Redemption In Kind Disclosure
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Shareholders paid in whole or in part in-kind will receive a basket of securities that corresponds generally pro rata to the Fund’s portfolio holdings. From time to time, the Dodge & Cox Stock Fund and/or Dodge & Cox Balanced Fund may also effect redemptions in kind with a non-pro rata basket of select equity securities (a “Redemption Basket”). The following table list the securities that currently comprise the Redemption Basket:


Dodge & Cox Stock Fund and/or Dodge & Cox Balanced Fund
Redemption Basket
As of October 19, 2021

Security Approximate Weight
Alnylam Pharmaceuticals, Inc.3.32%
Baker Hughes Co., Class A5.79%
Bank of New York Mellon Corp.7.60%
Capital One Financial Corp.13.45%
Celanese Corp.3.01%
Charter Communications, Inc., Class A15.00%
ConocoPhillips15.00%
Hewlett Packard Enterprise Co.3.90%
HP Inc.7.49%
Johnson Controls International PLC7.60%
Lincoln National Corp.2.39%
MetLife, Inc.8.06%
Roche Holding AG ADR0.68%
Schlumberger, Ltd.6.72%

 

Note: Dodge & Cox may at its discretion omit a security from or adjust the weighting of a security listed in the Redemption Basket when processing a redemption in kind for reasons including, but not limited to, changes in portfolio holdings, investment decisions, the possession of potentially material non-public information about a security, corporate actions, the need to apply fair value pricing to a security, or in other circumstances when Dodge & Cox deems it appropriate and in the best interest of the Fund.



Dodge & Cox Stock Fund
Redemption Basket Transaction Information
Transactions Executed the Week Ended October 19, 2021

Security # of Shares $ Amount (millions)
Alnylam57,600$12.0
Alphabet, Class C19,000$53.8
American Express263,800$46.4
Capital One291,300$49.0
Celanese67,300$11.1
Hess188,300$17.0
Hewlett Packard Enterprise954,800$14.5
HP Inc.940,400$26.6
Johnson Controls392,100$28.0
Lincoln National120,400$8.7
Occidental1,547,300$49.0
T-Mobile U.S.369,400$43.4


Dodge & Cox Balanced Fund
Redemption Basket Transaction Information
Transactions Executed the Week Ended October 19, 2021

Security # of Shares $ Amount (millions)
Alnylam8,100$1.7
Alphabet, Class C2,600$7.4
American Express37,300$6.6
Capital One41,200$6.9
Celanese9,500$1.6
Hess26,600$2.4
Hewlett Packard Enterprise135,000$2.0
HP Inc.133,000$3.8
Johnson Controls55,400$4.0
Lincoln National17,000$1.2
Occidental218,800$6.9
T-Mobile U.S.52,200$6.1

 

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