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Share Name | Share Symbol | Market | Type |
---|---|---|---|
TD Ameritrade Holding Corporation | NASDAQ:AMTD | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 39.97 | 39.94 | 39.97 | 0 | 01:00:00 |
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[X]
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ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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Contents
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Financial Statements
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/s/ ERNST & YOUNG LLP
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Minneapolis, Minnesota
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June 3, 2016
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December 31,
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2015
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2014
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Assets
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Cash
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$
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281,636
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$
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1,080,395
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Investments, at fair value (
Note 3
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752,206,626
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725,554,305
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Receivables:
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Employer contributions
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20,242,756
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18,224,228
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Notes receivable from participants
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16,482,074
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16,332,837
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Due from parties-in-interest
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95,510
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164,174
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Due from brokers
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706,058
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1,620,425
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Total receivables
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37,526,398
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36,341,664
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Total assets
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790,014,660
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762,976,364
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Liabilities
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Due to brokers
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916,838
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1,990,896
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Accrued administrative expenses
(Note 4)
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198,086
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223,673
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Total liabilities
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1,114,924
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2,214,569
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Net assets available for benefits
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$
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788,899,736
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$
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760,761,795
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The accompanying notes are an integral part of the financial statements.
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For the Years Ended
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December 31,
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2015
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2014
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Additions to (subtractions from) net assets attributed to:
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Investment income (loss):
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Net appreciation (depreciation) in fair value of investments
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$
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(18,865,340
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)
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$
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45,131,413
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Dividend income
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8,496,506
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8,175,348
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Mutual fund administrative income
(Note 4)
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150,588
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186,099
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Interest income
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57,995
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50,324
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Net investment income (loss)
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(10,160,251
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)
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53,543,184
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Interest income on notes receivable from participants
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680,969
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649,200
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Contributions:
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Employer
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34,002,375
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31,445,979
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Participants
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49,765,531
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50,457,199
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Total contributions
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83,767,906
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81,903,178
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Total additions
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74,288,624
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136,095,562
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Deductions from net assets attributed to:
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Distributions to plan participants
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45,259,726
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36,752,524
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Administrative expenses
(Notes 2 and 4)
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890,957
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1,008,236
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Total deductions
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46,150,683
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37,760,760
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Net increase
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28,137,941
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98,334,802
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Net assets available for benefits:
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Beginning of year
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760,761,795
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662,426,993
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End of year
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$
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788,899,736
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$
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760,761,795
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The accompanying notes are an integral part of the financial statements.
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•
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Level 1 — Quoted prices (unadjusted) in active markets for identical assets or liabilities that the Plan has the ability to access. This category includes active exchange-traded funds, money market mutual funds, mutual funds and equity securities.
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Level 2 — Inputs other than quoted prices included in Level 1 that are observable for the asset or liability, either directly or indirectly. Such inputs include quoted prices in markets
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Level 3 — Unobservable inputs for the asset or liability, where there is little, if any, observable market activity or data for the asset or liability. The Plan had no Level 3 investments during 2015 or 2014.
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Equity securities, including TD Ameritrade Holding Corporation and The Toronto-Dominion Bank common stock
– Fair value is determined by quoted market prices.
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Mutual funds
– Fair value is determined by quoted net asset value ("NAV").
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Collective trust funds
– These investments are not traded on an active market. The NAV, as provided by the trustee, is used as a practical expedient to estimate fair value. The NAV is based on the fair value of the underlying investments held by the fund less its liabilities. Generally, fair values of the underlying investments are determined by the trustee based on prices at which securities have actually traded, or evaluations based on pricing services or other observable inputs.
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Self-directed brokerage accounts
– Accounts primarily consist of common stocks, money market mutual funds and mutual funds that are valued on the basis of readily determinable market prices.
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As of December 31, 2015
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Level 1
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Level 2
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Level 3
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Fair Value
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TD Ameritrade Holding Corporation
common stock
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$
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112,782,971
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$
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—
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$
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—
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$
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112,782,971
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The Toronto-Dominion Bank common stock
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8,573,605
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—
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—
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8,573,605
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Mutual funds
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352,197,856
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—
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—
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352,197,856
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Self-directed brokerage accounts
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91,486,969
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1,325,379
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—
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92,812,348
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Total assets in the fair value hierarchy
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565,041,401
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1,325,379
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—
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566,366,780
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Investments measured at net asset value
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—
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—
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—
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185,839,846
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Total investments, at fair value
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$
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565,041,401
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$
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1,325,379
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$
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—
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$
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752,206,626
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As of December 31, 2014
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Level 1
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Level 2
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Level 3
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Fair Value
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TD Ameritrade Holding Corporation
common stock
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$
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114,946,393
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$
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—
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$
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—
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$
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114,946,393
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The Toronto-Dominion Bank common stock
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10,245,033
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—
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—
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10,245,033
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Mutual funds
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357,919,237
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—
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—
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357,919,237
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Self-directed brokerage accounts
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84,963,063
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1,309,825
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—
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86,272,888
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Total assets in the fair value hierarchy
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568,073,726
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1,309,825
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—
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569,383,551
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Investments measured at net asset value
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—
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—
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—
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156,170,754
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Total investments, at fair value
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$
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568,073,726
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$
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1,309,825
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$
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—
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$
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725,554,305
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Redemption
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Fair Value as of December 31,
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Redemption
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Notice
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2015
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2014
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Frequency
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Period
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Collective Trust Funds:
(1)
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Retirement trusts
(2)
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$
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171,699,960
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$
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156,170,754
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Daily
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90 days
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Fixed income fund
(3)
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14,139,886
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—
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Daily
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None
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$
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185,839,846
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$
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156,170,754
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(2)
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The investment strategy of the retirement trusts is to emphasize potential capital appreciation during the early phases of retirement asset accumulation, balance the need for appreciation with the need for income as retirement approaches, and focus more on income and principal stability during retirement. Under the retirement trusts' governing documents, the trustee may require 90 days' prior written notice before units can be redeemed or withdrawn. However, the retirement trusts' current policy, which is subject to change, requires one day's advance written notice when redemptions are requested by plan participants and 30 days' advance written notice when a retirement plan is withdrawing, in whole or in part, from a retirement trust.
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Cost Basis as of
December 31,
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Fair Value as of
December 31,
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Shares as of
December 31,
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2015
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2014
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2015
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2014
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2015
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2014
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TD Ameritrade Holding Corporation common stock
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$
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60,739,096
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$
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54,120,144
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$
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112,782,971
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$
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114,946,393
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3,249,293
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3,212,588
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The Toronto-Dominion Bank common stock
(1)
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4,165,537
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3,856,372
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8,724,908
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10,371,152
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222,745
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217,061
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Years Ended December 31,
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2015
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2014
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Dividends on common stock:
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Parent
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$
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1,988,379
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$
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1,653,758
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The Toronto-Dominion Bank
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344,585
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358,671
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$
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2,332,964
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$
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2,012,429
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December 31,
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2015
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2014
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Net assets available for benefits per the financial statements
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$
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788,899,736
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$
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760,761,795
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Less certain deemed distributions of participant loans
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(31,400
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)
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—
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Net assets available for benefits per Form 5500
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$
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788,868,336
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$
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760,761,795
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Net increase in net assets available for benefits per the financial statements
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$
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28,137,941
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Less certain deemed distributions of participant loans and related interest
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(31,400
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)
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Net increase in net assets available for benefits per Form 5500
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$
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28,106,541
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Identity of Issue, Borrower,
Lessor or Similar Party
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Description of Investment Including Collateral,
Rate of Interest, Maturity Date, Par or Maturity Value
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Current
Value
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TD Ameritrade Holding Corporation
(1)
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Common stock, 3,249,293 shares
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$
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112,782,971
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TD Ameritrade, Inc. (as broker)
(1)(2)
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Self-directed brokerage accounts (comprised of various self-directed investments)
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92,812,348
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The Toronto-Dominion Bank
(1)
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Common stock, 218,882 shares
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8,573,605
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AllianceBernstein
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AllianceBernstein Global Bond Fund Class I, 552,061 shares
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4,499,295
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Dimensional Fund Advisors
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DFA U.S. Small Cap Institutional Fund, 1,030,942 shares
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29,237,518
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Gabelli Funds, LLC
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Gabelli U.S. Treasury Money Market Fund, 3,956,377 shares
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3,956,377
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JPMorgan
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JPMorgan Short Duration Bond R6 Fund, 83,731 shares
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904,300
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The Lazard Funds, Inc.
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Lazard Emerging Markets Equity Institutional Fund, 1,222,274 shares
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16,427,365
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Loomis Sayles Trust Company, LLC
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Loomis Sayles Core Plus Fixed Income Fund, 1,106,407 shares
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14,139,886
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MFS Investment Management
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MFS Institutional International Equity Fund, 194,005 shares
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3,988,752
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PRIMECAP Management Company
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PRIMECAP Odyssey Stock Fund, 1,732,966 shares
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40,915,318
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T. Rowe Price
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T. Rowe Price Mid Cap Growth Fund, 923,085 shares
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67,680,628
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T. Rowe Price
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T. Rowe Price Retirement 2005 Trust, 11,615 shares
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145,300
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T. Rowe Price
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T. Rowe Price Retirement 2010 Trust, 64,444 shares
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830,037
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T. Rowe Price
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T. Rowe Price Retirement 2015 Trust, 214,686 shares
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2,893,968
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T. Rowe Price
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T. Rowe Price Retirement 2020 Trust, 680,909 shares
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9,539,536
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T. Rowe Price
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T. Rowe Price Retirement 2025 Trust, 728,944 shares
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10,569,695
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T. Rowe Price
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T. Rowe Price Retirement 2030 Trust, 1,873,405 shares
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27,969,939
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T. Rowe Price
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T. Rowe Price Retirement 2035 Trust, 1,538,595 shares
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23,448,192
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T. Rowe Price
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T. Rowe Price Retirement 2040 Trust, 2,581,327 shares
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39,804,067
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T. Rowe Price
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T. Rowe Price Retirement 2045 Trust, 1,443,146 shares
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22,253,304
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T. Rowe Price
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T. Rowe Price Retirement 2050 Trust, 1,311,834 shares
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20,228,486
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T. Rowe Price
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T. Rowe Price Retirement 2055 Trust, 796,829 shares
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12,271,172
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T. Rowe Price
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T. Rowe Price Retirement Income Trust, 143,019 shares
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1,746,264
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The Vanguard Group, Inc.
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Vanguard Emerging Markets Stock Index Institutional Fund, 235,463 shares
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4,892,929
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The Vanguard Group, Inc.
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Vanguard Institutional Index Fund, 408,030 shares
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76,146,540
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The Vanguard Group, Inc.
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Vanguard Mid Cap Index Institutional Fund, 461,521 shares
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15,160,960
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The Vanguard Group, Inc.
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Vanguard Prime Money Market Admiral Fund, 40,670,391 shares
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40,670,391
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The Vanguard Group, Inc.
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Vanguard Short Term Bond Index Admiral Fund, 208,519 shares
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2,174,851
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The Vanguard Group, Inc.
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Vanguard Small Cap Index Institutional Fund, 292,700 shares
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15,527,750
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The Vanguard Group, Inc.
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Vanguard Total Bond Market Index Institutional Fund, 837,094 shares
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8,906,682
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The Vanguard Group, Inc.
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Vanguard Total International Stock Index Institutional Fund, 217,745 shares
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21,108,200
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Loans to Participants
(1)
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Maturing from January 2016 to November 2030,
interest range: 4.25% to 10.5% |
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16,482,074
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$
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768,688,700
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Date: June 3, 2016
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By:
/s/ STEPHEN J. BOYLE
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Stephen J. Boyle
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TD Ameritrade Holding Corporation
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Executive Vice President, Chief Financial Officer
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Exhibit Number
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Description
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23.1
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Consent of Ernst & Young LLP
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1 Year TD Ameritrade Chart |
1 Month TD Ameritrade Chart |
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