-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Vch+vAUIOkVzW6gN0BQjSE7FSSKvR3czBXX9dgqYCjGafAtvQ2uCV+MMFT6R8byx wf+86T9LIBJ0719S8J1vpQ== 0001256484-07-000022.txt : 20070214 0001256484-07-000022.hdr.sgml : 20070214 20070214153939 ACCESSION NUMBER: 0001256484-07-000022 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20070214 DATE AS OF CHANGE: 20070214 SUBJECT COMPANY: 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: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-80489 FILM NUMBER: 07619742 BUSINESS ADDRESS: STREET 1: PO BOX 2600 STREET 2: V26 CITY: VALLEY FORGE STATE: PA ZIP: 19482 BUSINESS PHONE: 6106696295 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NORTHERN TRUST CORP CENTRAL INDEX KEY: 0000073124 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 362723087 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 50 S LASALLE ST CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: 3126306000 MAIL ADDRESS: STREET 1: 50 S LASALLE ST CITY: CHICAGO STATE: IL ZIP: 60603 FORMER COMPANY: FORMER CONFORMED NAME: NORTRUST CORP DATE OF NAME CHANGE: 19780525 SC 13G/A 1 vanguardtechviper4.txt SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4) The Vanguard Group (Name of Issuer) Information Technology VIPERs (Title of Class of Securities) 92204A702 (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. CUSIP No. 92204A702 13G Page 2 of 7 Pages 1 Name of Reporting Person S.S. or I.R.S. Identification No. of above person Northern Trust Corporation 36-2723087 The Northern Trust Company 36-1561860 Northern Trust, NA 36-3190871 Northern Trust Investments, N.A. 36-3608252 2 Check the appropriate box if a member of a group Not Applicable (a) [ ] (b) [ ] 3 S.E.C. use only 4 Citizenship or place of organization Northern Trust Corporation--a Delaware corporation with principal offices in Chicago, Illinois Number of Shares Beneficially Owned by each reporting person with 5 Sole Voting Power 176,185 6 Shared Voting Power 965 7 Sole Dispositive Power 169,375 8 Shared Dispositive Power 14,731 9 Aggregate amount beneficially owned by each reporting person 184,106 10 Check box if the aggregate amount in Row (9) excludes certain shares. Not Applicable 11 Percent of class represented by amount in Row 9 3.91 12 Type of reporting person Northern Trust Corporation HC SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 Check the following box if a fee is being paid with statement [ ]. 1. (a) The Vanguard Group (Name of Issuer) (b) Post Office Box 2900, Valley Forge, PA 19482-2900 (Address of Issuer's Principal Executive Office) 2. (a) Northern Trust Corporation (Name of Person Filing) (b) 50 South LaSalle Street, Chicago, Illinois 60675 (Address of Person Filing) (c) U.S. (Delaware Corporation) (Citizenship) (d) Information Technology VIPERs (Title of Class of Securities) (e) 92204A702 (CUSIP Number) 3. This statement is being filed by Northern Trust Corporation as a Parent Holding Company in accordance with S240.13d-1(b) (1) (ii) (G). 4. (a) 184,106 (Amount Beneficially Owned) (b) 3.91 (Percent of Class) (c) Number of shares as to which such person has: (i) 176,185 (Sole Power to Vote or to Direct the Vote) (ii) 965 (Shared Power to Vote or to Direct the Vote) (iii) 169,375 (Sole Power to Dispose or Direct Disposition) (iv) 14,731 (Shared Power to Dispose or Direct Disposition) 5. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following: [ X ] 6. Statement regarding ownership of 5 percent or more on behalf of another person: 7. Parent Holding Company reporting on behalf of the following subsidiaries, all of which are banks as defined in Section 3(a) (6) of the Act: The Northern Trust Company Northern Trust Investments, N.A. 50 South LaSalle Street 50 South LaSalle Street Chicago, IL 60675 Chicago, IL 60675 Northern Trust N.A. 700 Brickell Avenue Miami, FL 33131 8. Identification and Classification of Members of the Group. Not Applicable. 9. Notice of Dissolution of Group. Not Applicable. 10. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. NORTHERN TRUST CORPORATION _________________________________ By: Orie L. Dudley DATED: 02-08-2007 Title:Executive Vice President and Chief Investment Officer EXHIBIT TO SCHEDULE 13G AMENDMENT FILED BY NORTHERN TRUST CORPORATION Securities and Exchange Commission 450 Fifth Street, N.W. Washington, DC 20549-1004 Attention: Filing Desk, Stop 1-4 RE: Vanguard Information Technology VIPERs Pursuant to the requirement of 240.13d-1(k) (1) (iii), this exhibit shall constitute our written agreement that the Schedule 13G to which this exhibit is attached is filed on behalf of Northern Trust Corporation and of its subsidiary(ies), as stated below, regarding our respective beneficial ownership in the above-captioned equity security. NORTHERN TRUST CORPORATION _________________________________ By: Orie L. Dudley DATED: 02-08-2007 Title:Executive Vice President and Chief Investment Officer THE NORTHERN TRUST COMPANY NORTHERN TRUST INVESTMENTS, N.A. ________________________________________ By: Orie L. Dudley Title: Executive Vice President and Chief Investment Officer NORTHERN TRUST NA ________________________________________ By: Quentin C. Johnson As its Authorized Representative EX-1 2 cert13g.txt Exhibit 1 to Schedule 13G Filed by Northern Trust Corporation CERTIFIED RESOLUTION The undersigned certifies that the undersigned is the duly appointed, qualified and acting Secretary or Assistant Secretary of Northern Trust Corporation, as indicated below, and that the following resolution was duly adopted by the Board of Directors of Northern Trust Corporation on April 18, 2006 and remains in full force and effect: RESOLVED, that each of the 'Executive Officers' of Northern Trust Corporation (the 'Corporation'), as that term is defined in Rule 3b-7 under the Securities Exchange Act of 1934, and each of the following other officers of the Corporation, is hereby authorized to sign, on behalf of the Corporation, any Statements on Schedule 13G, and any amendments to such Statements, required to be filed with the Securities and Exchange Commission by the Corporation with respect to any securities beneficially owned by the Corporation and any of its direct or indirect subsidiaries: Orie L. Dudley, Jr. Peter J. Flood James D. McDonald IN WITNESS WHEREOF, the undersigned has executed this certificate on February 13, 2007. /s/ Rose A. Ellis Rose A. Ellis Secretary Northern Trust Corporation -----END PRIVACY-ENHANCED MESSAGE-----