0000932471-14-005904.txt : 20140627
0000932471-14-005904.hdr.sgml : 20140627
20140626090953
ACCESSION NUMBER: 0000932471-14-005904
CONFORMED SUBMISSION TYPE: NSAR-A
PUBLIC DOCUMENT COUNT: 4
CONFORMED PERIOD OF REPORT: 20140430
FILED AS OF DATE: 20140626
DATE AS OF CHANGE: 20140626
EFFECTIVENESS DATE: 20140626
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: VANGUARD EXPLORER FUND
CENTRAL INDEX KEY: 0000034066
IRS NUMBER: 510106626
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1031
FILING VALUES:
FORM TYPE: NSAR-A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-01530
FILM NUMBER: 14941508
BUSINESS ADDRESS:
STREET 1: PO BOX 2600
STREET 2: V26
CITY: VALLEY FORGE
STATE: PA
ZIP: 19482
BUSINESS PHONE: 6106691000
MAIL ADDRESS:
STREET 1: P.O. BOX 2600
STREET 2: V26
CITY: VALLEY FORGE
STATE: PA
ZIP: 19482
FORMER COMPANY:
FORMER CONFORMED NAME: VANGUARD EXPLORER FUND INC
DATE OF NAME CHANGE: 19920703
FORMER COMPANY:
FORMER CONFORMED NAME: EXPLORER FUND INC
DATE OF NAME CHANGE: 19900305
0000034066
S000002578
VANGUARD EXPLORER FUND
C000007081
Investor Shares
VEXPX
C000007082
Admiral Shares
VEXRX
NSAR-A
1
answer04-30-14.fil
EXPLORER NSAR
PAGE 1
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PAGE 2
008 D010005 MALVERN
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015 C020001 MA
015 C030001 02109
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020 A000001 LIQUIDNET, INC.
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020 A000002 GOLDMAN, SACHS & CO.
020 B000002 13-5108880
PAGE 3
020 C000002 409
020 A000003 BNY Brokerage Inc.
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020 C000005 219
020 A000006 BAYPOINT TRADING LLC (BTIG, LLC)
020 B000006 04-3695739
020 C000006 200
020 A000007 MORGAN STANLEY
020 B000007 13-2655998
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020 A000009 DEUTSCHE BANK SECURITIES INC.
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020 C000009 164
020 A000010 PERSHING LLC
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020 C000010 139
021 000000 6063
022 A000001 DEUTSCHE BANK SECURITIES INC.
022 B000001 13-2730828
022 C000001 5134500
022 D000001 19612
022 A000002 VANGUARD MARKET LIQUIDITY FUND
022 B000002 20-0961056
022 C000002 1393808
022 D000002 1636428
022 A000003 GOLDMAN, SACHS & CO.
022 B000003 13-5108880
022 C000003 50936
022 D000003 61484
022 A000004 J.P. MORGAN SECURITIES INC.
022 B000004 13-3224016
022 C000004 44198
022 D000004 25750
022 A000005 UBS SECURITIES LLC
022 B000005 13-3873456
022 C000005 25284
022 D000005 29603
022 A000006 Responsys Inc.
022 C000006 0
022 D000006 38734
022 A000007 CITIGROUP GLOBAL MARKETS, INC.
022 B000007 13-2919773
PAGE 4
022 C000007 24514
022 D000007 7856
022 A000008 ITG, INC.
022 B000008 95-4339369
022 C000008 14808
022 D000008 15804
022 A000009 RBC Capital Markets
022 B000009 13-5033225
022 C000009 125
022 D000009 29790
022 A000010 CREDIT SUISSE SECURITIES (USA) LLC
022 B000010 13-5659485
022 C000010 9098
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PAGE 5
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PAGE 6
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PAGE 7
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PAGE 8
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PAGE 9
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PAGE 10
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SIGNATURE JOSH DORRELL
TITLE MANAGER
EX-99.77D POLICIES
2
d77a04-30-14.txt
SUPPLEMENT TO PROSPECTUS (A)
Vanguard Explorer Fund
Supplement to the Prospectus and Summary Prospectus Dated
February 24, 2014
Chartwell Investment Partners, L.P., one of the advisors to Vanguard Explorer
Fund, has been acquired by TriState Capital Holdings, Inc. As a result of this
acquisition, Chartwell Investment Partners, L.P., is now known as Chartwell
Investment Partners, Inc.
TriState Capital Holdings, Inc., is a registered bank holding company
headquartered in Pittsburgh, Pennsylvania.
The acquisition of Chartwell Investment Partners, L.P., will not result in a
change in the nature or level of advisory services provided to the Fund, or
an increase in the fees that the Fund pays for such services. The Fund's
investment objective, primary investment strategies, and primary risks have
not changed.
Prospectus and Summary Prospectus Text Changes
All references to Chartwell Investment Partners, L.P., are hereby replaced with
Chartwell Investment Partners, Inc.
Prospectus Text Changes
In the More on the Fund section, the following replaces similar text under the
heading "Investment Advisors":
-Chartwell Investment Partners, Inc., 1235 Westlakes Drive, Suite 400,
Berwyn, PA 19312, is an investment advisory firm founded in 1997 and a wholly
owned subsidiary of TriState Capital Holdings, Inc. As of October 31, 2013,
Chartwell managed approximately $6.8 billion in assets.
2014 The Vanguard Group, Inc. All rights reserved.
Vanguard Marketing Corporation, Distributor. PS 24 032014
EX-99.77D POLICIES
3
d77b04-30-14.txt
SUPPLEMENT TO PROSPECTUS (B)
Vanguard Explorer Fund
Supplement to the Prospectus and Summary Prospectus Dated
October 11, 2013
Prospectus and Summary Prospectus Text Changes
The following replaces similar text under the heading "Investment Advisors":
Portfolio Managers
Alexander L. Thorndike, Managing Partner at Century Capital. He has managed a
portion of the Fund since 2008.
Edward N. Antoian, CFA, CPA, Managing Partner at Chartwell. He has co-managed
a portion of the Fund since 1997.
John A. Heffern, Managing Partner and Senior Portfolio Manager at Chartwell.
He has co-managed a portion of the Fund since 2006.
Gary C. Hatton, CFA, co-Founder and Chief Investment Officer of Granahan. He
has co-managed a portion of the Fund since 1998.
Jane M. White, co-Founder, President, and Chief Executive Officer of Granahan.
She has co-managed a portion of the Fund since 2000.
Jennifer M. Pawloski, Vice President of Granahan. She has co-managed a
portion of the Fund since January 2014.
John V. Schneider, CFA, Vice President of Granahan. He has co-managed a
portion of the Fund since January 2014.
Ford B. Draper, Jr., President, Chief Investment Officer, and Founder of
Kalmar. He has managed a portion of the Fund since 2005.
Ryan E. Crane, CFA, Chief Investment Officer of SIMG. He has managed a
portion of the Fund since 2013.
Kenneth L. Abrams, Senior Vice President and Equity Portfolio Manager of
Wellington Management. He has managed a portion of the Fund since 1994.
James D. Troyer, CFA, Principal of Vanguard. He has managed a portion of the
Fund since 2006 (co-managed since 2012).
James P. Stetler, Principal of Vanguard. He has co-managed a portion of the
Fund since 2012.
Michael R. Roach, CFA, Portfolio Manager at Vanguard. He has co-managed a
portion of the Fund since 2012.
Prospectus Text Changes
The following replaces similar text under the heading "Investment Advisors":
The managers primarily responsible for the day-to-day management of the Fund
are:
Alexander L. Thorndike, Managing Partner at Century Capital. He has worked in
investment management since 1988, has managed investment portfolios for
Century Capital since 1999, and has managed a portion of the Fund since 2008.
Education: A.B., Harvard University; M.B.A., J.L. Kellogg Graduate School of
Management at Northwestern University.
Edward N. Antoian, CFA, CPA, Managing Partner at Chartwell. He has
managed equity funds since 1984 and has co-managed a portion of the Fund
since 1997. Education: B.S., State University of New York; M.B.A., University
of Pennsylvania.
John A. Heffern, Managing Partner and Senior Portfolio Manager at Chartwell.
He has worked in investment management since 1988, has been with Chartwell
since 2005, and has co-managed a portion of the Fund since 2006. Education:
B.S. and M.B.A., University of North Carolina at Chapel Hill.
Gary C. Hatton, CFA, co-Founder and Chief Investment Officer of Granahan. He
has worked in investment management since 1982, has been with Granahan
since 1985, and has co-managed a portion of the Fund since 1998. Education:
B.S., University of Rhode Island; M.S., University of Wisconsin.
Jane M. White, co-Founder, President, and Chief Executive Officer of Granahan.
She has worked in investment management since 1980, has been with
Granahan since 1985, and has co-managed a portion of the Fund since 2000.
Education: B.A., Boston University.
Jennifer M. Pawloski, Vice President of Granahan. She has worked in
investment management since 1993, has been with Granahan since 2007, has
managed investment portfolios since 2008, and has co-managed a portion of
the Fund since January 2014. Education: B.S., Bentley College.
John V. Schneider, CFA, Vice President of Granahan. He has worked in
investment management since 2000, has been with Granahan since 2006, has
managed investment portfolios since 2007, and has co-managed a portion of
the Fund since January 2014. Education: A.B., Dartmouth College.
Ford B. Draper, Jr., President, Chief Investment Officer, and Founder of
Kalmar. He has worked in investment management since 1967; founded Kalmar
Investments Inc., the sister company of Kalmar, in 1982; and has managed a
portion of the Fund since 2005. Education: B.A., Yale University; M.B.A.,
Columbia University.
Ryan E. Crane, CFA, Chief Investment Officer of SIMG. He has worked in
investment management since 1995, has been with SIMG since 2005, and has
managed a portion of the Fund since 2013. Education: B.S., University of
Houston.
Kenneth L. Abrams, Senior Vice President and Equity Portfolio Manager of
Wellington Management. He has worked in investment management with
Wellington Management since 1986 and has managed a portion of the Fund
since 1994. Education: B.A. and M.B.A., Stanford University.
James D. Troyer, CFA, Principal of Vanguard. He has managed investment
portfolios since 1986, has been with Vanguard since 1989, and has managed a
portion of the Fund since 2006 (co-managed since 2012). Education: A.B.,
Occidental College.
James P. Stetler, Principal of Vanguard. He has been with Vanguard since
1982, has worked in investment management since 1996, has managed
investment portfolios since 2003, and has co-managed a portion of the Fund
since 2012. Education: B.S., Susquehanna University; M.B.A., Saint Joseph?s
University.
Michael R. Roach, CFA, Portfolio Manager at Vanguard. He has been with
Vanguard since 1998, has worked in investment management since 2001, and
has co-managed a portion of the Fund since 2012. Education: B.S.,
Bloomsburg University; M.S., Drexel University.
CFA is a trademark owned by CFA Institute.
2014 The Vanguard Group, Inc. All rights reserved.
Vanguard Marketing Corporation, Distributor. PS 24 012014
EX-99
4
q77304-30-14.txt
SUPLEMENTAL DATA
EXHIBIT 77Q3 TO FORM N-SAR
Registrant Name: Vanguard Explorer Fund
File Number: 811-1530
Registrant CIK Number: 0000034066
Items 72, 73 and 74
Because the electronic format for filing Form N-SAR does not provide
adequate space for responding to Items 72 through 74 completely, the Registrant
has set forth in their entirety the complete responses to the indicated Items or
Sub-Items below, in accordance with verbal instructions provided to the
Registrant by the staff of the Commission on September 20, 2002, and September
23, 2002.
Series 1 Identifier S000002578
Class 1 SEC Identifier C000007081
Class 2 SEC Identifier C000007082
Item 73
Distributions per share for which record date passed during the period:
B) 1. Distributions of capital gains $10.822
2. Distributions of capital gains from a second class of open-end
company shares $10.062