0000932471-11-004075.txt : 20111215
0000932471-11-004075.hdr.sgml : 20111215
20111215163425
ACCESSION NUMBER: 0000932471-11-004075
CONFORMED SUBMISSION TYPE: NSAR-B
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20111031
FILED AS OF DATE: 20111215
DATE AS OF CHANGE: 20111215
EFFECTIVENESS DATE: 20111215
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: VANGUARD WINDSOR FUNDS
CENTRAL INDEX KEY: 0000107606
IRS NUMBER: 510082711
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1031
FILING VALUES:
FORM TYPE: NSAR-B
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-00834
FILM NUMBER: 111263733
BUSINESS ADDRESS:
STREET 1: PO BOX 2600
STREET 2: V26
CITY: VALLEY FORGE
STATE: PA
ZIP: 19482
BUSINESS PHONE: 6105037040
MAIL ADDRESS:
STREET 1: PO BOX 2600
STREET 2: V26
CITY: VALLEY FORGE
STATE: PA
ZIP: 19482
FORMER COMPANY:
FORMER CONFORMED NAME: VANGUARD WINDSOR FUNDS/
DATE OF NAME CHANGE: 20011121
FORMER COMPANY:
FORMER CONFORMED NAME: VANGUARD/WINDSOR FUNDS INC
DATE OF NAME CHANGE: 19931203
FORMER COMPANY:
FORMER CONFORMED NAME: WINDSOR FUNDS INC
DATE OF NAME CHANGE: 19920703
0000107606
S000004417
Vanguard Windsor Fund
C000012178
Investor Shares
VWNDX
C000012179
Admiral Shares
VWNEX
0000107606
S000004418
Vanguard Windsor II Fund
C000012180
Investor Shares
VWNFX
C000012181
Admiral Shares
VWNAX
NSAR-B
1
answer103111.fil
WINDSOR REGISTRANT ANSWER FILE
PAGE 1
000 B000000 10/31/2011
000 C000000 0000107606
000 D000000 N
000 E000000 NF
000 F000000 Y
000 G000000 N
000 H000000 N
000 I000000 6.1
000 J000000 A
001 A000000 VANGUARD WINDSOR FUNDS
001 B000000 811-834
001 C000000 6106691000
002 A000000 100 VANGUARD BOULEVARD
002 B000000 MALVERN
002 C000000 PA
002 D010000 19355
003 000000 N
004 000000 N
005 000000 N
006 000000 N
007 A000000 Y
007 B000000 2
007 C010100 1
007 C020100 VANGUARD WINDSOR FUND
007 C030100 N
007 C010200 2
007 C020200 VANGUARD WINDSOR II FUND
007 C030200 N
008 A000101 WELLINGTON MANAGEMENT COMPANY, LLP
008 B000101 A
008 C000101 801-15908
008 D010101 BOSTON
008 D020101 MA
008 D030101 02109
008 A000102 ALLIANCEBERNSTEIN L.P.
008 B000102 A
008 C000102 801-56720
008 D010102 NEW YORK
008 D020102 NY
008 D030102 10105
008 A000201 BARROW, HANLEY, MEWHINNEY & STRAUSS, INC.
008 B000201 A
008 C000201 801-31237
008 D010201 DALLAS
008 D020201 TX
008 D030201 75201
008 A000202 ARMSTRONG SHAW ASSOCIATES INC.
008 B000202 A
008 C000202 801-20597
008 D010202 NEW CANAAN
008 D020202 CT
PAGE 2
008 D030202 06840
008 A000203 LAZARD ASSET MANAGEMENT LLC
008 B000203 A
008 C000203 801-61701
008 D010203 NEW YORK
008 D020203 NY
008 D030203 10112
008 A000204 THE VANGUARD GROUP, INC.
008 B000204 A
008 C000204 801-11953
008 D010204 MALVERN
008 D020204 PA
008 D030204 19355
008 A000205 HOTCHKIS AND WILEY CAPITAL MANAGEMENT, LLC
008 B000205 A
008 C000205 801-60512
008 D010205 LOS ANGELES
008 D020205 CA
008 D030205 90017
008 A000206 SANDERS CAPITAL, LLC
008 B000206 A
008 C000206 801-70661
008 D010206 NEW YORK
008 D020206 NY
008 D030206 10022
010 A00AA01 THE VANGUARD GROUP, INC.
010 B00AA01 801-11953
010 C01AA01 MALVERN
010 C02AA01 PA
010 C03AA01 19355
011 A00AA01 VANGUARD MARKETING CORP.
011 B00AA01 8-21570
011 C01AA01 MALVERN
011 C02AA01 PA
011 C03AA01 19355
012 A00AA01 THE VANGUARD GROUP, INC.
012 B00AA01 84-772
012 C01AA01 MALVERN
012 C02AA01 PA
012 C03AA01 19355
013 A00AA01 PRICEWATERHOUSECOOPERS LLP
013 B01AA01 PHILADELPHIA
013 B02AA01 PA
013 B03AA01 19103
014 A00AA01 VANGUARD MARKETING CORP.
014 B00AA01 8-21570
015 A00AA01 BROWN BROTHERS HARRIMAN & CO.
015 B00AA01 C
015 C01AA01 BOSTON
015 C02AA01 MA
015 C03AA01 02109
PAGE 3
015 E01AA01 X
018 00AA00 Y
019 A00AA00 Y
019 B00AA00 180
019 C00AA00 VANGUARDGR
020 A000001 FRANK RUSSELL SECURITIES, INC.
020 B000001 91-0604934
020 C000001 3360
020 A000002 CREDIT SUISSE SECURITIES (USA) LLC
020 B000002 13-5659485
020 C000002 2898
020 A000003 J.P. MORGAN SECURITIES INC.
020 B000003 13-3224016
020 C000003 1777
020 A000004 MORGAN STANLEY
020 B000004 13-2655998
020 C000004 1679
020 A000005 LIQUIDNET, INC.
020 B000005 13-4095933
020 C000005 1527
020 A000006 GOLDMAN, SACHS & CO.
020 B000006 13-5108880
020 C000006 1522
020 A000007 MERRILL LYNCH, PIERCE, FENNER & SMITH INC.
020 B000007 13-5674085
020 C000007 1461
020 A000008 UBS SECURITIES LLC
020 B000008 13-3873456
020 C000008 1382
020 A000009 CITIGROUP GLOBAL MARKETS, INC.
020 B000009 13-2919773
020 C000009 1041
020 A000010 BARCLAYS CAPITAL INC.
020 B000010 13-3410233
020 C000010 898
021 000000 27345
022 A000001 BANC OF AMERICA SECURITIES LLC
022 B000001 56-2058405
022 C000001 38807895
022 D000001 0
022 A000002 VANGUARD MARKET LIQUIDITY FUND
022 B000002 20-0961056
022 C000002 11863622
022 D000002 11767358
022 A000003 GOLDMAN, SACHS & CO.
022 B000003 13-5108880
022 C000003 310830
022 D000003 131776
022 A000004 CREDIT SUISSE SECURITIES (USA) LLC
022 B000004 13-5659485
022 C000004 162631
PAGE 4
022 D000004 216510
022 A000005 MERRILL LYNCH, PIERCE, FENNER & SMITH INC.
022 B000005 13-5674085
022 C000005 188608
022 D000005 128678
022 A000006 MORGAN STANLEY
022 B000006 13-2655998
022 C000006 157669
022 D000006 130703
022 A000007 CITIGROUP GLOBAL MARKETS, INC.
022 B000007 13-2919773
022 C000007 128982
022 D000007 151726
022 A000008 DEUTSCHE BANK SECURITIES INC.
022 B000008 13-2730828
022 C000008 205258
022 D000008 43167
022 A000009 J.P. MORGAN SECURITIES INC.
022 B000009 13-3224016
022 C000009 127821
022 D000009 38317
022 A000010 UBS SECURITIES LLC
022 B000010 13-3873456
022 C000010 37821
022 D000010 104327
023 C000000 52392756
023 D000000 13259196
024 000100 Y
024 000200 Y
025 A000101 BANC OF AMERICA SECURITIES LLC
025 B000101 56-2058405
025 C000101 E
025 D000101 98153
025 A000102 DELETE
025 D000102 0
025 A000103 J.P. MORGAN SECURITIES INC.
025 B000103 13-3224016
025 C000103 E
025 D000103 228208
025 A000104 DELETE
025 D000104 0
025 A000105 BANC OF AMERICA SECURITIES LLC
025 B000105 56-2058405
025 C000105 D
025 D000105 167500
025 A000106 DELETE
025 D000106 0
025 A000107 CITIGROUP GLOBAL MARKETS, INC.
025 B000107 13-2919773
025 C000107 E
025 D000107 110707
PAGE 5
025 A000201 J.P. MORGAN SECURITIES INC.
025 B000201 13-3224016
025 C000201 E
025 D000201 832589
025 A000202 CITIGROUP GLOBAL MARKETS, INC.
025 B000202 13-2919773
025 C000202 E
025 D000202 318360
025 A000203 BANC OF AMERICA SECURITIES LLC
025 B000203 56-2058405
025 C000203 E
025 D000203 267299
025 A000204 GOLDMAN, SACHS & CO.
025 B000204 13-5108880
025 C000204 E
025 D000204 104812
025 A000205 BARCLAYS CAPITAL INC.
025 B000205 13-3410233
025 C000205 E
025 D000205 55161
025 A000206 MORGAN STANLEY
025 B000206 13-2655998
025 C000206 E
025 D000206 18965
025 A000207 DELETE
025 D000207 0
026 A000000 N
026 B000000 Y
026 C000000 N
026 D000000 Y
026 E000000 N
026 F000000 N
026 G010000 N
026 G020000 Y
026 H000000 N
027 000000 Y
028 A010100 69859
028 A020100 0
028 A030100 0
028 A040100 121300
028 B010100 74613
028 B020100 86655
028 B030100 0
028 B040100 128491
028 C010100 181714
028 C020100 0
028 C030100 0
028 C040100 367139
028 D010100 152300
028 D020100 0
028 D030100 0
PAGE 6
028 D040100 330008
028 E010100 87350
028 E020100 0
028 E030100 0
028 E040100 136868
028 F010100 70506
028 F020100 0
028 F030100 0
028 F040100 455722
028 G010100 636342
028 G020100 86655
028 G030100 0
028 G040100 1539528
028 H000100 0
028 A010200 234001
028 A020200 0
028 A030200 0
028 A040200 445941
028 B010200 487675
028 B020200 367413
028 B030200 0
028 B040200 670392
028 C010200 196319
028 C020200 0
028 C030200 0
028 C040200 521938
028 D010200 315183
028 D020200 0
028 D030200 0
028 D040200 521441
028 E010200 306131
028 E020200 0
028 E030200 0
028 E040200 589875
028 F010200 177975
028 F020200 0
028 F030200 0
028 F040200 438577
028 G010200 1717284
028 G020200 367413
028 G030200 0
028 G040200 3188164
028 H000200 0
029 00AA00 N
030 A00AA00 0
030 B00AA00 0.00
030 C00AA00 0.00
031 A00AA00 0
031 B00AA00 0
032 00AA00 0
033 00AA00 0
PAGE 7
034 00AA00 N
035 00AA00 0
036 B00AA00 0
037 00AA00 N
038 00AA00 0
039 00AA00 Y
040 00AA00 N
042 A000100 0
042 B000100 0
042 C000100 0
042 D000100 0
042 E000100 0
042 F000100 0
042 G000100 0
042 H000100 0
042 A000200 0
042 B000200 0
042 C000200 0
042 D000200 0
042 E000200 0
042 F000200 0
042 G000200 0
042 H000200 0
043 000100 0
043 000200 0
044 000100 0
044 000200 0
045 000100 Y
045 000200 Y
046 000100 Y
046 000200 Y
047 000100 N
047 000200 N
048 000100 0.000
048 A010100 0
048 A020100 0.000
048 B010100 0
048 B020100 0.000
048 C010100 0
048 C020100 0.000
048 D010100 0
048 D020100 0.000
048 E010100 0
048 E020100 0.000
048 F010100 0
048 F020100 0.000
048 G010100 0
048 G020100 0.000
048 H010100 0
048 H020100 0.000
048 I010100 0
PAGE 8
048 I020100 0.000
048 J010100 0
048 J020100 0.000
048 K010100 0
048 K020100 0.000
048 000200 0.000
048 A010200 0
048 A020200 0.000
048 B010200 0
048 B020200 0.000
048 C010200 0
048 C020200 0.000
048 D010200 0
048 D020200 0.000
048 E010200 0
048 E020200 0.000
048 F010200 0
048 F020200 0.000
048 G010200 0
048 G020200 0.000
048 H010200 0
048 H020200 0.000
048 I010200 0
048 I020200 0.000
048 J010200 0
048 J020200 0.000
048 K010200 0
048 K020200 0.000
049 000100 N
049 000200 N
050 000100 N
050 000200 N
051 000100 Y
051 000200 Y
052 000100 N
052 000200 N
053 A000100 N
053 A000200 N
054 A000100 N
054 B000100 N
054 C000100 N
054 D000100 N
054 E000100 N
054 F000100 N
054 G000100 N
054 H000100 N
054 I000100 N
054 J000100 N
054 K000100 N
054 L000100 N
054 M000100 N
PAGE 9
054 N000100 N
054 O000100 N
054 A000200 N
054 B000200 N
054 C000200 N
054 D000200 N
054 E000200 N
054 F000200 N
054 G000200 N
054 H000200 N
054 I000200 N
054 J000200 N
054 K000200 N
054 L000200 N
054 M000200 N
054 N000200 N
054 O000200 N
055 A000100 N
055 B000100 N
055 A000200 N
055 B000200 N
056 000100 Y
056 000200 Y
057 000100 N
057 000200 N
058 A000100 N
058 A000200 N
059 000100 Y
059 000200 Y
060 A000100 Y
060 B000100 Y
060 A000200 Y
060 B000200 Y
061 000100 3000
061 000200 3000
062 A00AA00 N
062 B00AA00 0.0
062 C00AA00 0.0
062 D00AA00 0.0
062 E00AA00 0.0
062 F00AA00 0.0
062 G00AA00 0.0
062 H00AA00 0.0
062 I00AA00 0.0
062 J00AA00 0.0
062 K00AA00 0.0
062 L00AA00 0.0
062 M00AA00 0.0
062 N00AA00 0.0
062 O00AA00 0.0
062 P00AA00 0.0
PAGE 10
062 Q00AA00 0.0
062 R00AA00 0.0
063 A00AA00 0
063 B00AA00 0.0
066 A00AA00 Y
066 B00AA00 N
066 C00AA00 N
066 D00AA00 N
066 E00AA00 Y
066 F00AA00 N
066 G00AA00 N
067 00AA00 N
068 A00AA00 N
068 B00AA00 N
069 00AA00 N
070 A010100 Y
070 A020100 Y
070 B010100 Y
070 B020100 N
070 C010100 Y
070 C020100 N
070 D010100 Y
070 D020100 N
070 E010100 Y
070 E020100 N
070 F010100 Y
070 F020100 Y
070 G010100 Y
070 G020100 N
070 H010100 Y
070 H020100 N
070 I010100 Y
070 I020100 N
070 J010100 Y
070 J020100 Y
070 K010100 Y
070 K020100 Y
070 L010100 Y
070 L020100 Y
070 M010100 Y
070 M020100 Y
070 N010100 Y
070 N020100 Y
070 O010100 Y
070 O020100 N
070 P010100 Y
070 P020100 N
070 Q010100 Y
070 Q020100 N
070 R010100 Y
070 R020100 N
PAGE 11
070 A010200 Y
070 A020200 N
070 B010200 Y
070 B020200 N
070 C010200 Y
070 C020200 N
070 D010200 Y
070 D020200 N
070 E010200 Y
070 E020200 N
070 F010200 Y
070 F020200 Y
070 G010200 Y
070 G020200 N
070 H010200 Y
070 H020200 N
070 I010200 Y
070 I020200 N
070 J010200 Y
070 J020200 N
070 K010200 Y
070 K020200 Y
070 L010200 Y
070 L020200 Y
070 M010200 Y
070 M020200 N
070 N010200 Y
070 N020200 Y
070 O010200 Y
070 O020200 N
070 P010200 Y
070 P020200 N
070 Q010200 Y
070 Q020200 N
070 R010200 Y
070 R020200 N
071 A000100 6249074
071 B000100 7551131
071 C000100 12745522
071 D000100 49
071 A000200 7809705
071 B000200 10263425
071 C000200 34433981
071 D000200 23
072 A000100 12
072 B000100 470
072 C000100 223172
072 D000100 0
072 E000100 2353
072 F000100 20343
072 G000100 11862
PAGE 12
072 H000100 0
072 I000100 9647
072 J000100 263
072 K000100 0
072 L000100 251
072 M000100 28
072 N000100 0
072 O000100 0
072 P000100 0
072 Q000100 0
072 R000100 31
072 S000100 0
072 T000100 2488
072 U000100 0
072 V000100 0
072 W000100 0
072 X000100 44913
072 Y000100 909
072 Z000100 181991
072AA000100 1660949
072BB000100 513488
072CC010100 0
072CC020100 788789
072DD010100 97694
072DD020100 73770
072EE000100 0
072 A000200 12
072 B000200 1742
072 C000200 866935
072 D000200 0
072 E000200 2423
072 F000200 47489
072 G000200 32797
072 H000200 0
072 I000200 24798
072 J000200 443
072 K000200 0
072 L000200 315
072 M000200 74
072 N000200 0
072 O000200 0
072 P000200 0
072 Q000200 0
072 R000200 33
072 S000200 0
072 T000200 7183
072 U000200 0
072 V000200 0
072 W000200 0
072 X000200 113132
072 Y000200 1836
PAGE 13
072 Z000200 759804
072AA000200 1788647
072BB000200 602836
072CC010200 616761
072CC020200 0
072DD010200 406021
072DD020200 317250
072EE000200 0
073 A010100 0.1700
073 A020100 0.6150
073 B000100 0.0000
073 C000100 0.0000
073 A010200 0.5230
073 A020200 0.9590
073 B000200 0.0000
073 C000200 0.0000
074 A000100 0
074 B000100 167500
074 C000100 29998
074 D000100 0
074 E000100 0
074 F000100 11471187
074 G000100 0
074 H000100 0
074 I000100 27142
074 J000100 130837
074 K000100 0
074 L000100 18126
074 M000100 0
074 N000100 11844790
074 O000100 39245
074 P000100 34927
074 Q000100 0
074 R010100 0
074 R020100 0
074 R030100 0
074 R040100 40471
074 S000100 0
074 T000100 11730147
074 U010100 521484
074 U020100 114559
074 V010100 12.92
074 V020100 43.59
074 W000100 0.0000
074 X000100 283827
074 Y000100 24999
074 A000200 20
074 B000200 0
074 C000200 41097
074 D000200 0
074 E000200 0
PAGE 14
074 F000200 32720389
074 G000200 0
074 H000200 0
074 I000200 1077264
074 J000200 106645
074 K000200 0
074 L000200 73486
074 M000200 0
074 N000200 34018901
074 O000200 86669
074 P000200 94091
074 Q000200 0
074 R010200 0
074 R020200 0
074 R030200 0
074 R040200 57828
074 S000200 0
074 T000200 33780313
074 U010200 740189
074 U020200 323993
074 V010200 25.68
074 V020200 45.59
074 W000200 0.0000
074 X000200 769786
074 Y000200 33097
075 A000100 0
075 B000100 13046186
075 A000200 0
075 B000200 1546958
076 000100 0.00
076 000200 0.00
077 A000000 Y
077 B000000 Y
077 C000000 N
077 D000000 N
077 E000000 N
077 F000000 N
077 G000000 N
077 H000000 N
077 I000000 N
077 J000000 N
077 K000000 N
077 L000000 N
077 M000000 N
077 N000000 N
077 O000000 N
077 P000000 N
077 Q010000 N
077 Q020000 N
077 Q030000 N
078 000000 N
PAGE 15
080 A00AA00 ICI Mutual Insurance Company
080 B00AA00 N/A
080 C00AA00 400000
081 A00AA00 Y
081 B00AA00 228
082 A00AA00 N
082 B00AA00 0
083 A00AA00 N
083 B00AA00 0
084 A00AA00 N
084 B00AA00 0
085 A00AA00 Y
085 B00AA00 N
086 A010000 0
086 A020000 0
086 B010000 0
086 B020000 0
086 C010000 0
086 C020000 0
086 D010000 0
086 D020000 0
086 E010000 0
086 E020000 0
086 F010000 0
086 F020000 0
SIGNATURE MARIANNE HARUCH
TITLE MANAGER
EX-99
2
b77pwcwindsor103111.txt
AUDITORS OPINION LETTER
Report of Independent Registered Public Accounting Firm
To the Board of Trustees of Vanguard Windsor Funds and
the Shareholders of
Vanguard Windsor Fund
Vanguard Windsor II Fund
In planning and performing our audits of the financial statements
Vanguard Windsor Fund,Vanguard Windsor II Fund (two of the funds
constituting Vanguard Windsor Funds, hereafter referred to as
the ?Trust?) as of and for the year ended October 31, 2011,
in accordance with the
standards of the Public Company Accounting Oversight Board
(United States), we considered the
Trust's internal control over financial reporting,
including controls over safeguarding securities, as a
basis for designing our auditing procedures for the
purpose of expressing our opinion on the financial
statements and to comply with the requirements of
Form N-SAR, but not for the purpose of
expressing an opinion on the effectiveness
of the Trust's internal control over financial reporting.
Accordingly, we do not express an opinion on the effectiveness
of the Trust's internal control over
financial reporting.
The management of the Trust is responsible for establishing
and maintaining effective internal
control over financial reporting. In fulfilling this
responsibility, estimates and judgments by
management are required to assess the expected benefits
and related costs of controls. A company?s
internal control over financial reporting is a process
designed to provide reasonable assurance
regarding the reliability of financial reporting and the
preparation of financial statements for external
purposes in accordance with generally accepted accounting
principles. A company's internal control
over financial reporting includes those policies and
procedures that (1) pertain to the maintenance of
records that, in reasonable detail, accurately and
fairly reflect the transactions and dispositions of the
assets of the company; (2) provide reasonable assurance
that transactions are recorded as necessary
to permit preparation of financial statements in
accordance with generally accepted accounting
principles, and that receipts and expenditures of the
company are being made only in accordance
with authorizations of management and trustees of the
company; and (3) provide reasonable
assurance regarding prevention or timely detection of
unauthorized acquisition, use or disposition of
a company?s assets that could have a material effect
on the financial statements.
Because of its inherent limitations, internal control
over financial reporting may not prevent or detect
misstatements. Also, projections of any evaluation of
effectiveness to future periods are subject to
the risk that controls may become inadequate because of
changes in conditions, or that the degree of
compliance with the policies or procedures may deteriorate.
A deficiency in internal control over financial reporting
exists when the design or operation of a
control does not allow management or employees, in the
normal course of performing their assigned
functions, to prevent or detect misstatements on a timely
basis. A material weakness is a deficiency,
or a combination of deficiencies, in internal control over
financial reporting, such that there is a
reasonable possibility that a material misstatement of
the Trust's annual or interim financial
statements will not be prevented or detected on a
timely basis.
Our consideration of the Trust's internal control
over financial reporting was for the limited purpose
described in the first paragraph and would not necessarily
disclose all deficiencies in internal control
over financial reporting that might be material weaknesses
under standards established by the
Public Company Accounting Oversight Board (United States).
However, we noted no deficiencies in
the Trust's internal control over financial reporting and
its operation, including controls over
safeguarding securities that we consider to be material
weaknesses as defined above as of October 31,
2011.
This report is intended solely for the information
and use of management and the Board of Trustees of
Vanguard Windsor Funds and the Securities and Exchange
Commission and is not intended to be and
should not be used by anyone other than these specified parties.
December 9, 2011
2
2