-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, OiVrXsA/mE6n5grsNO3RvsASTpoB7wk+Z2Hir3/ZcK+6SYqJD3ZT5E3dvQHCkCtz QjbyqWGBMtSuuagXHEa2qg== 0000897436-02-000299.txt : 20020927 0000897436-02-000299.hdr.sgml : 20020927 20020927155435 ACCESSION NUMBER: 0000897436-02-000299 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20020731 FILED AS OF DATE: 20020927 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ISHARES TRUST CENTRAL INDEX KEY: 0001100663 IRS NUMBER: 943351276 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-09729 FILM NUMBER: 02774815 BUSINESS ADDRESS: STREET 1: 45 FREMONT STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94105 NSAR-B 1 answer.fil PAGE 1 000 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G014300 Y 070 G024300 N 070 H014300 Y 070 H024300 N 070 I014300 N 070 I024300 N 070 J014300 Y 070 J024300 N 070 K014300 Y 070 K024300 Y 070 L014300 Y 070 L024300 N PAGE 19 070 M014300 Y 070 M024300 N 070 N014300 Y 070 N024300 Y 070 O014300 N 070 O024300 N 070 P014300 Y 070 P024300 Y 070 Q014300 Y 070 Q024300 N 070 R014300 Y 070 R024300 N 071 A004300 3577 071 B004300 3694 071 C004300 25955 071 D004300 14 072 A004300 12 072 B004300 0 072 C004300 15 072 D004300 0 072 E004300 4 072 F004300 130 072 G004300 0 072 H004300 0 072 I004300 0 072 J004300 0 072 K004300 0 072 L004300 0 072 M004300 0 072 N004300 0 072 O004300 0 072 P004300 0 072 Q004300 0 072 R004300 0 072 S004300 0 072 T004300 0 072 U004300 0 072 V004300 0 072 W004300 0 072 X004300 130 072 Y004300 0 072 Z004300 -110 072AA004300 1057 072BB004300 4502 072CC014300 0 072CC024300 19166 072DD014300 0 072DD024300 0 072EE004300 0 073 A014300 0.0000 073 A024300 0.0000 PAGE 20 073 B004300 0.0000 073 C004300 0.0000 074 A004300 0 074 B004300 0 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F044700 4564 028 G014700 0 028 G024700 0 028 G034700 0 028 G044700 4564 028 H004700 0 045 004700 Y 046 004700 N 047 004700 Y 048 004700 0.500 048 A014700 0 048 A024700 0.000 048 B014700 0 048 B024700 0.000 048 C014700 0 048 C024700 0.000 048 D014700 0 048 D024700 0.000 048 E014700 0 048 E024700 0.000 048 F014700 0 048 F024700 0.000 048 G014700 0 048 G024700 0.000 048 H014700 0 048 H024700 0.000 048 I014700 0 048 I024700 0.000 048 J014700 0 048 J024700 0.000 048 K014700 0 048 K024700 0.000 066 A004700 Y 066 B004700 N 066 C004700 Y 066 D004700 N 066 E004700 N PAGE 22 066 F004700 N 066 G004700 N 067 004700 N 068 A004700 N 068 B004700 N 069 004700 Y 070 A014700 Y 070 A024700 N 070 B014700 Y 070 B024700 N 070 C014700 Y 070 C024700 N 070 D014700 Y 070 D024700 N 070 E014700 Y 070 E024700 N 070 F014700 Y 070 F024700 N 070 G014700 Y 070 G024700 N 070 H014700 Y 070 H024700 N 070 I014700 N 070 I024700 N 070 J014700 Y 070 J024700 N 070 K014700 Y 070 K024700 Y 070 L014700 Y 070 L024700 N 070 M014700 Y 070 M024700 N 070 N014700 Y 070 N024700 Y 070 O014700 N 070 O024700 N 070 P014700 Y 070 P024700 Y 070 Q014700 Y 070 Q024700 N 070 R014700 Y 070 R024700 N 071 A004700 2786 071 B004700 2785 071 C004700 24184 071 D004700 12 072 A004700 10 072 B004700 0 072 C004700 388 072 D004700 0 072 E004700 3 PAGE 23 072 F004700 97 072 G004700 0 072 H004700 0 072 I004700 0 072 J004700 0 072 K004700 0 072 L004700 0 072 M004700 0 072 N004700 0 072 O004700 0 072 P004700 0 072 Q004700 0 072 R004700 0 072 S004700 0 072 T004700 0 072 U004700 0 072 V004700 0 072 W004700 0 072 X004700 97 072 Y004700 0 072 Z004700 294 072AA004700 0 072BB004700 348 072CC014700 0 072CC024700 3287 072DD014700 285 072DD024700 0 072EE004700 0 073 A014700 1.0644 073 A024700 0.0000 073 B004700 0.0000 073 C004700 0.0000 074 A004700 0 074 B004700 0 074 C004700 0 074 D004700 0 074 E004700 0 074 F004700 20803 074 G004700 0 074 H004700 0 074 I004700 1971 074 J004700 0 074 K004700 0 074 L004700 14 074 M004700 0 074 N004700 22788 074 O004700 0 074 P004700 19 074 Q004700 0 074 R014700 0 074 R024700 0 PAGE 24 074 R034700 0 074 R044700 1952 074 S004700 0 074 T004700 20817 074 U014700 250 074 U024700 0 074 V014700 83.27 074 V024700 0.00 074 W004700 0.0000 074 X004700 41 074 Y004700 0 075 A004700 0 075 B004700 24717 076 004700 0.00 014 A004801 BARCLAYS GLOBAL INVESTORS SERVICES 014 B004801 8-48719 014 A004802 BARCLAYS CAPITAL, INC 014 B004802 8-41342 024 004800 Y 025 A004801 DEUTSCHE BANK AG 025 B004801 UNKNOWN 025 C004801 E 025 D004801 21317 025 A004802 CREDIT SUISSE GROUP 025 B004802 13-5659485 025 C004802 E 025 D004802 17135 025 A004803 UBS AG - REGISTERED 025 B004803 13-2932996 025 C004803 E 025 D004803 38862 025 D004804 0 025 D004805 0 025 D004806 0 025 D004807 0 025 D004808 0 028 A014800 0 028 A024800 0 028 A034800 0 028 A044800 0 028 B014800 0 028 B024800 0 028 B034800 0 028 B044800 0 028 C014800 0 028 C024800 0 028 C034800 0 028 C044800 0 028 D014800 2800500 028 D024800 0 028 D034800 0 PAGE 25 028 D044800 0 028 E014800 442994 028 E024800 0 028 E034800 0 028 E044800 45374 028 F014800 116630 028 F024800 0 028 F034800 0 028 F044800 0 028 G014800 3360124 028 G024800 0 028 G034800 0 028 G044800 45374 028 H004800 0 045 004800 Y 046 004800 N 047 004800 Y 048 004800 0.350 048 A014800 0 048 A024800 0.000 048 B014800 0 048 B024800 0.000 048 C014800 0 048 C024800 0.000 048 D014800 0 048 D024800 0.000 048 E014800 0 048 E024800 0.000 048 F014800 0 048 F024800 0.000 048 G014800 0 048 G024800 0.000 048 H014800 0 048 H024800 0.000 048 I014800 0 048 I024800 0.000 048 J014800 0 048 J024800 0.000 048 K014800 0 048 K024800 0.000 066 A004800 Y 066 B004800 N 066 C004800 Y 066 D004800 N 066 E004800 N 066 F004800 N 066 G004800 N 067 004800 N 068 A004800 N 068 B004800 Y 069 004800 Y PAGE 26 070 A014800 Y 070 A024800 Y 070 B014800 Y 070 B024800 N 070 C014800 Y 070 C024800 N 070 D014800 Y 070 D024800 N 070 E014800 Y 070 E024800 N 070 F014800 Y 070 F024800 N 070 G014800 Y 070 G024800 N 070 H014800 Y 070 H024800 N 070 I014800 N 070 I024800 N 070 J014800 Y 070 J024800 N 070 K014800 Y 070 K024800 Y 070 L014800 Y 070 L024800 Y 070 M014800 Y 070 M024800 Y 070 N014800 Y 070 N024800 Y 070 O014800 N 070 O024800 N 070 P014800 Y 070 P024800 N 070 Q014800 Y 070 Q024800 N 070 R014800 Y 070 R024800 N 071 A004800 144604 071 B004800 108522 071 C004800 1415880 071 D004800 8 072 A004800 12 072 B004800 26 072 C004800 29308 072 D004800 0 072 E004800 894 072 F004800 4767 072 G004800 0 072 H004800 0 072 I004800 0 072 J004800 0 072 K004800 0 PAGE 27 072 L004800 0 072 M004800 0 072 N004800 0 072 O004800 0 072 P004800 0 072 Q004800 0 072 R004800 0 072 S004800 0 072 T004800 0 072 U004800 0 072 V004800 0 072 W004800 0 072 X004800 4767 072 Y004800 0 072 Z004800 25461 072AA004800 9223 072BB004800 28658 072CC014800 0 072CC024800 544860 072DD014800 1107 072DD024800 0 072EE004800 0 073 A014800 0.2483 073 A024800 0.0000 073 B004800 0.0000 073 C004800 0.0000 074 A004800 10861 074 B004800 0 074 C004800 0 074 D004800 0 074 E004800 15316 074 F004800 3772168 074 G004800 0 074 H004800 0 074 I004800 116983 074 J004800 0 074 K004800 0 074 L004800 5424 074 M004800 0 074 N004800 3920752 074 O004800 0 074 P004800 2282 074 Q004800 0 074 R014800 0 074 R024800 0 074 R034800 0 074 R044800 115032 074 S004800 0 074 T004800 3803438 074 U014800 35800 074 U024800 0 PAGE 28 074 V014800 106.24 074 V024800 0.00 074 W004800 0.0000 074 X004800 151 074 Y004800 0 075 A004800 0 075 B004800 2254691 076 004800 0.00 SIGNATURE JEFF GABOURY TITLE DIRECTOR EX-99 3 nsaritem77e.txt iShares Trust Attachment for Item 77E Legal Proceedings N-SAR filing dated 7/31/2002 In April 2002, the judge overseeing an ongoing action in the U.S. District Court for the Northern District of Illinois granted leave for a United States patentholder named MOPEX, Inc. to amend its complaint to add the Trust, along with seven other parties, as a defendant. There are now a total of twenty defendants, including the Trusts investment advisor, other exchange traded funds, various fund service providers and market makers, and the Chicago Stock Exchange, Inc. In the action, the plaintiff alleges that the actions of the parties, now including the Trust, infringed their patent. In addition, the plaintiff alleges that the parties engaged in a conspiracy amongst themselves to infringe the patent. Although this is the only case to which the Trust has been named as a party, this action is one of three involving related issues. The Trust believes that it has valid defenses to all claims raised by the patentholder. However, a resolution of this case may impose increased costs on the Trust and thus raise the expense ratios of the Funds, adversely affecting performance. EX-99 4 ex9977q3cert.txt iShares Trust N-SAR Filing dated 7/31/2002 Item 77Q3 Section (a)(i): Not applicable. Section (a)(ii): There were no significant changes in the iShares Trust's internal controls or in other factors that could significantly affect these controls subsequent to the date of their evaluation. Section (a)(iii): Certifications of the President and Principal Financial Officer of iShares Trust are attached. I, Garrett F. Bouton, certify that: 1. I have reviewed this report on Form N-SAR of the following six series of iShares Trust: iShares Goldman Sachs Technology Index Fund; iShares Goldman Sachs Networking Index Fund; iShares Goldman Sachs Semiconductor Index Fund; iShares Goldman Sachs Software Index Fund; iShares Goldman Sachs Natural Resources Index Fund; iShares MSCI EAFE Index Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; 3. Based on my knowledge, the financial information included in this report, and the financial statements on which the financial information is based, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report; Date: September 27, 2002 /s/ Garrett F. Bouton Garrett F. Bouton President iShares Trust I, Michael Latham, certify that: 1. I have reviewed this report on Form N-SAR of the following six series of iShares Trust: iShares Goldman Sachs Technology Index Fund; iShares Goldman Sachs Networking Index Fund; iShares Goldman Sachs Semiconductor Index Fund; iShares Goldman Sachs Software Index Fund; iShares Goldman Sachs Natural Resources Index Fund; iShares MSCI EAFE Index Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; 3. Based on my knowledge, the financial information included in this report, and the financial statements on which the financial information is based, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report; Date: September 27, 2002 /s/ Michael Latham Michael Latham Principal Financial Officer iShares Trust EX-99 5 auditorletter.txt Report of Independent Accountants To the Board of Trustees of iShares Trust In planning and performing our audit of the financial statements of the iShares Trust (the Company) for the year ended July 31, 2002, we considered its internal control, including control activities for safeguarding securities, in order to determine our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, not to provide assurance on internal control. The management of the Company is responsible for establishing and maintaining internal control. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. Generally, controls that are relevant to an audit pertain to the entitys objective of preparing financial statements for external purposes that are fairly presented in conformity with accounting principles generally accepted in the United States of America. Those controls include the safeguarding of assets against unauthorized acquisition, use or disposition. Because of inherent limitations in internal control, errors or fraud may occur and not be detected. Also, projection of any evaluation of internal control to future periods is subject to the risk that controls may become inadequate because of changes in conditions or that the effectiveness of their design and operation may deteriorate. Our consideration of internal control would not necessarily disclose all matters in internal control that might be material weaknesses under standards established by the American Institute of Certified Public Accountants. A material weakness is a condition in which the design or operation of one or more of the internal control components does not reduce to a relatively low level the risk that misstatements caused by error or fraud in amounts that would be material in relation to the financial statements being audited may occur and not be detected within a timely period by employees in the normal course of performing their assigned functions. However, we noted no matters involving internal control and its operation, including controls for safeguarding securities, that we consider to be material weaknesses as defined above as of July 31, 2002. This report is intended solely for the information and use of the Board of Trustees, management and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. August 30, 2002 -----END PRIVACY-ENHANCED MESSAGE-----