Vanguard SEC listings

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Flag of the United States.svg.png This article contains details specific to United States (US) investors. It does not apply to non-US investors.

The SEC's EDGAR database of mutual fund filings provides a bountiful supply of historical mutual fund documents. Vanguard SEC listings attempts to explain the somewhat arcane way the EDGAR database organizes and reports filings.

Vanguard mutual funds are filed and organized at the SEC in a series of fund groups. These are explained, in fund documents, as a series of trusts that contain the mutual funds. [note 1] These names are likely to be unfamiliar to mutual fund investors, who have probably never heard of such entities as the Vanguard Chester funds, or the Vanguard Valley Forge funds.

While a fund researcher can now search for an individual mutual fund on the EDGAR database, [1] researchers must realize that the fund documents are filed according to the group names. For example, a mutual fund's annual report will normally be included in one file document containing all of the annual reports of the funds in the fund group.

EDGAR uses acronym labels for common fund documents such as annual reports, prospectuses, portfolio holdings, and other reports.

Current fund documents

Vanguard provides a full variety of neatly formatted current fund documents:

Prospectuses: (includes access to prospectus, statutory prospectus, and statement of additional information)

Annual Reports:

Vanguard fund groups A - C

Five Vanguard fund groups, arranged alphabetically, are included in the table below.[note 2]

The Admiral, Charlotte, and Chester fund groups are not self explanatory. Among the Admiral group's holdings are Vanguard's suite of S & P indexed ETFs. The Charlotte Funds are comprised of Vanguard's international bond index funds, and the Chester group includes Vanguards series of target date retirement funds. (Clicking hide will reduce fund table.)

Vanguard CIK A - C
Admiral Funds Bond Index Funds California Tax-Free Funds Charlotte Funds Chester Funds
  1. Admiral Treasury Money Market
  2. S&P 500 Growth ETF
  3. S&P 500 Value ETF
  4. S&P 400 ETF
  5. S&P 400 Growth ETF
  6. S&P 400 Value ETF
  7. S&P 600 ETF
  8. S&P 600 Growth ETF
  9. S&P 600 Value ETF


  1. Inflation Protected Securities
  2. Intermediate-Term Bond Index
  3. Long-Term Bond Index
  4. Short-Term Bond Index
  5. Total Bond Market Index
  6. Total Bond Market II Index


  1. California Intermediate-Term Tax-Exempt
  2. California Long-Term Tax-Exempt
  3. California Tax-Exempt Money Market


  1. Emerging Markets Govt Bond Index
  2. Total International Bond Index


  1. Primecap Fund
  2. Target Retirement 2005
  3. Target Retirement 2010
  4. Target Retirement 2015
  5. Target Retirement 2020
  6. Target Retirement 2025
  7. Target Retirement 2030
  8. Target Retirement 2035
  9. Target Retirement 2035
  10. Target Retirement 2045
  11. Target Retirement 2050
  12. Target Retirement 2055
  13. Target Retirement 2060
  14. Target Retirement Income


Vanguard fund groups F - I

Five more Vanguard fund groups, arranged alphabetically, are included in the table below.

The Fenway fund group (three funds) and Horizon fund group (four funds) contain Vanguard actively managed stock funds. The Fixed Income fund group consists of Vanguard's suite of actively managed bond funds. (Clicking hide will reduce fund table.)

Vanguard CIK F - I
Fenway Funds Fixed Income Securities Funds Horizon Funds Index Funds International Index Funds
  1. Equity Income
  2. Growth Equity
  3. Primecap Core


  1. GNMA
  2. High-Yield Corporate
  3. Inflation Prot Securities
  4. Intermediate-Term Investment-Grade
  5. Intermediate-Term Treasury
  6. Long-Term Investment Grade
  7. Long-Term Treasury
  8. Short-Term Federal
  9. Short-Term Investment Grade
  10. Short-Term Treasury


  1. Capital Opportunity
  2. Global Equity
  3. Strategic Small Cap
  4. Strategic Equity


  1. 500 Index
  2. Extended Market Index
  3. Growth Index
  4. Large-Cap Index
  5. Mid-Cap Growth Index
  6. Mid-Cap Index
  7. Mid-Cap Value Index
  8. Small-Cap Growth Index
  9. Small-Cap Index
  10. Small-Cap Value Index
  11. Total Stock Market Index
  12. Value Index


  1. Emerging Markets Index
  2. European Index
  3. FTSE All-World ex-US Index
  4. FTSE All-World ex-US Small-Cap Index
  5. Global ex-US Real Estate Index
  6. Pacific Index
  7. Total World Stock Index


Vanguard fund groups M - N

Five additional Vanguard fund groups, arranged alphabetically, are included in the table below.

The Malvern fund group contains two Vanguard actively managed stock funds along with the Vanguard Short-Term Inflation Protected Bond Index fund. (Clicking hide will reduce fund table.)

Vanguard CIK M - N
Malvern Funds Money Market Reserves Municipal Bond Funds New Jersey Tax-Exempt Funds New York Tax-Exempt Funds
  1. Asset Allocation (liquidated)
  2. Capital Value
  3. Short-Term Infl-Prot Index
  4. US Value
  5. Core Bond
  6. Emerging Markets Bond


  1. Federal Money Market
  2. Prime Money Market


  1. High-Yield Tax-Exempt
  2. Insured Tax-Exempt (merged)
  3. Intermediate-Term Municipal
  4. Intermediate-Term Tax-Exempt
  5. Limited-Term Tax-Exempt
  6. Long-Term Municipal
  7. Long-Term Tax-Exempt
  8. Short-Term Municipal
  9. Short-Term Tax-Exempt
  10. Tax-Exempt Money Market


  1. New Jersey Long-Term Tax-Exempt
  2. New Jersey Tax-Exempt Money Market


  1. New York Long-Term Tax-Exempt
  2. New York Tax-Exempt Money Market


Vanguard fund groups O - S

Five additional Vanguard fund groups, arranged alphabetically, are included in the table below.

The Scottsdale fund group contains Vanguard's series of bond market index ETFs as well as the suite of Russell stock index ETFs. The group includes one Vanguard actively managed stock fund. The Specialized fund group includes two index funds along with Vanguard's series of actively managed sector funds. (Clicking hide will reduce fund table.)

Vanguard CIK O - S
Ohio Tax-Exempt Funds Pennsylvania Tax-Exempt Funds Quantitative Funds Scottsdale Funds Specialized Funds
  1. Ohio Long-Term Tax-Exempt
  2. Ohio Tax-Exempt Money Market


  1. Pennsylvania Long-Term Tax-Exempt
  2. Pennsylvania Money Market


  1. Growth & Income
  2. Structured Broad Market
  3. Structured Large-Cap Equity


  1. Explorer Value
  2. Intermediate-Term Corporate Bond ETF
  3. Intermediate-Term Government Bond ETF
  4. Long-Term Corporate Bond ETF
  5. Long-Term Government Bond ETF
  6. Mortgage-Backed Securities ETF
  7. Russell 1000 ETF
  8. Russell 1000 Growth ETF
  9. Russell 1000 Value ETF
  10. Russell 2000 ETF
  11. Russell 2000 Growth ETF
  12. Russell 2000 Value ETF
  13. Russell 3000 ETF
  14. Short-Term Corporate Bond ETF
  15. Short-Term Government Bond ETF


  1. Dividend Appreciation Index
  2. Dividend Growth
  3. Energy
  4. Health Care
  5. Precious Metals & Mining
  6. REIT Index


Vanguard fund groups S - W

Five more Vanguard fund groups, arranged alphabetically.

The Star fund category contains Vanguard fund of funds such as the LifeStrategy suite of funds, and the Star fund. The fund group includes the developed market and total international stock index funds as these funds began operations as fund of funds. Trustees Equity fund group consists of three actively managed funds. Valley Forge funds group consists of Vanguard's balanced index fund and its suite of managed-payout balanced funds. Wellington funds group includes the Wellington fund and Vanguards suite of factor funds. (Clicking hide will reduce fund table.)

Vanguard CIK S - W
Star Funds Tax-Managed Funds Trustees Equity Funds Valley Forge Funds Wellington Funds
  1. Developed Market Index
  2. LifeStrategy Conservative Growth
  3. LifeStrategy Growth
  4. LifeStrategy Income
  5. LifeStrategy Moderate Growth
  6. STAR Fund
  7. Total International Index


  1. Tax-Managed Balanced
  2. Tax-Managed Capital Appreciation
  3. Tax-Managed Growth & Income
  4. Tax-Managed International
  5. Tax-Managed Small-Cap


  1. Diversified Equity
  2. Emerging Markets Select
  3. International Value
  4. Alternative Strategies
  5. Commodity Strategy


  1. Balanced Index
  2. Managed Payout Capital Preservation
  3. Managed Payout Moderate Growth
  4. Managed Payout Real Growth


  1. Wellington Fund
  2. U.S. Liquidity Factor ETF
  3. U.S. Minimum Volatility ETF
  4. U.S. Momentum Factor ETF
  5. U.S. Multifactor ETF
  6. U.S. Multifactor (Admiral)
  7. U.S. Quality Factor ETF
  8. U.S. Value Factor ETF

SEC Edgar link

Vanguard fund groups W

Additional Vanguard fund groups are included in the table below.

The World funds group includes two of Vanguard's actively managed international funds, and one Vanguard US stock actively managed fund. The group also contains Vanguard's indexed sector ETFs as well as its suite of mega-cap index funds. The Whitehall funds group consists of four actively managed and one indexed stock funds. (Clicking hide will reduce fund table.)

Vanguard W
Whitehall Funds Windsor Funds World Funds
  1. Emerging Market Government Bond Index
  2. Global Minimum Volatility
  3. High Dividend Yield Index
  4. International Dividend Appreciation Index
  5. International High Yield Index
  6. International Explorer
  7. Mid-Cap Growth
  8. Selected Value


  1. Windsor
  2. Windsor II


  1. Consumer Discretionary ETF
  2. Consumer Staples ETF
  3. Energy ETF
  4. ESG US Stock ETF
  5. ESG International Stock ETF
  6. Extended Duration Treasury ETF
  7. Financials ETF
  8. FTSE Social Index
  9. Global Wellington Fund
  10. Global Wellesley Income Fund
  11. Health Care ETF
  12. Industrials ETF
  13. Information Technology ETF
  14. International Growth
  15. Materials ETF
  16. Mega Cap Growth Index
  17. Mega Cap Index
  18. Mega Cap Value Index
  19. Telecommunications Services ETF
  20. US Growth
  21. Utilities ETF


Single fund entries

The following Vanguard SEC filings consist of single fund entries. The Montgomery funds group consists of Vanguard's market neutral stock fund.

Fund group SEC EDGAR link
Convertible Securities Fund link
Explorer Fund link
Massachusetts Tax-Exempt Funds link
Montgomery Funds link
Morgan Growth Fund link
Wellesley Income Fund link

EDGAR documents

The table below provides the SEC filing codes for important informational filings from Vanguard funds.

Annual and semi-annual reports

The fund groups' annual and semi-annual reports are filed in two sets of documents. Annual reports since 2004 are filed in N-CSR filings; semi-annual reports in N-CSRS filings. Annual and semi-annual reports beginning in 1994 and extending through 2003 are filed in N-30D filings.

Prospectus & statement of additional information reports

The fund groups' fund prospectuses and statements of additional information are combined in a single filing, the 485POS filing.

Aggregated data reports

Fund groups make annual and semiannual reporting of complete fund information in reports to the Security and Exchange Commission.

N-CEN reports

Beginning in 2018, fund companies report fund information in N-CEN reports. These reports have the advantage of providing descriptive information. The sections containing primary fund information are outlined below:

  • Part A: General Information: reporting period covered.
  • Part B: Information about the Registrant
  • B8: Directors
  • B9: Chief compliance officer
  • B16: Underwriters
  • B17: Independent public accountant
  • Part C: Additional questions
  • C1: Name of fund
  • C2: Classes of shares
  • C3: Type of fund
  • C6: Security lending
  • C8: Expense limitations
  • C9: Investment advisors
  • C10: Transfer agents
  • C11: Pricing services
  • C12: Custodians
  • C13: Shareholder servicing agents
  • C14: Administrators
  • C15: Affiliated broker dealers
  • C16: Brokers
  • C17: Principal transactions
  • C18: Payments for brokerage and research
  • C19: Average Net Assets
  • C20: Lines of credit, interfund lending and interfund borrowing
  • C21: Swing Pricing
  • Part E: Additional questions for Exchange-traded-funds
  • E1: Exchange
  • E2: Authorized Participants
  • E3: Creation Units

NSAR reports

From 1998 to 2018 fund groups made annual and semiannual reporting of complete fund information in NSAR reports. The major difficulty with NSAR filings is the fact that the data is listed without description. Deciphering the document requires having the line by line instructions handy. Among the information provided in the reports:

  • Lines 10 - 15: lists the fund Administrator, Principal Underwriter, Shareholder Servicing Agent, Independent Accountant, Affiliated Broker Dealer, and Custodian.
  • Lines 20 - 21: detailed breakdown of fund brokerage transactions and brokerage commissions.
  • Lines 42 - 54: detailed breakdown of fund 12b-1 expenses.
  • Lines 62 - 70: reports fund fixed income categories and stock market objective.
  • Line 71: reports fund turnover.
  • Line 72: reports fund income and expenses.
  • Line 73: reports payments per share.
  • Line 74: reports condensed balance sheet.
  • Line 75: reports fund average net assets.

Fund holdings

Quarterly stock and bond fund investment holdings are listed in N-Q documents. Money market funds disclose fund holdings each month in N-MFP documents.

Proxy votes

How the mutual fund voted in corporate proxies is revealed in N-PX documents.

EDGAR filings
Report Documents Additional Information
Annual report N-CSR
2004 onwards
pre- 2004
Semiannual report N-CSRS
2004 onwards
pre- 2004
Prospectus & statement of additional information 485BPOS Search for Mutual Fund Prospectuses, SEC
Aggregated data N-CEN
2018 onwards Line by line instructions
1998 - 2018 Line by line instructions
Quarterly holdings N-Q
Monthly holdings N-MFP Money market funds
Proxy votes N-PX Search for Mutual Fund Proxy Voting Records, SEC

Fund groups filing documents

The following tables provide links to the common fund data files defined above. (Click show to reveal table contents.)

Vanguard CIK A - C

Vanguard CIK F - I

Vanguard CIK M - N

Vanguard CIK O - S

Vanguard CIK S - W

Vanguard CIK W / single funds

Vanguard single funds

Liquidated funds

The following table provides historical filings for liquidated Vanguard funds. The two real estate listings record the final two year filings for Vanguard finite-lived Real Estate Investment Trusts, which traded on the Amex Stock Exchange, and were liquidated in 1996.


  1. Text from Chester Funds Statement of Additional Information:
    The Trust was organized as a Maryland corporation in 1984, and was reorganized as a Delaware statutory trust in 1998. The Trust changed its name from Vanguard PRIMECAP Fund to Vanguard Chester Funds in 2003. The Trust is registered with the United States Securities and Exchange Commission (the SEC) under the Investment Company Act of 1940 (the 1940 Act) as an open-end management investment company. All Funds within the Trust are classified as diversified within the meaning of the 1940 Act.
  2. The Central Index Key (CIK) is used on the SEC's computer systems to identify corporations and individual people who have filed disclosure with the SEC. See: CIK Lookup, from the SEC.