporting.
The management of the Funds is responsible for establishing andmaintaining effective internal control over financial reporting. Infulfilling this responsibility, estimates and judgments bymanagement are required to assess the expected benefits andrelated costs of controls. A company?s internal control overfinancial reporting is a process designed to provide reasonableassurance regarding the reliability of financial reporting and thepreparation of financial statements for external purposes inaccordance with generally accepted accounting principles. Acompany's internal control over financial reporting includesthose policies and procedures that (1) pertain to the maintenanceof records that, in reasonable detail, accurately and fairly reflectthe transactions and dispositions of the assets of the company;(2) provide reasonable assurance that transactions are recordedas necessary to permit preparation of financial statements inaccordance with generally accepted accounting principles, andthat receipts and expenditures of the company are being made
only in accordance with authorizations of management andtrustees of the company; and (3) provide reasonable assuranceregarding prevention or timely detection of unauthorizedacquisition, use or disposition of a company?s assets that couldhave a material effect on the financial statements.
Because of its inherent limitations, internal control over financialreporting may not prevent or detect misstatements. Also,projections of any evaluation of effectiveness to future periodsare subject to the risk that controls may become inadequatebecause of changes in conditions, or that the degree ofcompliance with the policies or procedures may deteriorate.
A deficiency in internal control over financial reporting existswhen the design or operation of a control does not allowmanagement or employees, in the normal course of performingtheir assigned functions, to prevent or detect misstatements on atimely basis. A material weakness is a deficiency, or acombination of deficiencies, in internal control over financialreporting, such that there is a reasonable possibility that amaterial misstatement of the Funds? annual or interim financialstatements will not be prevented or detected on a timely basis.
Our consideration of the Funds? internal control over financialreporting was for the limited purpose described in the firstparagraph and would not necessarily disclose all deficiencies ininternal control over financial reporting that might be materialweaknesses under standards established by the Public CompanyAccounting Oversight Board (United States). However, we notedno deficiencies in the Funds? internal control over financialreporting and its operation, including controls over safeguardingsecurities, that we consider to be material weaknesses as definedabove as of December 31, 2016.
This report is intended solely for the information and use ofmanagement and the Board of Trustees of Vanguard Index Fundsand the Securities and Exchange Commission and is not intendedto be and should not be used by anyone other than thesespecified parties.
Report of Independent Registered Public AccountingFirm
To the Board of Trustees of Vanguard Index Funds and theShareholders ofVanguard Growth Index FundVanguard Value Index FundVanguard Large-Cap Index FundVanguard Total Stock Market Index FundVanguard 500 Index FundVanguard Extended Market Index FundVanguard Mid-Cap Index FundVanguard Mid-Cap Growth Index Fund andVanguard Mid-Cap Value Index Fund
In planning and performing our audits of the financialstatements of Vanguard Growth Index Fund, Vanguard ValueIndex Fund, Vanguard Large-Cap Index Fund, Vanguard TotalStock Market Index Fund, Vanguard 500 Index Fund, VanguardExtended Market Index Fund, Vanguard Mid-Cap Index Fund,Vanguard Mid-Cap Growth Index Fund, and Vanguard Mid-CapValue Index Fund (constituting separate portfolios of VanguardIndex Funds, hereafter referred to as the ?Funds?) as of and forthe year ended December 31, 2016, in accordance with thestandards of the Public Company Accounting Oversight Board(United States), we considered the Funds? internal control over
financial reporting, including controls over safeguardingsecurities, as a basis for designing our auditing procedures forthe purpose of expressing our opinion on the financialstatements and to comply with the requirements of Form N-SAR,but not for the purpose of expressing an opinion on theeffectiveness of the Funds? internal control over financialreporting. Accordingly, we do not express an opinion on theeffectiveness of the Funds? internal control over financialreporting.
The management of the Funds is responsible for establishing andmaintaining effective internal control over financial reporting. Infulfilling this responsibility, estimates and judgments bymanagement are required to assess the expected benefits andrelated costs of controls. A company?s internal control overfinancial reporting is a process designed to provide reasonableassurance regarding the reliability of financial reporting and thepreparation of financial statements for external purposes inaccordance with generally accepted accounting principles. Acompany's internal control over financial reporting includesthose policies and procedures that (1) pertain to the maintenanceof records that, in reasonable detail, accurately and fairly reflectthe transactions and dispositions of the assets of the company;(2) provide reasonable assurance that transactions are recordedas necessary to permit preparation of financial statements inaccordance with generally accepted accounting principles, andthat receipts and expenditures of the company are being madeonly in accordance with authorizations of management andtrustees of the company; and (3) provide reasonable assuranceregarding prevention or timely detection of unauthorizedacquisition, use or disposition of a company?s assets that couldhave a material effect on the financial statements.
Because of its inherent limitations, internal control over financialreporting may not prevent or detect misstatements. Also,projections of any evaluation of effectiveness to future periodsare subject to the risk that controls may become inadequatebecause of changes in conditions, or that the degree ofcompliance with the policies or procedures may deteriorate.
A deficiency in internal control over financial reporting existswhen the design or operation of a control does not allowmanagement or employees, in the normal course of performingtheir assigned functions, to prevent or detect misstatements on atimely basis. A material weakness is a deficiency, or acombination of deficiencies, in internal control over financialreporting, such that there is a reasonable possibility that amaterial misstatement of the Funds? annual or interim financialstatements will not be prevented or detected on a timely basis.
Our consideration of the Funds? internal control over financialreporting was for the limited purpose described in the firstparagraph and would not necessarily disclose all deficiencies ininternal control over financial reporting that might be materialweaknesses under standards established by the Public CompanyAccounting Oversight Board (United States). However, we notedno deficiencies in the Funds? internal control over financialreporting and its operation, including controls over safeguardingsecurities, that we consider to be material weaknesses as definedabove as of December 31, 2016.
This report is intended solely for the information and use ofmanagement and the Board of Trustees of Vanguard Index Fundsand the Securities and Exchange Commission and is not intendedto be and should not be used by anyone other than thesespecified parties.
Registrant Name: Vanguard Index FundsFile Number: 811-2652Registrant CIK Number: 0000036405
Items 72, 73 and 74
Because the electronic format for filing Form N-SAR does not provideadequate space for responding to Items 72 through 74 completely, the Registranthas set forth in their entirety the complete responses to the indicated Items orSub-Items below, in accordance with verbal instructions provided to theRegistrant by the staff of the Commission on September 20, 2002, and September23, 2002.
1. Total Income dividends for which record date passed during the period $530,4282. Dividends for a second class of open-end company shares $3,539,0363. Dividends for a third class of open-end company shares $1,047,7234. Dividends for a fourth class of open-end company shares $141,449
Item 73
Distributions per share for which record date passed during the period:
A) 1. Dividends from net investment income $3.976 2. Dividends from a second class of open-end company shares $4.169 3. Dividends from a third class of open-end company shares $4.138 4. Dividends for a fourth class of open-end company shares $1.179
2. Number of shares outstanding for a second class of shares of open-end company shares 878,703 3. Number of shares outstanding for a third class of shares of open-end company shares 276,338 4. Dividends for a fourth class of open-end company shares 162,203
V) 1. Net asset value per share (to the nearest cent) 206.57 2. Net asset value per share of a second class open-end company shares (to the nearest cent) 206.57 3. Net asset value per share of a third class open-end company shares (to the nearest cent) 205.00 4. Dividends for a fourth class of open-end company shares 109.45
1. Total Income dividends for which record date passed during the period $27,9102. Dividends for a second class of open-end company shares $221,5493. Dividends for a third class of open-end company shares $148,5484. Dividends for a fourth class of open-end company shares $222,0075. Dividends for a fifth class of open-end company shares $61,7396. Dividends for a Sixth class of open-end company shares $37,670
Item 73
Distributions per share for which record date passed during the period:
A) 1. Dividends from net investment income $0.951 2. Dividends from a second class of open-end company shares $1.040 3. Dividends from a third class of open-end company shares $1.053 4. Dividends for a fourth class of open-end company shares $2.613 5. Dividends for a fifth class of open-end company shares $1.371 6. Dividends for a sixth class of open-end company shares $1.058
Item 74
U) 1. Number of shares outstanding 27,782 2. Number of shares outstanding for a second class of shares of open-end company shares 217,672 3. Number of shares outstanding for a third class of shares of open-end company shares 145,126 4. Number of shares outstanding for a fourth class of shares of open-end company shares 75,390 5. Number of shares outstanding for a fifth class of shares of open-end company shares 45,765 6. Number of shares outstanding for a sixth class of shares of open-end company shares 44,733
V) 1. Net asset value per share (to the nearest cent) 72.76 2. Net asset value per share of a second class open-end company shares (to the nearest cent) 72.72 3. Net asset value per share of a third class open-end company shares (to the nearest cent)
72.72 4. Net asset value per share of a fourth class open-end company shares (to the nearest cent) 179.47 5. Net asset value per share of a fifth class open-end company shares (to the nearest cent) 95.86 6. Net asset value per share of a sixth class open-end company shares (to the nearest cent) 116.85
1. Total Income dividends for which record date passed during the period $1,930,7822. Dividends for a second class of open-end company shares $2,820,6903. Dividends for a third class of open-end company shares $1,428,8154. Dividends for a fourth class of open-end company shares $1,567,6905. Dividends for a fifth class of open-end company shares $1,282,5106. Dividends for a sixth class of open-end company shares $66,263
Item 73
Distributions per share for which record date passed during the period:
A) 1. Dividends from net investment income $1.024 2. Dividends from a second class of open-end company shares $1.078 3. Dividends from a third class of open-end company shares $1.083 4. Dividends for a fourth class of open-end company shares $2.046 5. Dividends for a fifth class of open-end company shares $2.215 6. Dividends for a sixth class of open-end company shares $1.229
Item 74
U) 1. Number of shares outstanding 1,853,896 2. Number of shares outstanding for a second class of shares of open-end company shares 2,703,472 3. Number of shares outstanding for a third class of shares of open-end company shares 1,416,357 4. Number of shares outstanding for a fourth class of shares of open-end company shares 808,394 5. Number of shares outstanding for a fifth class of shares of open-end company shares 606,641 6. Number of shares outstanding for a sixth class of shares of open-end company shares 77,426
V) 1. Net asset value per share (to the nearest cent)
56.06 2. Net asset value per share of a second class open-end company shares (to the nearest cent) 56.08 3. Net asset value per share of a third class open-end company shares (to the nearest cent) 56.09 4. Net asset value per share of a fourth class open-end company shares (to the nearest cent) 105.18 5. Net asset value per share of a fifth class open-end company shares (to the nearest cent) 115.21 5. Net asset value per share of a sixth class open-end company shares (to the nearest cent) 110.37
1. Total Income dividends for which record date passed during the period $36,1822. Dividends for a second class of open-end company shares $309,9733. Dividends for a third class of open-end company shares $206,9904. Dividends for a fourth class of open-end company shares $607,079Item 73
Distributions per share for which record date passed during the period:
A) 1. Dividends from net investment income $0.845 2. Dividends from a second class of open-end company shares $0.887 3. Dividends from a third class of open-end company shares $0.890 4. Dividends for a fourth class of open-end company shares $2.273
Item 74
U) 1. Number of shares outstanding 43,801 2. Number of shares outstanding for a second class of shares of open-end company shares 370,537 3. Number of shares outstanding for a third class of shares of open-end company shares 239,711 4. Number of shares outstanding for a fourth class of shares of open-end company shares 292,088
V) 1. Net asset value per share (to the nearest cent) 36.24 2. Net asset value per share of a second class open-end company shares (to the nearest cent) 36.23 3. Net asset value per share of a third class open-end company shares (to the nearest cent) 36.23 4. Net asset value per share of a fourth class open-end company shares (to the nearest cent) 92.87
1. Total Income dividends for which record date passed during the period $38,2162. Dividends for a second class of open-end company shares $251,5883. Dividends for a third class of open-end company shares $135,8674. Dividends for a fourth class of open-end company shares $308,113
Item 73
Distributions per share for which record date passed during the period:
A) 1. Dividends from net investment income $0.728 2. Dividends from a second class of open-end company shares $0.796 3. Dividends from a third class of open-end company shares $0.801 4. Dividends for a fourth class of open-end company shares $1.547Item 74
U) 1. Number of shares outstanding 51,262 2. Number of shares outstanding for a second class of shares of open-end company shares 324,863 3. Number of shares outstanding for a third class of shares of open-end company shares 169,829 4. Number of shares outstanding for a fourth class of shares of open-end company shares 206,956
V) 1. Net asset value per share (to the nearest cent) 57.32 2. Net asset value per share of a second class open-end company shares (to the nearest cent) 57.31 3. Net asset value per share of a third class open-end company shares (to the nearest cent) 57.31 4. Net asset value per share of a fourth class open-end company shares (to the nearest cent) 111.33
Series 6 SEC Identifier S000002845 Small Cap IndexClass 1 SEc Identifier C000007795Class 2 SEc Identifier C000007796Class 3 SEc Identifier C000007797Class 4 SEc Identifier C000007798Class 5 SEC Identifier C000096112
Item 72DD
1. Total Income dividends for which record date passed during the period $62,2502. Dividends for a second class of open-end company shares $399,2943. Dividends for a third class of open-end company shares $189,4984. Dividends for a fourth class of open-end company shares $227,3805. Dividends for a fifth class of open-end company shares $120,494
Item 73
Distributions per share for which record date passed during the period:
A) 1. Dividends from net investment income $0.857 2. Dividends from a second class of open-end company shares $0.923 3. Dividends from a third class of open-end company shares $0.929 4. Dividends for a fourth class of open-end company shares $1.930 5. Dividends for a fifth class of open-end company shares $2.703
Item 74
U) 1. Number of shares outstanding 71,269 3. Number of shares outstanding for a second class of shares of open-end company shares 449,721 4. Number of shares outstanding for a third class of shares of open-end company shares 210,959 5. Number of shares outstanding for a fourth class of shares of open-end company shares 125,314 6. Number of shares outstanding for a fifth class of shares of open-end company shares 45,322
V) 1. Net asset value per share (to the nearest cent) 61.75 2. Net asset value per share of a second class open-end company shares (to the nearest cent) 61.77
3. Net asset value per share of a third class open-end company shares (to the nearest cent) 61.77 4. Net asset value per share of a fourth class open-end company shares (to the nearest cent) 128.90 5. Net asset value per share of a fifth class open-end company shares (to the nearest cent) 178.28
1. Total Income dividends for which record date passed during the period $56,6752. Dividends for a second class of open-end company shares $419,5713. Dividends for a third class of open-end company shares $205,7604. Dividends for a fourth class of open-end company shares $172,8525. Dividends for a fifth class of open-end company shares $229,269
Item 73
Distributions per share for which record date passed during the period:
A) 1. Dividends from net investment income $0.480 2. Dividends from a second class of open-end company shares $2.362 3. Dividends from a third class of open-end company shares $0.524 4. Dividends for a fourth class of open-end company shares $2.608 5. Dividends for a fifth class of open-end company shares $1.907
Item 74
U) 1. Number of shares outstanding 115,192 2. Number of shares outstanding for a second class of shares of open-end company shares 183,223 3. Number of shares outstanding for a third class of shares of open-end company shares 403,958 4. Number of shares outstanding for a fourth class of shares of open-end company shares 64,303 5. Number of shares outstanding for a fifth class of shares of open-end company shares 125,761
V) 1. Net asset value per share (to the nearest cent) 35.92 2. Net asset value per share of a second class open-end company shares (to the nearest cent) 162.94 3. Net asset value per share of a third class open-end company shares (to the nearest cent) 35.99 4. Net asset value per share of a fourth class open-end company shares (to the nearest cent) 177.51 5. Net asset value per share of a fifth class open-end company shares (to the nearest cent) 131.55
Series 8 SEC Identifier S000002847 Small Cap Value IndexClass 1 SEC Identifier C000007802Class 2 SEC Identifier C000105305Class 3 SEc Identifier C000007803Class 4 SEc Identifier C000007804
Item 72DD
1. Total Income dividends for which record date passed during the period $38,162
2. Dividends for a second class of open-end company shares $156,3363. Dividends for a third class of open-end company shares $51,7184. Dividends for a fourth class of open-end company shares $160,038Item 73
Distributions per share for which record date passed during the period:
A) 1. Dividends from net investment income $.482 2. Dividends from a second class of open-end company shares $.919 3. Dividends from a third class of open-end company shares $.514 4. Dividends from a fourth class of open-end company shares $2.138Item 74
U) 1. Number of shares outstanding 81,284 2. Number of shares outstanding for a second class of shares of open-end company shares 182,205 3. Number of shares outstanding for a third class of shares of open-end company shares 99,200 4. Number of shares outstanding for a fourth class of shares of open-end company shares 83,032
V) 1. Net asset value per share (to the nearest cent) 29.00 2. Net asset value per share of a second class open-end company shares (to the nearest cent) 51.97 3. Net asset value per share of a third class open-end company shares (to the nearest cent) 29.05 4. Net asset value per share of a fourth class open-end company shares (to the nearest cent) 120.95
Series 9 SEC Identifier S000002846 Small Cap Growth IndexClass 1 SEC Identifier C000007799Class 2 SEC Identifier C000105304Class 3 SEc Identifier C000007800Class 4 SEC Identifier C000007801
Item 72DD
1. Total Income dividends for which record date passed during the period $18,6002. Dividends for a second class of open-end company shares $70,6853. Dividends for a third class of open-end company shares $33,0484. Dividends for a fourth class of ope-end company shares $54,924
Item 73
Distributions per share for which record date passed during the period:
A) 1. Dividends from net investment income $.362 2. Dividends from a second class of open-end company shares $.505 3. Dividends from a third class of open-end company shares $.408 4. Dividends from a fourth class of open-end company shares $1.439
Item 74
U) 1. Number of shares outstanding 49,417 2. Number of shares outstanding for a second class of shares of open-end company shares 142,080 3. Number of shares outstanding for a third class of shares of open-end company shares 79,224 4. Number of shares outstanding for a fourth class of shares of open-end company shares 40,037
V) 1. Net asset value per share (to the nearest cent) 37.43 2. Net asset value per share of a second class open-end company shares (to the nearest cent) 46.79 3. Net asset value per share of a third class open-end company shares (to the nearest cent) 37.47 4. Net asset value per share of a fourth class open-end company shares (to the nearest cent) 133.07
1. Total Income dividends for which record date passed during the period $7,4482. Dividends for a second class of open-end company shares $79,2593. Dividends for a third class of open-end company shares $17,7254. Dividends for a fourth class of open-end company shares $158,127
Distributions per share for which record date passed during the period:
A) 1. Dividends from net investment income $0.771 2. Dividends from a second class of open-end company shares $1.021 3. Dividends from a third class of open-end company shares $4.224 4. Dividends from a fourth class of open-end company shares $2.022
Item 74
U) 1. Number of shares outstanding 9,693 2. Number of shares outstanding for a second class of shares of open-end company shares 79,968 3. Number of shares outstanding for a third class of shares of open-end company shares 4,382 4. Number of shares outstanding for a fourth class of shares of open-end company shares 82,800
V) 1. Net asset value per share (to the nearest cent) 41.31 2. Net asset value per share of a second class open-end company shares (to the nearest cent) 51.65 3. Net asset value per share of a third class open-end company shares (to the nearest cent) 212.59 4. Net asset value per share of a fourth class open-end company shares (to the nearest cent) 102.27
1. Total Income dividends for which record date passed during the period $3,3842. Dividends for a second class of open-end company shares $30,6353. Dividends for a third class of open-end company shares $28,444
Item 73
Distributions per share for which record date passed during the period:
A) 1. Dividends from net investment income $0.289 2. Dividends from a second class of open-end company shares
$0.369 3. Dividends from a third class of open-end company shares $0.861
Item 74
U) 1. Number of shares outstanding 11,085 2. Number of shares outstanding for a second class of shares of open-end company shares 86,310 3. Number of shares outstanding for a third class of shares of open-end company shares 33,863
V) 1. Net asset value per share (to the nearest cent) 41.52 2. Net asset value per share of a second class open-end company shares (to the nearest cent) 45.46 3. Net asset value per share of a third class open-end company shares (to the nearest cent) 105.60
Series 12 SEC Identifier S000012757 Mid Cap Value IndexClass 1 SEC Identifier C000034429Class 2 SEC Identifier C000105307Class 3 SEC Identifier C000034430
Item 72DD
1. Total Income dividends for which record date passed during the period $11,9522. Dividends for a second class of open-end company shares $103,7293. Dividends for a third class of open-end company shares $112,242
Item 7389
Distributions per share for which record date passed during the period:
A) 1. Dividends from net investment income $0.691 2. Dividends from a second class of open-end company shares $0.963 3. Dividends from a third class of open-end company shares $1.862
Item 74
U) 1. Number of shares outstanding 17,411 2. Number of shares outstanding for a second class of shares of open-end company shares 118,260 3. Number of shares outstanding for a third class of shares of open-end company shares 65,723
V) 1. Net asset value per share (to the nearest cent) 38.24 2. Net asset value per share of a second class open-end company shares (to the nearest cent) 50.31 3. Net asset value per share of a third class open-end company shares (to the nearest cent) 97.12