-----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, I8eXBNnbvvqpr/eMjh+Z1ZHuVRE+lN8EE4gybDTdmf3hBmRUL0XkBJ0yW2DMnipC AN9xUxBd28xHAELcgFyD5Q== 0000897436-02-000305.txt : 20021029 0000897436-02-000305.hdr.sgml : 20021029 20021029155906 ACCESSION NUMBER: 0000897436-02-000305 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20020831 FILED AS OF DATE: 20021029 EFFECTIVENESS DATE: 20021029 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-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-09729 FILM NUMBER: 02801473 BUSINESS ADDRESS: STREET 1: 45 FREMONT STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94105 NSAR-A 1 answer.fil PAGE 1 000 A000000 08/31/2002 000 C000000 1100663 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 ISHARES TRUST 001 B000000 811-09729 001 C000000 6179377772 002 A000000 200 CLARENDON ST 002 B000000 BOSTON 002 C000000 MA 002 D010000 02116 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 59 007 C010100 1 007 C010200 2 007 C010300 3 007 C010400 4 007 C010500 5 007 C010600 6 007 C010700 7 007 C010800 8 007 C010900 9 007 C011000 10 007 C011100 11 007 C011200 12 007 C011300 13 007 C011400 14 007 C011500 15 007 C011600 16 007 C011700 17 007 C011800 18 007 C011900 19 007 C012000 20 007 C012100 21 007 C012200 22 007 C012300 23 007 C012400 24 007 C012500 25 007 C012600 26 007 C012700 27 007 C012800 28 007 C012900 29 PAGE 2 007 C013000 30 007 C013100 31 007 C013200 32 007 C013300 33 007 C013400 34 007 C013500 35 007 C013600 36 007 C013700 37 007 C013800 38 007 C013900 39 007 C014000 40 007 C014100 41 007 C014200 42 007 C014300 43 007 C014400 44 007 C014500 45 007 C014600 46 007 C014700 47 007 C014800 48 007 C014900 49 007 C015000 50 007 C015100 51 007 C015200 52 007 C015300 53 007 C015400 54 007 C015500 55 007 C015600 56 007 C025600 ISHARES LEHMAN 1-3 YEAR TREASURY BOND FUND 007 C035600 N 007 C015700 57 007 C025700 ISHARES LEHMAN 7-10 YEAR TREASURY BOND FUND 007 C035700 N 007 C015800 58 007 C025800 ISHARES LEHMAN 20+ YEAR BOND FUND 007 C035800 N 007 C015900 59 007 C025900 ISHARES GS $ INVESTOP CORPORATE BOND FUND 007 C035900 N 007 C016000 60 007 C016100 61 007 C016200 62 007 C016300 63 007 C016400 64 007 C016500 65 007 C016600 66 007 C016700 67 007 C016800 68 007 C016900 69 007 C017000 70 007 C017100 71 007 C017200 72 PAGE 3 007 C017300 73 007 C017400 74 007 C017500 75 007 C017600 76 007 C017700 77 007 C017800 78 007 C017900 79 007 C018000 80 007 C018100 81 007 C018200 82 007 C018300 83 007 C018400 84 007 C018500 85 007 C018600 86 007 C018700 87 007 C018800 88 007 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R005600 21.4 063 A005600 0 063 B005600 1.8 064 A005600 N 064 B005600 N 070 A015600 Y 070 A025600 Y 070 B015600 Y 070 B025600 N 070 C015600 Y 070 C025600 N 070 D015600 Y 070 D025600 N 070 E015600 Y PAGE 8 070 E025600 N 070 F015600 Y 070 F025600 N 070 G015600 Y 070 G025600 N 070 H015600 Y 070 H025600 N 070 I015600 Y 070 I025600 N 070 J015600 Y 070 J025600 N 070 K015600 Y 070 K025600 Y 070 L015600 N 070 L025600 N 070 M015600 N 070 M025600 N 070 N015600 Y 070 N025600 Y 070 O015600 N 070 O025600 N 070 P015600 Y 070 P025600 N 070 Q015600 N 070 Q025600 N 070 R015600 N 070 R025600 N 071 A005600 90254 071 B005600 85069 071 C005600 423919 071 D005600 20 072 A005600 2 072 B005600 1193 072 C005600 0 072 D005600 0 072 E005600 9 072 F005600 82 072 G005600 0 072 H005600 0 072 I005600 0 072 J005600 0 072 K005600 0 072 L005600 0 072 M005600 0 072 N005600 0 072 O005600 0 072 P005600 0 072 Q005600 0 072 R005600 0 072 S005600 0 072 T005600 0 PAGE 9 072 U005600 0 072 V005600 0 072 W005600 0 072 X005600 82 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F025700 N 070 G015700 Y 070 G025700 N 070 H015700 Y 070 H025700 N 070 I015700 Y 070 I025700 N 070 J015700 Y 070 J025700 N 070 K015700 Y 070 K025700 Y 070 L015700 N 070 L025700 N 070 M015700 N 070 M025700 N 070 N015700 Y 070 N025700 Y 070 O015700 N 070 O025700 N 070 P015700 Y 070 P025700 N 070 Q015700 N 070 Q025700 N 070 R015700 N 070 R025700 N 071 A005700 302626 071 B005700 273215 PAGE 12 071 C005700 465955 071 D005700 59 072 A005700 2 072 B005700 2672 072 C005700 0 072 D005700 0 072 E005700 18 072 F005700 92 072 G005700 0 072 H005700 0 072 I005700 0 072 J005700 0 072 K005700 0 072 L005700 0 072 M005700 0 072 N005700 0 072 O005700 0 072 P005700 0 072 Q005700 0 072 R005700 0 072 S005700 0 072 T005700 0 072 U005700 0 072 V005700 0 072 W005700 0 072 X005700 92 072 Y005700 0 072 Z005700 2598 072AA005700 3956 072BB005700 0 072CC015700 16895 072CC025700 0 072DD015700 0 072DD025700 0 072EE005700 0 073 A015700 0.0000 073 A025700 0.0000 073 B005700 0.0000 073 C005700 0.0000 074 A005700 0 074 B005700 18915 074 C005700 9000 074 D005700 752942 074 E005700 0 074 F005700 0 074 G005700 0 074 H005700 0 074 I005700 165707 074 J005700 274039 074 K005700 0 074 L005700 1720 PAGE 13 074 M005700 0 074 N005700 1222323 074 O005700 303533 074 P005700 92 074 Q005700 0 074 R015700 0 074 R025700 0 074 R035700 0 074 R045700 174707 074 S005700 0 074 T005700 743991 074 U015700 8700 074 U025700 0 074 V015700 85.52 074 V025700 0.00 074 W005700 0.0000 074 X005700 62 074 Y005700 0 075 A005700 0 075 B005700 481577 076 005700 0.00 014 A005801 BARCLAYS GLOBAL INVESTORS SERVICES 014 B005801 8-48719 014 A005802 BARCLAYS CAPITAL, INC 014 B005802 8-41342 014 A005803 CARR FUTURES, INC 014 B005803 8-40335 014 A005804 FORTIS INVESTMENT SERVICES LLC 014 B005804 8-52232 014 A005805 SPEAR LEEDS & KELLOGG SPECIALISTS LLC 014 B005805 8-49673 024 005800 N 028 A015800 0 028 A025800 0 028 A035800 0 028 A045800 0 028 B015800 0 028 B025800 0 028 B035800 0 028 B045800 0 028 C015800 0 028 C025800 0 028 C035800 0 028 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L015800 N 070 L025800 N 070 M015800 N 070 M025800 N 070 N015800 Y 070 N025800 Y 070 O015800 N 070 O025800 N 070 P015800 Y 070 P025800 N 070 Q015800 N 070 Q025800 N 070 R015800 N 070 R025800 N 071 A005800 41473 071 B005800 31701 071 C005800 463148 071 D005800 7 072 A005800 2 072 B005800 3285 072 C005800 0 072 D005800 0 072 E005800 1 072 F005800 93 072 G005800 0 072 H005800 0 072 I005800 0 072 J005800 0 072 K005800 0 072 L005800 0 072 M005800 0 072 N005800 0 072 O005800 0 072 P005800 0 072 Q005800 0 072 R005800 0 072 S005800 0 072 T005800 0 072 U005800 0 072 V005800 0 072 W005800 0 072 X005800 93 072 Y005800 0 PAGE 16 072 Z005800 3193 072AA005800 1273 072BB005800 0 072CC015800 45150 072CC025800 0 072DD015800 0 072DD025800 0 072EE005800 0 073 A015800 0.0000 073 A025800 0.0000 073 B005800 0.0000 073 C005800 0.0000 074 A005800 0 074 B005800 13257 074 C005800 0 074 D005800 726230 074 E005800 0 074 F005800 0 074 G005800 0 074 H005800 0 074 I005800 40283 074 J005800 31804 074 K005800 0 074 L005800 4965 074 M005800 0 074 N005800 816539 074 O005800 41771 074 P005800 93 074 Q005800 0 074 R015800 0 074 R025800 0 074 R035800 0 074 R045800 40283 074 S005800 0 074 T005800 734392 074 U015800 8300 074 U025800 0 074 V015800 88.48 074 V025800 0.00 074 W005800 0.0000 074 X005800 56 074 Y005800 0 075 A005800 0 075 B005800 478712 076 005800 0.00 014 A005901 BARCLAYS GLOBAL INVESTORS SERVICES 014 B005901 8-48719 014 A005902 BARCLAYS CAPITAL, INC 014 B005902 8-41342 014 A005903 ABN AMRO, INC 014 B005903 8-32746 PAGE 17 024 005900 Y 025 A005901 MORGAN STANLEY DEAN WITTER & CO 025 B005901 13-2655998 025 C005901 D 025 D005901 30094 025 D005902 0 025 D005903 0 025 D005904 0 025 D005905 0 025 D005906 0 025 D005907 0 025 D005908 0 028 A015900 0 028 A025900 0 028 A035900 0 028 A045900 0 028 B015900 0 028 B025900 0 028 B035900 0 028 B045900 0 028 C015900 0 028 C025900 0 028 C035900 0 028 C045900 0 028 D015900 0 028 D025900 0 028 D035900 0 028 D045900 0 028 E015900 1024238 028 E025900 0 028 E035900 0 028 E045900 0 028 F015900 410922 028 F025900 0 028 F035900 0 028 F045900 0 028 G015900 1435160 028 G025900 0 028 G035900 0 028 G045900 0 028 H005900 0 058 A005900 N 059 005900 Y 060 A005900 N 060 B005900 N 061 005900 0 062 A005900 Y 062 B005900 0.0 062 C005900 0.0 062 D005900 0.3 062 E005900 0.0 PAGE 18 062 F005900 0.0 062 G005900 0.0 062 H005900 0.0 062 I005900 0.0 062 J005900 0.0 062 K005900 0.0 062 L005900 0.0 062 M005900 0.0 062 N005900 0.0 062 O005900 0.0 062 P005900 97.8 062 Q005900 0.0 062 R005900 22.7 063 A005900 0 063 B005900 10.4 064 A005900 N 064 B005900 N 070 A015900 Y 070 A025900 Y 070 B015900 Y 070 B025900 N 070 C015900 Y 070 C025900 N 070 D015900 Y 070 D025900 N 070 E015900 Y 070 E025900 N 070 F015900 Y 070 F025900 N 070 G015900 Y 070 G025900 N 070 H015900 Y 070 H025900 N 070 I015900 Y 070 I025900 N 070 J015900 Y 070 J025900 N 070 K015900 Y 070 K025900 Y 070 L015900 Y 070 L025900 Y 070 M015900 N 070 M025900 N 070 N015900 Y 070 N025900 Y 070 O015900 N 070 O025900 N 070 P015900 Y 070 P025900 N 070 Q015900 N 070 Q025900 N PAGE 19 070 R015900 N 070 R025900 N 071 A005900 37524 071 B005900 39994 071 C005900 833708 071 D005900 5 072 A005900 2 072 B005900 8177 072 C005900 0 072 D005900 0 072 E005900 27 072 F005900 157 072 G005900 0 072 H005900 0 072 I005900 0 072 J005900 0 072 K005900 0 072 L005900 0 072 M005900 0 072 N005900 0 072 O005900 0 072 P005900 0 072 Q005900 0 072 R005900 0 072 S005900 0 072 T005900 0 072 U005900 0 072 V005900 0 072 W005900 0 072 X005900 157 072 Y005900 0 072 Z005900 8047 072AA005900 1760 072BB005900 218 072CC015900 44540 072CC025900 0 072DD015900 0 072DD025900 0 072EE005900 0 073 A015900 0.0000 073 A025900 0.0000 073 B005900 0.0000 073 C005900 0.0000 074 A005900 0 074 B005900 3805 074 C005900 0 074 D005900 1456512 074 E005900 0 074 F005900 0 074 G005900 0 074 H005900 0 PAGE 20 074 I005900 338736 074 J005900 30221 074 K005900 0 074 L005900 25019 074 M005900 0 074 N005900 1854293 074 O005900 26111 074 P005900 157 074 Q005900 0 074 R015900 0 074 R025900 0 074 R035900 0 074 R045900 338736 074 S005900 0 074 T005900 1489289 074 U015900 14200 074 U025900 0 074 V015900 104.88 074 V025900 0.00 074 W005900 0.0000 074 X005900 85 074 Y005900 0 075 A005900 0 075 B005900 848679 076 005900 0.00 SIGNATURE TITLE EX-99 3 trustnsarisharesrevised.txt iShares Trust Attachment for Item 77E - Legal Proceedings N-SAR filing dated 8/31/02 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 Trust's 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, which allegedly covers a mechanism for continuous pricing of exchange traded funds. 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 two involving related issues. The Trust believes that it has valid defenses to all claims raised by the patenthold er. 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 08/31/2002 Item 77Q3 Section (a)(i): The President and Principal Financial Officer have concluded that, based on their evaluation, the disclosure controls and procedures of the iShares Trust are reasonably designed to achieve the purposes described in the attached certification, Section (a)(iii). 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. CERTIFICATIONS I, Garrett F. Bouton, certify that: 1. I have reviewed this report on Form N-SAR for the following four series of iShares Trust: iShares Lehman 1-3 Year Treasury Bond Fund; iShares Lehman 7-10 Year Treasury Bond Fund; iShares Lehman 20+ Year Treasury Bond Fund and iShares GS $InvesTop Corporate Bond 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; 4. The registrant's other certifying officer and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in rule 30a-2(c) under the Investment Company Act) for the registrant and have: a) designed such disclosure controls and procedures to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared; b) evaluated the effectiveness of the registrant's disclosure controls and procedures as of a date within 90 days prior to the filing date of this report (the "Evaluation Date"); and c) presented in this report our conclusions about the effectiveness of the disclosure controls and procedures based on our evaluation as of the Evaluation Date; 5. The registrant's other certifying officer and I have disclosed, based on our most recent evaluation, to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions): a) all significant deficiencies in the design or operation of internal controls which could adversely affect the registrant's ability to record, process, summarize, and report financial data and have identified for the registrant's auditors any material weaknesses in internal controls; and b) any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal controls; and 6. The registrant's other certifying officer and I have indicated in this report whether or not there were significant changes in internal controls or in other factors that could significantly affect internal controls subsequent to the date of our most recent evaluation, including any corrective actions with regard to significant deficiencies and material weaknesses. Date: October 29, 2002 Garrett F. Bouton Garrett F. Bouton President iShares Trust CERTIFICATIONS I, Michael Latham, certify that: 1. I have reviewed this report on Form N-SAR for the following four series of iShares Trust: iShares Lehman 1-3 Year Treasury Bond Fund; iShares Lehman 7-10 Year Treasury Bond Fund; iShares Lehman 20+ Year Treasury Bond Fund and iShares GS $InvesTop Corporate Bond 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; 4. The registrant's other certifying officer and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in rule 30a-2(c) under the Investment Company Act) for the registrant and have: a) designed such disclosure controls and procedures to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared; b) evaluated the effectiveness of the registrant's disclosure controls and procedures as of a date within 90 days prior to the filing date of this report (the "Evaluation Date"); and c) presented in this report our conclusions about the effectiveness of the disclosure controls and procedures based on our evaluation as of the Evaluation Date; 5. The registrant's other certifying officer and I have disclosed, based on our most recent evaluation, to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions): a) all significant deficiencies in the design or operation of internal controls which could adversely affect the registrant's ability to record, process, summarize, and report financial data and have identified for the registrant's auditors any material weaknesses in internal controls; and b) any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal controls; and 6. The registrant's other certifying officer and I have indicated in this report whether or not there were significant changes in internal controls or in other factors that could significantly affect internal controls subsequent to the date of our most recent evaluation, including any corrective actions with regard to significant deficiencies and material weaknesses. Date: October 29, 2002 Michael Latham Michael Latham Principal Financial Officer iShares Trust -----END PRIVACY-ENHANCED MESSAGE-----