THE VANGUARD GROUP, INC. Patent applications |
Patent application number | Title | Published |
20150269679 | 2-D and 3-D Graphical Visualization of Diversification of Portfolio Holdings - Data visualization processes are provided for expressing diversification of an investment based on each underlying holding weight in the investment relative to each holding's market capitalization weight in the investment and each holding's market capitalization weight in the broad market or by its absolute holding percentage. Visualizations can be depicted in both 2-D and 3-D formats, with area fill, volume fill, color, and/or opacity depicting percentage of coverage. Visualization can show diversification down to the individual holding level and in aggregate levels, such as mega-cap, mid-cap and small-cap. | 09-24-2015 |
20140201823 | Article of manufacture for securing data in 2D bar codes using SSL - An article of manufacture comprises a printed document associated with a source entity. The printed document is readable by a software application of an electronic device. The printed document includes a plain text content portion and a two-dimensional code (2-D code) that includes data encoded therein which is readable by the software application of the electronic device. The encoded data includes a resource locator to an intent. The resource locator to an intent includes a protocol identifier designating a secure 2-D code which is detectable by the software application of the electronic device for electronic replacement by the software application with a protocol identifier used to access a secure server of the source entity located at a host portion of the resource locator. The protocol identifier is a protocol identifier associated with URL specifications. | 07-17-2014 |
20140195404 | METHOD AND SYSTEM FOR IMPLEMENTING AN INVESTMENT COMPANY THAT ISSUES A CLASS OF CONVENTIONAL SHARES AND A CLASS OF EXCHANGE-TRADED SHARES IN THE SAME FUND - A method is provided for administering a single investment company that issues one or more classes of shares that are bought from and redeemed with the single investment company at a net asset value and issues one or more classes of shares that are listed for trading on a securities exchange and that are bought and sold at negotiated market prices. One or more computers maintain account data of the outstanding shares. An owner of any share of any share class has an undivided interest in the single investment company. | 07-10-2014 |
20140089229 | Method of Administering an Investment Fund - A method of administering an investment fund using a computer. The method includes the steps of creating shares for sale, providing a managed distribution schedule identifying a number of payments to be provided during each of consecutive periods, providing an investment strategy for investing in assets to provide funds sufficient to meet the managed distribution schedule, issuing a share to an investor in exchange for funds received from the investor, investing the received funds according to the investment strategy, calculating the value of each of the payments to be provided according to the managed distribution schedule in a period to the investor, and providing each of the payments to the investor during the period. Mutiple embodiments relate to methods for calculation and sourcing of each payment. | 03-27-2014 |
20130125200 | Method of securing data in 2D bar codes using SSL - Methods and apparatus authenticate a printed document associated with a source entity. The printed document includes a two-dimensional code (2-D code) that includes data encoded therein. The encoded data includes a resource locator to an intent. An image of the 2-D code is decoded to obtain the resource locator to an intent, and it is detected whether the resource locator to an intent includes a protocol identifier designating a secure 2-D code. If so, the protocol identifier is replaced with a protocol identifier used to access a secure server of the source entity located at a host portion of the resource locator. The secure server is accessed to obtain the intent. A certificate of the secure server is accessed and an electronic device displays an indicator of whether the certificate is valid and also displays the intent. The indicator may be used to decide whether the intent can be trusted. | 05-16-2013 |
20120278260 | Computer-implemented method of constructing a stock index using multi-dimensional delineation between value and growth - Computer-implemented methods of creating and maintaining stock indexes are provided. Stock investment style is determined in a multi-dimensional process, instead of a linear process. Furthermore, the number of stocks in the stock index need not be a fixed value, but may depend upon how many stocks meet predefined criteria at any given point in time. | 11-01-2012 |
20120278259 | Computer-implemented method of constructing a stock index using index rotation - Computer-implemented methods of creating and maintaining stock indexes are provided. Stock migration is controlled using a systematic stock migration process so that stocks are gradually added and deleted from an index. | 11-01-2012 |
20120226631 | Method of Administering an Investment Fund - A method of administering an investment fund using a computer. The method includes the steps of creating shares for sale, providing a managed distribution schedule identifying a number of payments to be provided during each of consecutive periods, providing an investment strategy for investing in assets to provide funds sufficient to meet the managed distribution schedule, issuing a share to an investor in exchange for funds received from the investor, investing the received funds according to the investment strategy, calculating the value of each of the payments to be provided according to the managed distribution schedule in a period to the investor, and providing each of the payments to the investor during the period. Mutiple embodiments relate to methods for calculation and sourcing of each payment. | 09-06-2012 |
20120101962 | INVESTMENT COMPANY THAT ISSUES A CLASS OF CONVENTIONAL SHARES AND A CLASS OF EXCHANGE-TRADED SHARES IN THE SAME FUND - An automated method is provided for administering a single investment company that issues one or more classes of shares that are bought from and redeemed with the single investment company at a net asset value and issues one or more classes of shares that are listed for trading on a securities exchange and that are bought and sold at negotiated market prices. One or more computers maintain account data of the outstanding shares. An owner of any share of any share class has an undivided interest in the single investment company. | 04-26-2012 |
20110258089 | INVESTMENT COMPANY THAT ISSUES A CLASS OF CONVENTIONAL SHARES AND A CLASS OF EXCHANGE-TRADED SHARES IN THE SAME FUND - An automated method is provided for administering a single investment company that issues one or more classes of shares that are bought from and redeemed with the single investment company at a net asset value and issues one or more classes of shares that are listed for trading on a securities exchange and that are bought and sold at negotiated market prices. One or more computers maintain account data of the outstanding shares. An owner of any share of any share class has an undivided interest in the single investment company. | 10-20-2011 |
20100325023 | METHOD OF RECORDING AND PAYING DECLARED DIVIDENDS IN AN INVESTMENT COMPANY THAT INVESTS IN FIXED INCOME SECURITIES AND HAS CONVENTIONAL AND ETF SHARE CLASSES WITH DIFFERENT DIVIDEND PAYMENT FREQUENCIES - A method is are provided to administer an investment company. The investment company issues one or more classes of shares that are bought from and redeemed with the investment company at a net asset value. The investment company also issues one or more classes of shares that are listed for trading on a securities exchange and that are bought and sold in a secondary market at negotiated market prices. One or more computers maintain information regarding portfolio holdings of the investment company and outstanding shares in the investment company. Dividends are periodically declared at a first time interval for the outstanding shares that are bought from and redeemed with the investment company at a net asset value. The amount of dividends to declare is calculated from the information maintained in the one or more computers. Dividends are periodically declared at a second time interval that is different from the first time interval for the outstanding shares that are exchange-traded. Again, the amount of dividends to declare is calculated from the information maintained in the one or more computers. | 12-23-2010 |
20100223202 | COMPUTER PROGRAM PRODUCT FOR IMPLEMENTING INVESTMENT COMPANY THAT ISSUES A CLASS OF CONVENTIONAL SHARES AND A CLASS OF EXCHANGE-TRADED SHARES IN THE SAME FUND - A computer program product is provided for administering a single investment company. The computer program product has a computer-readable medium encoded with computer-executable instructions. The instructions perform a method wherein the single investment company issuing one or more classes of shares that are bought from and redeemed with the single investment company at a net asset value and issues one or more classes of shares that are listed for trading on a securities exchange and that are bought and sold at negotiated market prices. One or more computers maintain account data of the outstanding shares. An owner of any share of any share class has an undivided interest in the single investment company. | 09-02-2010 |
20090307120 | METHOD OF CONSTRUCTING A STOCK INDEX - Computer-implemented methods of creating and maintaining stock indexes are provided. For a stock index of a particular size, a band is defined around the upper and/or lower limits of the stock index. To be added to, or dropped from, a particular stock index, the stocks must fall outside of the bands for that particular stock index size. Stock migration is controlled using a systematic stock migration process so that stocks are gradually added and deleted from an index. Stock investment style is determined in a multi-dimensional process, instead of a linear process. Furthermore, the number of stocks in the stock index need not be a fixed value, but may depend upon how many stocks meet predefined criteria at any given point in time. | 12-10-2009 |
20090164581 | SYSTEM AND METHOD FOR SYNCHRONIZED CO-BROWSING BY USERS IN DIFFERENT WEB SESSIONS - A system and method for enabling co-browsing between two or more users accessing a website in separate sessions. Each of the users operates a web browser instance to browse the website. The website comprises one or more web pages, at least a portion of which includes embedded software code or script. A collaboration manager, established after the users consent to co-browsing, associates the sessions of the users. As the users navigate to new web addresses in the website or enter data into their browser instances, the software code or script embedded within the web pages rendered in the browser instances causes each user's browser to communicate changes in the web addresses or data to the collaboration manager. The collaboration manager receives the communicated changes and provides them to other co-browsing users. Synchronization of cursors, scroll-bar positions and other browser events is also supported. | 06-25-2009 |
20090083196 | BASKET CREATION PROCESS FOR ACTIVELY MANAGED ETF THAT DOES NOT REVEAL ALL OF THE UNDERLYING FUND SECURITIES - Methods and apparatus are provided to administer an actively managed investment company that invests assets in fixed income securities. The investment company issues one or more classes of shares that are listed for trading on a securities exchange and that are bought and sold in a secondary market at negotiated market prices. The investment company selects and holds a portfolio of fixed income securities that relate to a benchmark index. The selection is made in an actively managed manner such that the duration range of the securities holdings is either longer than the duration of the benchmark index, close to the duration of the benchmark index, or shorter than the duration of the benchmark index. The investment company defines a creation unit basket that has a duration that is equal to a midpoint of the duration range of the securities holdings of the investment company. The investment company periodically publishes the creation unit basket to facilitate creation and redemption of the exchange-traded shares. | 03-26-2009 |
20090083194 | Investment company that invests in fixed income securities and has conventional and ETF share classes with different dividend payment frequencies - Methods and apparatus are provided to administer an investment company. The investment company issues one or more classes of shares that are bought from and redeemed with the investment company at a net asset value. The investment company also issues one or more classes of shares that are listed for trading on a securities exchange and that are bought and sold in a secondary market at negotiated market prices. One or more computers maintain information regarding portfolio holdings of the investment company and outstanding shares in the investment company. Dividends are periodically declared at a first time interval for the outstanding shares that are bought from and redeemed with the investment company at a net asset value. The amount of dividends to declare is calculated from the information maintained in the one or more computers. Dividends are periodically declared at a second time interval that is different from the first time interval for the outstanding shares that are exchange-traded. Again, the amount of dividends to declare is calculated from the information maintained in the one or more computers. | 03-26-2009 |
20090076980 | METHOD OF ADMINISTERING A MUTUAL FUND THAT SEEKS TO PROVIDE REGULAR MONTHLY PAYMENTS WITHOUT CONSUMING PRINCIPAL - A method of administering an investment fund. The method includes the steps of creating shares for sale, providing a managed distribution schedule identifying a number of payments to be provided during each of consecutive periods, providing an investment strategy for investing in assets to provide funds sufficient to meet the managed distribution schedule, issuing a share to an investor in exchange for funds received from the investor, investing the received funds according to the investment strategy, calculating the value of each of the payments to be provided according to the managed distribution schedule in a period to the investor, and providing each of the payments to the investor during the period. Each payment is calculated according to a formula that specifies that the value of each payment is based on a trailing Net Asset Value (NAV) of the investor's share. | 03-19-2009 |