Form TA-1/A VANGUARD GROUP INC

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February 3, 2017 10:20 AM EST
 
 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
FORM TA-1
 
OMB Approval
OMB Number:      3235-0084
Estimated average burden hours per response …... 2.00
UNIFORM FORM FOR REGISTRATION AS A TRANSFER AGENT AND FOR AMENDMENT
TO REGISTRATION PURSUANT TO SECTION 17A OF THE
SECURITIES EXCHANGE ACT OF 1934
 
GENERAL:
 
Form TA-1 is to be used to register or amend registration as a transfer agent with the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation or the Securities and Exchange Commission pursuant to Section 17A of the Securities Exchange Act of 1934.
Read all instructions before completing this form.  Please print or type all responses.
 
Form Version 3.2.0
1(a). Filer CIK:
0000735286
1(c). Live/Test Filing? Live                  Test             
1(e). Is this filing an amendment to a previous filing? Yes
1(e)(i). File Number: 084-00772
2. Appropriate regulatory agency (check one) :
 Securities and Exchange Commission
 Board of Governors of the Federal Reserve System
 Federal Deposit Insurance Corporation
 Comptroller of the Currency
 Office of Thrift Supervision
3(a). Full Name of Registrant:
The Vanguard Group, Inc.
3(a)(i). Previous name, if being amended:
3(b). Financial Industry Number Standard (FINS) number:
385385
3(c). Address of principal office where transfer agent activities are, or will be, performed:
3(c)(i). Address 1
100 Vanguard Boulevard
3(c)(ii). Address 2
v26
3(c)(iii). City
Malvern
3(c)(iv). State or Country
PA
PENNSYLVANIA
3(c)(v). Postal Code
19355-2900
 
3(d). Is Mailing address different from response to Question 3c?
If "yes," provide address(es):
     Yes       No
            
3(d)(i). Address 1
400 Devon Park Drive
3(d)(ii).Address 2
3(d)(iii).City
Wayne
3(d)(iv).State or Country
PA
PENNSYLVANIA
3(d)(v).Postal Code
19087-2600
3(e). Telephone Number
     (Include Area Code)
610-669-1000
4. Does registrant conduct, or will it conduct, transfer agent activities at any location other than that given in question 3c above?
If "yes," provide address(es):
     Yes       No
            
 
4(a)(i). Address 1
2525 Water Ridge Parkway
4(a)(ii). Address 2
1 North Falls Plaza
4(a)(iii). City
Charlotte
4(a)(iv). State or Country
NC
NORTH CAROLINA
4(a)(v). Postal Code
28217
4(a)(i). Address 1
14321 North Northsight Blvd.
4(a)(ii). Address 2
4(a)(iii). City
Scottsdale
4(a)(iv). State or Country
AZ
ARIZONA
4(a)(v). Postal Code
85260
5. Does registrant act, or will it act, as a transfer agent solely for its own securities and/or securities of an affiliate(s)? 
     Yes       No
            
 
6. Has registrant, as a named transfer agent, engaged, or will it engage, a service company to perform any transfer agent functions?
     Yes       No
            
7. Has registrant been engaged, or will it be engaged, as a service company by a named transfer agent to perform transfer agent functions?
     Yes       No
            
 
If "yes," provide the name(s) and File Number(s) of the named transfer agent(s) for which the registrant has been engaged, or will be engaged, as a service company to perform transfer agent functions:
7(a). Name
Ascensus College Savings Recordkeeping Services, LLC.
7(b). File Number:084-06488
 
7(c)(i). Address 1
95 Wells Avenue
7(c)(ii).Address 2
Suite 160
7(c)(iii).City
Newton
7(c)(iv).State or Country
MA
7(c)(v).Postal Code
02459
Completion of Question 8 on this form is required by all independent, non-issuer registrants whose appropriate regulatory authority is the Securities and Exchange Commission.  Those registrants who are not required to complete Question 8 should select "Not Applicable".
 
8. Is registrant a: Corporation 
Section for Initial Registration and for Amendments Reporting Additional Persons.
8(a)(i). Full Name
Rajiv L. Gupta
8(a)(ii). Relationship Start Date
2001-12-31
8(a)(iii). Title or Status
Director
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Amy Gutmann
8(a)(ii). Relationship Start Date
2006-06-30
8(a)(iii). Title or Status
Director
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
JoAnn Heffernan Heisen
8(a)(ii). Relationship Start Date
1998-07-30
8(a)(iii). Title or Status
Director
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Andre F. Perold
8(a)(ii). Relationship Start Date
2004-12-31
8(a)(iii). Title or Status
Director
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Emerson U. Fullwood
8(a)(ii). Relationship Start Date
2008-01-01
8(a)(iii). Title or Status
Director
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
F. Joseph Loughrey
8(a)(ii). Relationship Start Date
2009-10-01
8(a)(iii). Title or Status
Director
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Michael Rollings
8(a)(ii). Relationship Start Date
2016-06-06
8(a)(iii). Title or Status
Managing Director
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Mark Loughridge
8(a)(ii). Relationship Start Date
2012-03-22
8(a)(iii). Title or Status
Director
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Scott C. Malpass
8(a)(ii). Relationship Start Date
2012-03-22
8(a)(iii). Title or Status
Director
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Peter F. Volanakis
8(a)(ii). Relationship Start Date
2008-12-01
8(a)(iii). Title or Status
Director
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Alfred M. Rankin, Jr.
8(a)(ii). Relationship Start Date
1992-12-31
8(a)(iii). Title or Status
Director
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
2014-12-31
8(a)(i). Full Name
Mortimer J. Buckley
8(a)(ii). Relationship Start Date
2003-01-31
8(a)(iii). Title or Status
Managing Director
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Kathleen C. Gubanich
8(a)(ii). Relationship Start Date
1997-08-31
8(a)(iii). Title or Status
Managing Director
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
2016-12-31
8(a)(i). Full Name
F. William McNabb, III
8(a)(ii). Relationship Start Date
2008-08-31
8(a)(iii). Title or Status
Chief Executive Officer, Board Chairman
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Michael S. Miller
8(a)(ii). Relationship Start Date
1997-08-31
8(a)(iii). Title or Status
Managing Director
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
2015-07-17
8(a)(i). Full Name
Paul A. Heller
8(a)(ii). Relationship Start Date
2007-05-17
8(a)(iii). Title or Status
Managing Director
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
2015-12-31
8(a)(i). Full Name
Glenn W. Reed
8(a)(ii). Relationship Start Date
2008-05-21
8(a)(iii). Title or Status
Managing Director
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
James M. Norris
8(a)(ii). Relationship Start Date
2009-03-26
8(a)(iii). Title or Status
Managing Director
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Martha G. King
8(a)(ii). Relationship Start Date
2012-01-07
8(a)(iii). Title or Status
Managing Director
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Chris D. McIssac
8(a)(ii). Relationship Start Date
2012-01-07
8(a)(iii). Title or Status
Managing Director
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
John T. Marcante
8(a)(ii). Relationship Start Date
2013-03-21
8(a)(iii). Title or Status
Managing Director
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Pauline C. Scalvino
8(a)(ii). Relationship Start Date
2006-03-31
8(a)(iii). Title or Status
Chief Compliance Officer
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
2014-04-14
8(a)(i). Full Name
Heidi Stam
8(a)(ii). Relationship Start Date
2005-07-31
8(a)(iii). Title or Status
General Counsel
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
2016-09-23
8(a)(i). Full Name
Anne E. Robinson
8(a)(ii). Relationship Start Date
2016-09-22
8(a)(iii). Title or Status
General Counsel
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Natalie Bej
8(a)(ii). Relationship Start Date
2014-04-14
8(a)(iii). Title or Status
Chief Compliance Officer
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Karin A. Risi
8(a)(ii). Relationship Start Date
2015-05-28
8(a)(iii). Title or Status
Managing Director
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Thomas M. Rampulla
8(a)(ii). Relationship Start Date
2015-05-28
8(a)(iii). Title or Status
Managing Director
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
John James
8(a)(ii). Relationship Start Date
2017-01-01
8(a)(iii). Title or Status
Managing Director
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
9. Does any person or entity not named in the answer to Question 8:
9(a). directly or indirectly, through agreement or otherwise exercise or have the power to exercise control over the management or policies of applicant; or . . . .
    Yes    No        
9(b). wholly or partially finance the business of applicant, directly or indirectly, in any manner other than by a public offering of securities made pursuant to the Securities Act of 1933 or by credit extended in the ordinary course of business by suppliers, banks and others ? . . . . . . . . . . . . . . . . . . . . . . . . . .
 Yes    No
     
 
10.Applicant and Control Affiliate Disciplinary History:
 
The following definitions apply for purposes of answering this Question 10
 
Control affiliate
- An individual or firm that directly or indirectly controls, is under common control with, or is controlled by applicant. Included are any employees identified in 8(a), 8(b), 8(c) of this form as exercising control.  Excluded are any employees who perform solely clerical, administrative support of similar functions, or who, regardless of title, perform no executive duties or have no senior policy making authority.
Investment or investment related
- Pertaining to securities, commodities, banking, insurance, or real estate (including, but not limited to, acting as or being associated with a broker-dealer, investment company, investment adviser, futures sponsor, bank, or savings and loan association).
Involved
- Doing an act of aiding, abetting, counseling, commanding, inducing, conspiring with or failing reasonably to supervise another in doing an act.
 
10(a). In the past ten years has the applicant or a control affiliate been convicted of or plead guilty or nolo contender ("no contest") to:
10(a)(1). a felony or misdemeanor involving: investments or an investment-related business, fraud, false statements or omissions, wrongful taking of property, or bribery, forgery, counterfeiting or extortion?  . . . . . . . . . . . .
    Yes    No
        
10(a)(2). any other felony? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
    Yes    No
        
10(b). Has any court in the past ten years: 
10(b)(1). enjoined the applicant or a control affiliate in connection with any investment-related activity? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
    Yes    No
        
10(b)(2). found that the applicant or a control affiliate was involved in a violation of investment-related statutes or regulations? . . . . .
    Yes    No
        
10(c). Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
10(c)(1). found the applicant or a control affiliate to have made a false statement or omission? . . . . . . . . . . . . . . . . . . . . . . . .
    Yes    No
        
10(c)(2). found the applicant or a control affiliate to have been involved in a violation of its regulations or statutes? . . . . . . . . . . . . . . . . . . . . . . . . . . . .
    Yes    No
        
10(c)(3). found the applicant or a control affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
    Yes    No
        
10(c)(4). entered an order denying, suspending or revoking the applicant's or a control affiliate's registration or otherwise disciplined it by restricting its activities? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
    Yes    No
        
10(d). Has any other Federal regulatory agency or any state regulatory agency: 
10(d)(1). ever found the applicant or a control affiliate to have made a false statement or omission or to have been dishonest, unfair, or unethical? . . . . . .
    Yes    No
        
10(d)(2). ever found the applicant or a control affiliate to have been involved in a violation of investment-related regulations or statutes? . . . . . . . . . . . . . . . . .
    Yes    No
        
10(d)(3). ever found the applicant or a control affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
    Yes    No
        
10(d)(4). in the past ten years entered an order against the applicant or a control affiliate in connection with investment-related activity? . . . . . . . . . .
    Yes    No
        
10(d)(5). ever denied, suspended, or revoked the applicant's or a control affiliate's registration or license, or prevented it from associating with an investment-related business, or otherwise disciplined it by restricting its activities? . . . . . .
    Yes    No
        
10(d)(6). ever revoked or suspended the applicant's or a control affiliate's license as an attorney or accountant? . . . . . . . . . . . . . . . . . . . . . . . .
    Yes    No
        
10(e). Has any self-regulatory organization or commodities exchange ever: 
10(e)(1). found the applicant or a control affiliate to have made a false statement or omission? . . . . . . . . . . . . . . . . . .
    Yes    No
        
10(e)(2). found the applicant or a control affiliate to have been involved in a violation of its rules? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
    Yes    No
        
10(e)(2)(i). The individuals named in the Action
Vanguard Marketing Corporation
10(e)(2)(ii). Title of Action
AWC No. C05040058
10(e)(2)(iii). Date of Action
2004-07-20
10(e)(2)(iv). The Court or body taking the Action and its location
NASD
10(e)(2)(v). Description of the Action
NASD alleges in two instances, prices paid to customers to liquidate municipal securities positions were below fair market value. By relying on broker's bids to determine FMV, VMC failed to ensure transactions were executed at fair and reasonable prices.
10(e)(2)(vi). The disposition of the proceeding
NASD accepted VMC's Letter of Acceptance, Waiver and Consent. Firm agreed to imposition of censure and fine in the amount of $10,000, and restitution to two customers in the amount of $9,443, plus interest.
10(e)(2)(i). The individuals named in the Action
Vanguard Marketing Corporation ("VMC")
10(e)(2)(ii). Title of Action
Acceptance, Waiver and Consent (AWC) No. 2013038325801
10(e)(2)(iii). Date of Action
2015-03-06
10(e)(2)(iv). The Court or body taking the Action and its location
Financial Industry Regulatory Authority ("FINRA")
10(e)(2)(v). Description of the Action
FINRA ALLEGES THAT VMC VIOLATED ARTICLE V, SECTION 2(C) OF THE FINRA BY-LAWS, FINRA RULE 2010, AND NASD RULE 3010(A) BY FAILING TO FILE FORM U4 AMENDMENTS FOR 60 REPORTABLE EVENTS, AND BY FAILING TO TIMELY FILE FORM U4 AMENDMENTS FOR 20 REPORTABLE EVENTS.
10(e)(2)(vi). The disposition of the proceeding
FINRA accepted VMC's AWC. VMC agreed to the imposition of a censure, a $350,000 fine, production of a VMC retained independent consultant's report, and certification of VMC's implementation of improvements outlined in the independent consultant's report.
10(e)(3). found the applicant or a control affiliate to have been the cause of an investment-related business losing its authorization to do business? . . . . . . . .
    Yes    No
        
10(e)(4). disciplined the applicant or a control affiliate by expelling or suspending it from membership, by barring or suspending its association with other members, or by otherwise restricting its activities? . . . . . . . . . . . . . . . .
    Yes    No
        
10(f). Has any foreign government, court, regulatory agency, or exchange ever entered an order against the applicant or a control affiliate related to investments or fraud? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
    Yes    No
        
10(g). Is the applicant or a control affiliate now the subject of any proceeding that could result in a yes answer to questions 10(a) - 10(F)?
    Yes    No
        
10(h). Has a bonding company denied, paid out on, or revoked a bond for the applicant or a control affiliate? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
    Yes    No
        
10(i). Does the applicant or a control affiliate have any unsatisfied judgments or liens against it? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
    Yes    No
        
ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT
CONSTITUTE FEDERAL CRIMINAL VIOLATIONS.  See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)
 
SIGNATURE: The registrant submitting this form, and as required, the SEC supplement and Schedules A-D,
And the executing official hereby represent that all the information contained herein is true, correct and complete.
 
11(a). Signature of Official responsible for Form:
Natalie Bej
11(b). Telephone number:
610-503-5693
11(c). Title of Signing Officer:
Chief Compliance Officer
11(d). Date signed (Month/Day/Year):
2017-01-31
 
 

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