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Vanguard S&P Mid-Cap 400 ETF
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Overview Fund Activity

28 hedge funds and large institutions have $44.6M invested in Vanguard S&P Mid-Cap 400 ETF in 2013 Q3 according to their latest regulatory filings, with 7 funds opening new positions, 11 increasing their positions, 4 reducing their positions, and 3 closing their positions.

Holders
28
Holders Change
+4
Holders Change %
+16.67%
% of All Funds
0.91%
Holding in Top 10
1
Holding in Top 10 Change
+1
Holding in Top 10 Change %
%
% of All Funds
0.03%
New
7
Increased
11
Reduced
4
Closed
3
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
TCB
1
Texas Capital Bancshares
Texas
$17.4M
2
Bank of America
2
Bank of America
North Carolina
$5.4M
3
VF
3
Virtu Financial
New York
$755K
4
HJA
4
Hugh Johnson Advisors
New York
$765K
5
LFG
5
LifePlan Financial Group
Ohio
$357K

Top Sellers

1
RJFSA
1
Raymond James Financial Services Advisors
Florida
$0
2
Morgan Stanley
2
Morgan Stanley
New York
$3.05M
3
Royal Bank of Canada
3
Royal Bank of Canada
Ontario, Canada
$544K
4
Wells Fargo
4
Wells Fargo
California
$481K
5
FHB
5
First Hawaiian Bank
Hawaii
$0
Name Market Value Shares Shares
Change 		Shares
Change %
TCB
1
Texas Capital Bancshares
Texas
$17.4M 207,741 +207,741 New
Bank of America
2
Bank of America
North Carolina
$5.4M 64,395 +9,322 +17%
Morgan Stanley
3
Morgan Stanley
New York
$3.05M 36,409 -9,702 -21%
PFM
4
Phillips Financial Management
Indiana
$2.62M 30,952 -120 -0.4%
Commonwealth Equity Services
5
Commonwealth Equity Services
Massachusetts
$2.16M 25,739 +2,759 +12%
U
6
UBS
Switzerland
$2.06M 24,555 +3,326 +16%
PNC Financial Services Group
7
PNC Financial Services Group
Pennsylvania
$1.55M 18,532 – –
KeyBank National Association
8
KeyBank National Association
Ohio
$1.39M 16,585 – –
Susquehanna International Group
9
Susquehanna International Group
Pennsylvania
$1.13M 13,436 +3,303 +33%
LPL Financial
10
LPL Financial
California
$930K 10,894 +1,169 +12%
HJA
11
Hugh Johnson Advisors
New York
$765K 9,128 +4,660 +104%
VF
12
Virtu Financial
New York
$755K 9,004 +9,004 New
KFS
13
KMS Financial Services
Washington
$750K 8,950 – –
BC
14
Bartlett & Co
Ohio
$658K 7,845 – –
Cambridge Investment Research Advisors
15
Cambridge Investment Research Advisors
Iowa
$632K 7,535 +1,516 +25%
Royal Bank of Canada
16
Royal Bank of Canada
Ontario, Canada
$544K 6,485 -6,396 -50%
Wells Fargo
17
Wells Fargo
California
$481K 5,738 -2,827 -33%
PFG
18
Pacific Financial Group
Washington
$441K 5,268 – –
LFG
19
LifePlan Financial Group
Ohio
$357K 4,261 +4,261 New
Envestnet Asset Management
20
Envestnet Asset Management
Illinois
$308K 3,668 +410 +13%
CAN
21
Cetera Advisor Networks
California
$255K 3,039 +3,039 New
TH
22
Timber Hill
Connecticut
$215K 2,567 +2,567 New
NPC
23
National Planning Corporation
California
$214K 2,540 +2,540 New
CAPTRUST Financial Advisors
24
CAPTRUST Financial Advisors
North Carolina
$165K 1,962 +1,075 +121%
US Bancorp
25
US Bancorp
Minnesota
$135K 1,605 +50 +3%
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