-----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, SW/87lDdbtjsoZJkPM4Zmr4qZQ2AEETLIVAv9j9uUUJQOnqmzogkpXFlMfS2eqhP j1DKJjEiJMxm0+czABgKcw== 0000897436-02-000348.txt : 20021223 0000897436-02-000348.hdr.sgml : 20021223 20021223103539 ACCESSION NUMBER: 0000897436-02-000348 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20021031 FILED AS OF DATE: 20021223 EFFECTIVENESS DATE: 20021223 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: 02866173 BUSINESS ADDRESS: STREET 1: 45 FREMONT STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94105 NSAR-A 1 answer.fil PAGE 1 000 A000000 10/31/2002 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 C022100 ISHARES DJ US BASIC MATERIALS SECTOR INDEX FU 007 C032100 N 007 C012200 22 007 C022200 ISHARES DJ US CHEMICALS INDEX FUND 007 C032200 N 007 C012300 23 007 C022300 ISHARES DJ US CONSUMER CYCLICAL SECTOR INDEX 007 C032300 N PAGE 2 007 C012400 24 007 C022400 ISHARES DJ US CONSUMER NON-CYCLICAL SECTOR IN 007 C032400 N 007 C012500 25 007 C022500 ISHARES DJ US ENERGY SECTOR INDEX FUND 007 C032500 N 007 C012600 26 007 C022600 ISHARES DJ US FINANCIAL SERVICES INDEX FUND 007 C032600 N 007 C012700 27 007 C022700 ISHARES DJ US FINANCIAL SECTOR INDEX FUND 007 C032700 N 007 C012800 28 007 C022800 ISHARES DJ US HEALTHCARE SECTOR INDEX FUND 007 C032800 N 007 C012900 29 007 C022900 ISHARES DJ US INDUSTRIAL SECTOR INDEX FUND 007 C032900 N 007 C013000 30 007 C023000 ISHARES DJ US INTERNET INDEX FUND 007 C033000 N 007 C013100 31 007 C023100 ISHARES DJ US REAL ESTATE INDEX FUND 007 C033100 N 007 C013200 32 007 C023200 ISHARES DJ US TECHNOLOGY SECTOR INDEX FUND 007 C033200 N 007 C013300 33 007 C023300 ISHARES DJ US TOTAL MARKET INDEX FUND 007 C033300 N 007 C013400 34 007 C023400 ISHARES DJ US UTILITIES SECTOR INDEX FUND 007 C033400 N 007 C013500 35 007 C023500 ISHARES DJ US TELECOMMUNICATIONS SECTOR INDEX 007 C033500 N 007 C013600 36 007 C013700 37 007 C013800 38 007 C013900 39 007 C023900 ISHARES COHEN & STEERS REALTY MAJORS INDEX FU 007 C033900 N 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 PAGE 3 007 C014900 49 007 C015000 50 007 C015100 51 007 C015200 52 007 C015300 53 007 C015400 54 007 C015500 55 007 C015600 56 007 C015700 57 007 C015800 58 007 C015900 59 007 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 72 007 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 C018900 89 007 C019000 90 008 A00AA01 BARCLAYS GLOBAL FUND ADVISORS 008 B00AA01 A 008 C00AA01 801-22609 008 D01AA01 SAN FRANCISCO 008 D02AA01 CA 008 D03AA01 94105 010 A00AA01 INVESTORS BANK AND TRUST COMPANY 010 B00AA01 85-720 010 C01AA01 BOSTON PAGE 4 010 C02AA01 MA 010 C03AA01 02116 011 A00AA01 SEI INVESTMENTS DISTRIBUTION CO. 011 B00AA01 8-27897 011 C01AA01 OAKS 011 C02AA01 PA 011 C03AA01 19456 012 A00AA01 INVESTORS BANK AND TRUST COMPANY 012 B00AA01 85-720 012 C01AA01 BOSTON 012 C02AA01 MA 012 C03AA01 02116 013 A00AA01 PRICEWATERHOUSECOOPERS LLP 013 B01AA01 SAN FRANCISCO 013 B02AA01 CA 013 B03AA01 94105 014 A00AA01 BARCLAYS GLOBAL INVESTORS SERVICES 014 B00AA01 8-48719 014 A00AA02 BARCLAYS CAPITAL, INC 014 B00AA02 8-41342 015 A00AA01 INVESTORS BANK AND TRUST COMPANY 015 B00AA01 C 015 C01AA01 BOSTON 015 C02AA01 MA 015 C03AA01 02116 015 E01AA01 X 018 00AA00 Y 019 A00AA00 Y 019 B00AA00 81 019 C00AA00 BGIISHARES 020 A000001 MERRILL LYNCH PIERCE FENNER & SMITH 020 B000001 13-5674085 020 C000001 43 020 A000002 PRUDENTIAL SECURITIES INC 020 B000002 22-2347336 020 C000002 33 020 A000003 SALOMON SMITH BARNEY INC 020 B000003 11-2418191 020 C000003 24 020 A000004 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G022100 0 028 G032100 0 028 G042100 42838 028 H002100 0 045 002100 Y 046 002100 N 047 002100 Y 048 002100 0.600 048 A012100 0 048 A022100 0.000 048 B012100 0 048 B022100 0.000 048 C012100 0 048 C022100 0.000 048 D012100 0 048 D022100 0.000 048 E012100 0 048 E022100 0.000 048 F012100 0 048 F022100 0.000 048 G012100 0 048 G022100 0.000 048 H012100 0 048 H022100 0.000 048 I012100 0 048 I022100 0.000 048 J012100 0 048 J022100 0.000 048 K012100 0 048 K022100 0.000 058 A002100 N 059 002100 Y 060 A002100 N 060 B002100 N 061 002100 0 070 A012100 Y 070 A022100 N 070 B012100 Y 070 B022100 N 070 C012100 Y 070 C022100 N 070 D012100 Y 070 D022100 N 070 E012100 Y 070 E022100 N 070 F012100 Y 070 F022100 N PAGE 9 070 G012100 Y 070 G022100 N 070 H012100 Y 070 H022100 N 070 I012100 N 070 I022100 N 070 J012100 Y 070 J022100 N 070 K012100 Y 070 K022100 Y 070 L012100 Y 070 L022100 N 070 M012100 Y 070 M022100 N 070 N012100 Y 070 N022100 Y 070 O012100 N 070 O022100 N 070 P012100 Y 070 P022100 Y 070 Q012100 Y 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0 028 A032500 0 028 A042500 0 028 B012500 0 028 B022500 0 028 B032500 0 028 B042500 13737 028 C012500 0 028 C022500 0 028 C032500 0 028 C042500 8071 028 D012500 20288 028 D022500 0 028 D032500 0 028 D042500 0 028 E012500 0 028 E022500 0 028 E032500 0 028 E042500 0 028 F012500 7955 028 F022500 0 028 F032500 0 028 F042500 0 028 G012500 28243 028 G022500 0 028 G032500 0 028 G042500 21808 028 H002500 0 045 002500 Y 046 002500 N 047 002500 Y 048 002500 0.600 048 A012500 0 048 A022500 0.000 048 B012500 0 048 B022500 0.000 048 C012500 0 048 C022500 0.000 048 D012500 0 048 D022500 0.000 048 E012500 0 048 E022500 0.000 048 F012500 0 048 F022500 0.000 048 G012500 0 048 G022500 0.000 048 H012500 0 048 H022500 0.000 048 I012500 0 048 I022500 0.000 PAGE 22 048 J012500 0 048 J022500 0.000 048 K012500 0 048 K022500 0.000 058 A002500 N 059 002500 Y 060 A002500 N 060 B002500 N 061 002500 0 070 A012500 Y 070 A022500 N 070 B012500 Y 070 B022500 N 070 C012500 Y 070 C022500 N 070 D012500 Y 070 D022500 N 070 E012500 Y 070 E022500 N 070 F012500 Y 070 F022500 N 070 G012500 Y 070 G022500 N 070 H012500 Y 070 H022500 N 070 I012500 N 070 I022500 N 070 J012500 Y 070 J022500 N 070 K012500 Y 070 K022500 Y 070 L012500 Y 070 L022500 N 070 M012500 Y 070 M022500 N 070 N012500 Y 070 N022500 Y 070 O012500 N 070 O022500 N 070 P012500 Y 070 P022500 Y 070 Q012500 Y 070 Q022500 N 070 R012500 Y 070 R022500 N 071 A002500 7663 071 B002500 7645 071 C002500 88151 071 D002500 9 072 A002500 6 072 B002500 1 PAGE 23 072 C002500 1021 072 D002500 0 072 E002500 1 072 F002500 263 072 G002500 0 072 H002500 0 072 I002500 0 072 J002500 0 072 K002500 0 072 L002500 0 072 M002500 0 072 N002500 0 072 O002500 0 072 P002500 0 072 Q002500 0 072 R002500 0 072 S002500 0 072 T002500 0 072 U002500 0 072 V002500 0 072 W002500 0 072 X002500 263 072 Y002500 0 072 Z002500 760 072AA002500 1293 072BB002500 5293 072CC012500 0 072CC022500 17017 072DD012500 749 072DD022500 0 072EE002500 0 073 A012500 0.3483 073 A022500 0.0000 073 B002500 0.0000 073 C002500 0.0000 074 A002500 0 074 B002500 0 074 C002500 0 074 D002500 0 074 E002500 0 074 F002500 90163 074 G002500 0 074 H002500 0 074 I002500 3542 074 J002500 0 074 K002500 0 074 L002500 69 074 M002500 0 074 N002500 93774 074 O002500 0 074 P002500 85 PAGE 24 074 Q002500 0 074 R012500 0 074 R022500 0 074 R032500 0 074 R042500 3462 074 S002500 0 074 T002500 90227 074 U012500 2350 074 U022500 0 074 V012500 38.39 074 V022500 0.00 074 W002500 0.0000 074 X002500 109 074 Y002500 0 075 A002500 0 075 B002500 88467 076 002500 0.00 024 002600 Y 025 A002601 MORGAN STANLEY 025 B002601 13-2655998 025 C002601 E 025 D002601 1025 025 A002602 MERRILL LYNCH & CO INC 025 B002602 13-5674085 025 C002602 E 025 D002602 816 025 A002603 GOLDMAN SACHS GROUP INC (THE) 025 B002603 13-5108880 025 C002603 E 025 D002603 462 025 A002604 LEHMAN BROTHERS HOLDINGS INC 025 B002604 13-2518466 025 C002604 E 025 D002604 342 025 A002605 SCHWAB (CHARLES) CORP (THE) 025 B002605 941737782 025 C002605 E 025 D002605 251 025 D002606 0 025 D002607 0 025 D002608 0 028 A012600 0 028 A022600 0 028 A032600 0 028 A042600 0 028 B012600 0 028 B022600 0 028 B032600 0 028 B042600 0 028 C012600 0 028 C022600 0 PAGE 25 028 C032600 0 028 C042600 0 028 D012600 0 028 D022600 0 028 D032600 0 028 D042600 17001 028 E012600 0 028 E022600 0 028 E032600 0 028 E042600 0 028 F012600 0 028 F022600 0 028 F032600 0 028 F042600 0 028 G012600 0 028 G022600 0 028 G032600 0 028 G042600 17001 028 H002600 0 045 002600 Y 046 002600 N 047 002600 Y 048 002600 0.600 048 A012600 0 048 A022600 0.000 048 B012600 0 048 B022600 0.000 048 C012600 0 048 C022600 0.000 048 D012600 0 048 D022600 0.000 048 E012600 0 048 E022600 0.000 048 F012600 0 048 F022600 0.000 048 G012600 0 048 G022600 0.000 048 H012600 0 048 H022600 0.000 048 I012600 0 048 I022600 0.000 048 J012600 0 048 J022600 0.000 048 K012600 0 048 K022600 0.000 058 A002600 N 059 002600 Y 060 A002600 N 060 B002600 N 061 002600 0 070 A012600 Y PAGE 26 070 A022600 N 070 B012600 Y 070 B022600 N 070 C012600 Y 070 C022600 N 070 D012600 Y 070 D022600 N 070 E012600 Y 070 E022600 N 070 F012600 Y 070 F022600 N 070 G012600 Y 070 G022600 N 070 H012600 Y 070 H022600 N 070 I012600 N 070 I022600 N 070 J012600 Y 070 J022600 N 070 K012600 Y 070 K022600 Y 070 L012600 Y 070 L022600 N 070 M012600 Y 070 M022600 N 070 N012600 Y 070 N022600 Y 070 O012600 N 070 O022600 N 070 P012600 Y 070 P022600 Y 070 Q012600 Y 070 Q022600 N 070 R012600 Y 070 R022600 N 071 A002600 2293 071 B002600 2297 071 C002600 47939 071 D002600 5 072 A002600 6 072 B002600 0 072 C002600 586 072 D002600 0 072 E002600 1 072 F002600 146 072 G002600 0 072 H002600 0 072 I002600 0 072 J002600 0 072 K002600 0 072 L002600 0 PAGE 27 072 M002600 0 072 N002600 0 072 O002600 0 072 P002600 0 072 Q002600 0 072 R002600 0 072 S002600 0 072 T002600 0 072 U002600 0 072 V002600 0 072 W002600 0 072 X002600 146 072 Y002600 0 072 Z002600 441 072AA002600 1826 072BB002600 1983 072CC012600 0 072CC022600 7135 072DD012600 450 072DD022600 0 072EE002600 0 073 A012600 0.8322 073 A022600 0.0000 073 B002600 0.0000 073 C002600 0.0000 074 A002600 0 074 B002600 0 074 C002600 0 074 D002600 0 074 E002600 0 074 F002600 35724 074 G002600 0 074 H002600 0 074 I002600 387 074 J002600 0 074 K002600 0 074 L002600 83 074 M002600 0 074 N002600 36194 074 O002600 0 074 P002600 34 074 Q002600 0 074 R012600 0 074 R022600 0 074 R032600 0 074 R042600 369 074 S002600 0 074 T002600 35791 074 U012600 450 074 U022600 0 074 V012600 79.54 PAGE 28 074 V022600 0.00 074 W002600 0.0000 074 X002600 81 074 Y002600 0 075 A002600 0 075 B002600 48038 076 002600 0.00 024 002700 Y 025 A002701 MORGAN STANLEY 025 B002701 13-2655998 025 C002701 E 025 D002701 3000 025 A002702 MERRILL LYNCH & CO INC 025 B002702 13-5674085 025 C002702 E 025 D002702 2387 025 A002703 GOLDMAN SACHS GROUP INC (THE) 025 B002703 13-5108880 025 C002703 E 025 D002703 1352 025 A002704 PRUDENTIAL FINANCIAL INC 025 B002704 22-2347336 025 C002704 E 025 D002704 1307 025 A002705 LEHMAN BROTHERS HOLDINGS INC 025 B002705 13-2518466 025 C002705 E 025 D002705 1001 025 A002706 SCHWAB (CHARLES) CORP (THE) 025 B002706 94-1737782 025 C002706 E 025 D002706 735 025 D002707 0 025 D002708 0 028 A012700 0 028 A022700 0 028 A032700 0 028 A042700 0 028 B012700 0 028 B022700 0 028 B032700 0 028 B042700 0 028 C012700 0 028 C022700 0 028 C032700 0 028 C042700 0 028 D012700 18407 028 D022700 0 028 D032700 0 028 D042700 0 028 E012700 0 PAGE 29 028 E022700 0 028 E032700 0 028 E042700 0 028 F012700 24248 028 F022700 0 028 F032700 0 028 F042700 0 028 G012700 42655 028 G022700 0 028 G032700 0 028 G042700 0 028 H002700 0 045 002700 Y 046 002700 N 047 002700 Y 048 002700 0.600 048 A012700 0 048 A022700 0.000 048 B012700 0 048 B022700 0.000 048 C012700 0 048 C022700 0.000 048 D012700 0 048 D022700 0.000 048 E012700 0 048 E022700 0.000 048 F012700 0 048 F022700 0.000 048 G012700 0 048 G022700 0.000 048 H012700 0 048 H022700 0.000 048 I012700 0 048 I022700 0.000 048 J012700 0 048 J022700 0.000 048 K012700 0 048 K022700 0.000 058 A002700 N 059 002700 Y 060 A002700 N 060 B002700 N 061 002700 0 070 A012700 Y 070 A022700 N 070 B012700 Y 070 B022700 N 070 C012700 Y 070 C022700 N 070 D012700 Y 070 D022700 N PAGE 30 070 E012700 Y 070 E022700 N 070 F012700 Y 070 F022700 N 070 G012700 Y 070 G022700 N 070 H012700 Y 070 H022700 N 070 I012700 N 070 I022700 N 070 J012700 Y 070 J022700 N 070 K012700 Y 070 K022700 Y 070 L012700 Y 070 L022700 N 070 M012700 Y 070 M022700 N 070 N012700 Y 070 N022700 Y 070 O012700 N 070 O022700 N 070 P012700 Y 070 P022700 Y 070 Q012700 Y 070 Q022700 N 070 R012700 Y 070 R022700 N 071 A002700 6945 071 B002700 6891 071 C002700 121709 071 D002700 6 072 A002700 6 072 B002700 1 072 C002700 1451 072 D002700 0 072 E002700 4 072 F002700 350 072 G002700 0 072 H002700 0 072 I002700 0 072 J002700 0 072 K002700 0 072 L002700 0 072 M002700 0 072 N002700 0 072 O002700 0 072 P002700 0 072 Q002700 0 072 R002700 0 072 S002700 0 PAGE 31 072 T002700 0 072 U002700 0 072 V002700 0 072 W002700 0 072 X002700 350 072 Y002700 0 072 Z002700 1106 072AA002700 30 072BB002700 1022 072CC012700 0 072CC022700 17626 072DD012700 986 072DD022700 0 072EE002700 0 073 A012700 0.6096 073 A022700 0.0000 073 B002700 0.0000 073 C002700 0.0000 074 A002700 0 074 B002700 0 074 C002700 0 074 D002700 0 074 E002700 0 074 F002700 145713 074 G002700 0 074 H002700 0 074 I002700 1716 074 J002700 0 074 K002700 0 074 L002700 280 074 M002700 0 074 N002700 147709 074 O002700 0 074 P002700 118 074 Q002700 0 074 R012700 0 074 R022700 0 074 R032700 0 074 R042700 1637 074 S002700 0 074 T002700 145954 074 U012700 2100 074 U022700 0 074 V012700 69.50 074 V022700 0.00 074 W002700 0.0000 074 X002700 99 074 Y002700 0 075 A002700 0 075 B002700 121950 076 002700 0.00 PAGE 32 024 002800 N 028 A012800 11403 028 A022800 0 028 A032800 0 028 A042800 0 028 B012800 0 028 B022800 0 028 B032800 0 028 B042800 0 028 C012800 7126 028 C022800 0 028 C032800 0 028 C042800 2465 028 D012800 90488 028 D022800 0 028 D032800 0 028 D042800 0 028 E012800 0 028 E022800 0 028 E032800 0 028 E042800 0 028 F012800 54191 028 F022800 0 028 F032800 0 028 F042800 0 028 G012800 163208 028 G022800 0 028 G032800 0 028 G042800 2465 028 H002800 0 045 002800 Y 046 002800 N 047 002800 Y 048 002800 0.600 048 A012800 0 048 A022800 0.000 048 B012800 0 048 B022800 0.000 048 C012800 0 048 C022800 0.000 048 D012800 0 048 D022800 0.000 048 E012800 0 048 E022800 0.000 048 F012800 0 048 F022800 0.000 048 G012800 0 048 G022800 0.000 048 H012800 0 048 H022800 0.000 048 I012800 0 PAGE 33 048 I022800 0.000 048 J012800 0 048 J022800 0.000 048 K012800 0 048 K022800 0.000 058 A002800 N 059 002800 Y 060 A002800 N 060 B002800 N 061 002800 0 070 A012800 Y 070 A022800 N 070 B012800 Y 070 B022800 N 070 C012800 Y 070 C022800 N 070 D012800 Y 070 D022800 N 070 E012800 Y 070 E022800 N 070 F012800 Y 070 F022800 N 070 G012800 Y 070 G022800 N 070 H012800 Y 070 H022800 N 070 I012800 N 070 I022800 N 070 J012800 Y 070 J022800 N 070 K012800 Y 070 K022800 Y 070 L012800 Y 070 L022800 N 070 M012800 Y 070 M022800 N 070 N012800 Y 070 N022800 Y 070 O012800 N 070 O022800 N 070 P012800 Y 070 P022800 Y 070 Q012800 Y 070 Q022800 N 070 R012800 Y 070 R022800 N 071 A002800 4389 071 B002800 4419 071 C002800 269645 071 D002800 2 072 A002800 6 PAGE 34 072 B002800 2 072 C002800 1743 072 D002800 0 072 E002800 7 072 F002800 789 072 G002800 0 072 H002800 0 072 I002800 0 072 J002800 0 072 K002800 0 072 L002800 0 072 M002800 0 072 N002800 0 072 O002800 0 072 P002800 0 072 Q002800 0 072 R002800 0 072 S002800 0 072 T002800 0 072 U002800 0 072 V002800 0 072 W002800 0 072 X002800 789 072 Y002800 0 072 Z002800 963 072AA002800 700 072BB002800 2757 072CC012800 0 072CC022800 32301 072DD012800 859 072DD022800 0 072EE002800 0 073 A012800 0.1613 073 A022800 0.0000 073 B002800 0.0000 073 C002800 0.0000 074 A002800 0 074 B002800 0 074 C002800 0 074 D002800 0 074 E002800 0 074 F002800 362437 074 G002800 0 074 H002800 0 074 I002800 6165 074 J002800 0 074 K002800 0 074 L002800 341 074 M002800 0 074 N002800 368943 074 O002800 0 PAGE 35 074 P002800 317 074 Q002800 0 074 R012800 0 074 R022800 0 074 R032800 0 074 R042800 5903 074 S002800 0 074 T002800 362723 074 U012800 7400 074 U022800 0 074 V012800 49.02 074 V022800 0.00 074 W002800 0.0000 074 X002800 142 074 Y002800 0 075 A002800 0 075 B002800 270288 076 002800 0.00 024 002900 N 028 A012900 0 028 A022900 0 028 A032900 0 028 A042900 4673 028 B012900 0 028 B022900 0 028 B032900 0 028 B042900 0 028 C012900 0 028 C022900 0 028 C032900 0 028 C042900 0 028 D012900 8016 028 D022900 0 028 D032900 0 028 D042900 16439 028 E012900 0 028 E022900 0 028 E032900 0 028 E042900 0 028 F012900 5533 028 F022900 0 028 F032900 0 028 F042900 0 028 G012900 13549 028 G022900 0 028 G032900 0 028 G042900 21112 028 H002900 0 045 002900 Y 046 002900 N 047 002900 Y PAGE 36 048 002900 0.600 048 A012900 0 048 A022900 0.000 048 B012900 0 048 B022900 0.000 048 C012900 0 048 C022900 0.000 048 D012900 0 048 D022900 0.000 048 E012900 0 048 E022900 0.000 048 F012900 0 048 F022900 0.000 048 G012900 0 048 G022900 0.000 048 H012900 0 048 H022900 0.000 048 I012900 0 048 I022900 0.000 048 J012900 0 048 J022900 0.000 048 K012900 0 048 K022900 0.000 058 A002900 N 059 002900 Y 060 A002900 N 060 B002900 N 061 002900 0 070 A012900 Y 070 A022900 N 070 B012900 Y 070 B022900 N 070 C012900 Y 070 C022900 N 070 D012900 Y 070 D022900 N 070 E012900 Y 070 E022900 N 070 F012900 Y 070 F022900 N 070 G012900 Y 070 G022900 N 070 H012900 Y 070 H022900 N 070 I012900 N 070 I022900 N 070 J012900 Y 070 J022900 N 070 K012900 Y 070 K022900 Y 070 L012900 Y PAGE 37 070 L022900 N 070 M012900 Y 070 M022900 N 070 N012900 Y 070 N022900 Y 070 O012900 N 070 O022900 N 070 P012900 Y 070 P022900 Y 070 Q012900 Y 070 Q022900 N 070 R012900 Y 070 R022900 N 071 A002900 7658 071 B002900 7542 071 C002900 69692 071 D002900 11 072 A002900 6 072 B002900 1 072 C002900 524 072 D002900 0 072 E002900 2 072 F002900 208 072 G002900 0 072 H002900 0 072 I002900 0 072 J002900 0 072 K002900 0 072 L002900 0 072 M002900 0 072 N002900 0 072 O002900 0 072 P002900 0 072 Q002900 0 072 R002900 0 072 S002900 0 072 T002900 0 072 U002900 0 072 V002900 0 072 W002900 0 072 X002900 208 072 Y002900 0 072 Z002900 319 072AA002900 2358 072BB002900 4451 072CC012900 0 072CC022900 13047 072DD012900 235 072DD022900 0 072EE002900 0 073 A012900 0.1469 PAGE 38 073 A022900 0.0000 073 B002900 0.0000 073 C002900 0.0000 074 A002900 0 074 B002900 0 074 C002900 0 074 D002900 0 074 E002900 0 074 F002900 62007 074 G002900 0 074 H002900 0 074 I002900 2389 074 J002900 10 074 K002900 0 074 L002900 35 074 M002900 0 074 N002900 64441 074 O002900 0 074 P002900 58 074 Q002900 0 074 R012900 0 074 R022900 0 074 R032900 0 074 R042900 2366 074 S002900 0 074 T002900 62017 074 U012900 1700 074 U022900 0 074 V012900 36.48 074 V022900 0.00 074 W002900 0.0000 074 X002900 84 074 Y002900 0 075 A002900 0 075 B002900 69837 076 002900 0.00 024 003000 N 028 A013000 0 028 A023000 0 028 A033000 0 028 A043000 1465 028 B013000 0 028 B023000 0 028 B033000 0 028 B043000 0 028 C013000 0 028 C023000 0 028 C033000 0 028 C043000 375 028 D013000 0 028 D023000 0 PAGE 39 028 D033000 0 028 D043000 0 028 E013000 0 028 E023000 0 028 E033000 0 028 E043000 0 028 F013000 0 028 F023000 0 028 F033000 0 028 F043000 0 028 G013000 0 028 G023000 0 028 G033000 0 028 G043000 1840 028 H003000 0 045 003000 Y 046 003000 N 047 003000 Y 048 003000 0.600 048 A013000 0 048 A023000 0.000 048 B013000 0 048 B023000 0.000 048 C013000 0 048 C023000 0.000 048 D013000 0 048 D023000 0.000 048 E013000 0 048 E023000 0.000 048 F013000 0 048 F023000 0.000 048 G013000 0 048 G023000 0.000 048 H013000 0 048 H023000 0.000 048 I013000 0 048 I023000 0.000 048 J013000 0 048 J023000 0.000 048 K013000 0 048 K023000 0.000 058 A003000 N 059 003000 Y 060 A003000 N 060 B003000 N 061 003000 0 070 A013000 Y 070 A023000 N 070 B013000 Y 070 B023000 N 070 C013000 Y PAGE 40 070 C023000 N 070 D013000 Y 070 D023000 N 070 E013000 Y 070 E023000 N 070 F013000 Y 070 F023000 N 070 G013000 Y 070 G023000 N 070 H013000 Y 070 H023000 N 070 I013000 N 070 I023000 N 070 J013000 Y 070 J023000 N 070 K013000 Y 070 K023000 Y 070 L013000 Y 070 L023000 N 070 M013000 Y 070 M023000 N 070 N013000 Y 070 N023000 Y 070 O013000 N 070 O023000 N 070 P013000 Y 070 P023000 Y 070 Q013000 Y 070 Q023000 N 070 R013000 Y 070 R023000 N 071 A003000 1815 071 B003000 1851 071 C003000 10405 071 D003000 17 072 A003000 6 072 B003000 0 072 C003000 0 072 D003000 0 072 E003000 0 072 F003000 30 072 G003000 0 072 H003000 0 072 I003000 0 072 J003000 0 072 K003000 0 072 L003000 0 072 M003000 0 072 N003000 0 072 O003000 0 072 P003000 0 PAGE 41 072 Q003000 0 072 R003000 0 072 S003000 0 072 T003000 0 072 U003000 0 072 V003000 0 072 W003000 0 072 X003000 30 072 Y003000 0 072 Z003000 -30 072AA003000 164 072BB003000 3072 072CC013000 405 072CC023000 0 072DD013000 0 072DD023000 0 072EE003000 0 073 A013000 0.0000 073 A023000 0.0000 073 B003000 0.0000 073 C003000 0.0000 074 A003000 0 074 B003000 0 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048 A013100 0 048 A023100 0.000 048 B013100 0 048 B023100 0.000 048 C013100 0 048 C023100 0.000 048 D013100 0 048 D023100 0.000 048 E013100 0 048 E023100 0.000 048 F013100 0 048 F023100 0.000 048 G013100 0 048 G023100 0.000 PAGE 43 048 H013100 0 048 H023100 0.000 048 I013100 0 048 I023100 0.000 048 J013100 0 048 J023100 0.000 048 K013100 0 048 K023100 0.000 058 A003100 N 059 003100 Y 060 A003100 N 060 B003100 N 061 003100 0 070 A013100 Y 070 A023100 N 070 B013100 Y 070 B023100 N 070 C013100 Y 070 C023100 N 070 D013100 Y 070 D023100 N 070 E013100 Y 070 E023100 N 070 F013100 Y 070 F023100 N 070 G013100 Y 070 G023100 N 070 H013100 Y 070 H023100 N 070 I013100 N 070 I023100 N 070 J013100 Y 070 J023100 N 070 K013100 Y 070 K023100 Y 070 L013100 Y 070 L023100 N 070 M013100 Y 070 M023100 N 070 N013100 Y 070 N023100 Y 070 O013100 N 070 O023100 N 070 P013100 Y 070 P023100 Y 070 Q013100 Y 070 Q023100 N 070 R013100 Y 070 R023100 N 071 A003100 14110 071 B003100 14011 PAGE 44 071 C003100 125391 071 D003100 11 072 A003100 6 072 B003100 3 072 C003100 4226 072 D003100 0 072 E003100 3 072 F003100 373 072 G003100 0 072 H003100 0 072 I003100 0 072 J003100 0 072 K003100 0 072 L003100 0 072 M003100 0 072 N003100 0 072 O003100 0 072 P003100 0 072 Q003100 0 072 R003100 0 072 S003100 0 072 T003100 0 072 U003100 0 072 V003100 0 072 W003100 0 072 X003100 373 072 Y003100 0 072 Z003100 3859 072AA003100 4393 072BB003100 6338 072CC013100 0 072CC023100 19005 072DD013100 3743 072DD023100 0 072EE003100 0 073 A013100 2.4313 073 A023100 0.0000 073 B003100 0.0000 073 C003100 0.0000 074 A003100 0 074 B003100 0 074 C003100 0 074 D003100 0 074 E003100 0 074 F003100 134468 074 G003100 0 074 H003100 0 074 I003100 7681 074 J003100 0 074 K003100 0 074 L003100 293 PAGE 45 074 M003100 0 074 N003100 142442 074 O003100 222 074 P003100 139 074 Q003100 0 074 R013100 0 074 R023100 0 074 R033100 0 074 R043100 7443 074 S003100 0 074 T003100 134638 074 U013100 1800 074 U023100 0 074 V013100 74.80 074 V023100 0.00 074 W003100 0.0000 074 X003100 120 074 Y003100 0 075 A003100 0 075 B003100 125839 076 003100 0.00 024 003200 N 028 A013200 11234 028 A023200 0 028 A033200 0 028 A043200 0 028 B013200 0 028 B023200 0 028 B033200 0 028 B043200 7239 028 C013200 1670 028 C023200 0 028 C033200 0 028 C043200 0 028 D013200 14977 028 D023200 0 028 D033200 0 028 D043200 1612 028 E013200 0 028 E023200 0 028 E033200 0 028 E043200 0 028 F013200 15370 028 F023200 0 028 F033200 0 028 F043200 3854 028 G013200 43251 028 G023200 0 028 G033200 0 028 G043200 12705 028 H003200 0 PAGE 46 045 003200 Y 046 003200 N 047 003200 Y 048 003200 0.600 048 A013200 0 048 A023200 0.000 048 B013200 0 048 B023200 0.000 048 C013200 0 048 C023200 0.000 048 D013200 0 048 D023200 0.000 048 E013200 0 048 E023200 0.000 048 F013200 0 048 F023200 0.000 048 G013200 0 048 G023200 0.000 048 H013200 0 048 H023200 0.000 048 I013200 0 048 I023200 0.000 048 J013200 0 048 J023200 0.000 048 K013200 0 048 K023200 0.000 058 A003200 N 059 003200 Y 060 A003200 N 060 B003200 N 061 003200 0 070 A013200 Y 070 A023200 N 070 B013200 Y 070 B023200 N 070 C013200 Y 070 C023200 N 070 D013200 Y 070 D023200 N 070 E013200 Y 070 E023200 N 070 F013200 Y 070 F023200 N 070 G013200 Y 070 G023200 N 070 H013200 Y 070 H023200 N 070 I013200 N 070 I023200 N 070 J013200 Y 070 J023200 N PAGE 47 070 K013200 Y 070 K023200 Y 070 L013200 Y 070 L023200 N 070 M013200 Y 070 M023200 N 070 N013200 Y 070 N023200 Y 070 O013200 N 070 O023200 N 070 P013200 Y 070 P023200 Y 070 Q013200 Y 070 Q023200 N 070 R013200 Y 070 R023200 N 071 A003200 2686 071 B003200 2899 071 C003200 124797 071 D003200 2 072 A003200 6 072 B003200 1 072 C003200 180 072 D003200 0 072 E003200 5 072 F003200 370 072 G003200 0 072 H003200 0 072 I003200 0 072 J003200 0 072 K003200 0 072 L003200 0 072 M003200 0 072 N003200 0 072 O003200 0 072 P003200 0 072 Q003200 0 072 R003200 0 072 S003200 0 072 T003200 0 072 U003200 0 072 V003200 0 072 W003200 0 072 X003200 370 072 Y003200 0 072 Z003200 -184 072AA003200 706 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FINANCIAL INC 025 B003304 22-2347336 025 C003304 E 025 D003304 235 025 A003305 LEHMAN BROTHERS HOLDING INC 025 B003305 13-2518466 025 C003305 E 025 D003305 180 025 A003306 SCHWAB (CHARLES) CORP (THE) 025 B003306 94-1737782 025 C003306 E 025 D003306 133 025 D003307 0 025 D003308 0 028 A013300 0 028 A023300 0 028 A033300 0 028 A043300 0 028 B013300 0 028 B023300 0 028 B033300 0 028 B043300 0 028 C013300 10493 028 C023300 0 028 C033300 0 028 C043300 0 028 D013300 8245 028 D023300 0 028 D033300 0 028 D043300 0 028 E013300 6152 028 E023300 0 028 E033300 0 028 E043300 0 028 F013300 0 028 F023300 0 028 F033300 0 028 F043300 0 028 G013300 24890 028 G023300 0 028 G033300 0 028 G043300 0 028 H003300 0 045 003300 Y 046 003300 N 047 003300 Y 048 003300 0.200 048 A013300 0 048 A023300 0.000 048 B013300 0 PAGE 50 048 B023300 0.000 048 C013300 0 048 C023300 0.000 048 D013300 0 048 D023300 0.000 048 E013300 0 048 E023300 0.000 048 F013300 0 048 F023300 0.000 048 G013300 0 048 G023300 0.000 048 H013300 0 048 H023300 0.000 048 I013300 0 048 I023300 0.000 048 J013300 0 048 J023300 0.000 048 K013300 0 048 K023300 0.000 058 A003300 N 059 003300 Y 060 A003300 Y 060 B003300 Y 061 003300 0 070 A013300 Y 070 A023300 N 070 B013300 Y 070 B023300 N 070 C013300 Y 070 C023300 N 070 D013300 Y 070 D023300 N 070 E013300 Y 070 E023300 N 070 F013300 Y 070 F023300 N 070 G013300 Y 070 G023300 N 070 H013300 Y 070 H023300 N 070 I013300 N 070 I023300 N 070 J013300 Y 070 J023300 N 070 K013300 Y 070 K023300 Y 070 L013300 Y 070 L023300 N 070 M013300 Y 070 M023300 N 070 N013300 Y PAGE 51 070 N023300 Y 070 O013300 N 070 O023300 N 070 P013300 Y 070 P023300 Y 070 Q013300 Y 070 Q023300 N 070 R013300 Y 070 R023300 N 071 A003300 2323 071 B003300 2286 071 C003300 117516 071 D003300 2 072 A003300 6 072 B003300 1 072 C003300 995 072 D003300 0 072 E003300 3 072 F003300 117 072 G003300 0 072 H003300 0 072 I003300 0 072 J003300 0 072 K003300 0 072 L003300 0 072 M003300 0 072 N003300 0 072 O003300 0 072 P003300 0 072 Q003300 0 072 R003300 0 072 S003300 0 072 T003300 0 072 U003300 0 072 V003300 0 072 W003300 0 072 X003300 117 072 Y003300 0 072 Z003300 882 072AA003300 74 072BB003300 2221 072CC013300 0 072CC023300 20465 072DD013300 772 072DD023300 0 072EE003300 0 073 A013300 0.2868 073 A023300 0.0000 073 B003300 0.0000 073 C003300 0.0000 074 A003300 0 PAGE 52 074 B003300 0 074 C003300 0 074 D003300 0 074 E003300 0 074 F003300 123300 074 G003300 0 074 H003300 0 074 I003300 3020 074 J003300 0 074 K003300 0 074 L003300 160 074 M003300 0 074 N003300 126480 074 O003300 0 074 P003300 40 074 Q003300 0 074 R013300 0 074 R023300 0 074 R033300 0 074 R043300 2912 074 S003300 0 074 T003300 123528 074 U013300 3000 074 U023300 0 074 V013300 41.18 074 V023300 0.00 074 W003300 0.0000 074 X003300 101 074 Y003300 0 075 A003300 0 075 B003300 117835 076 003300 0.00 024 003400 N 028 A013400 3248 028 A023400 0 028 A033400 0 028 A043400 12647 028 B013400 29444 028 B023400 0 028 B033400 0 028 B043400 29376 028 C013400 29854 028 C023400 0 028 C033400 0 028 C043400 18314 028 D013400 28941 028 D023400 0 028 D033400 0 028 D043400 2606 028 E013400 0 028 E023400 0 PAGE 53 028 E033400 0 028 E043400 14684 028 F013400 62103 028 F023400 0 028 F033400 0 028 F043400 0 028 G013400 153590 028 G023400 0 028 G033400 0 028 G043400 77627 028 H003400 0 045 003400 Y 046 003400 N 047 003400 Y 048 003400 0.600 048 A013400 0 048 A023400 0.000 048 B013400 0 048 B023400 0.000 048 C013400 0 048 C023400 0.000 048 D013400 0 048 D023400 0.000 048 E013400 0 048 E023400 0.000 048 F013400 0 048 F023400 0.000 048 G013400 0 048 G023400 0.000 048 H013400 0 048 H023400 0.000 048 I013400 0 048 I023400 0.000 048 J013400 0 048 J023400 0.000 048 K013400 0 048 K023400 0.000 058 A003400 N 059 003400 Y 060 A003400 N 060 B003400 N 061 003400 0 070 A013400 Y 070 A023400 N 070 B013400 Y 070 B023400 N 070 C013400 Y 070 C023400 N 070 D013400 Y 070 D023400 N 070 E013400 Y PAGE 54 070 E023400 N 070 F013400 Y 070 F023400 N 070 G013400 Y 070 G023400 N 070 H013400 Y 070 H023400 N 070 I013400 N 070 I023400 N 070 J013400 Y 070 J023400 N 070 K013400 Y 070 K023400 Y 070 L013400 Y 070 L023400 N 070 M013400 Y 070 M023400 N 070 N013400 Y 070 N023400 Y 070 O013400 N 070 O023400 N 070 P013400 Y 070 P023400 Y 070 Q013400 Y 070 Q023400 N 070 R013400 Y 070 R023400 N 071 A003400 10902 071 B003400 11091 071 C003400 166699 071 D003400 7 072 A003400 6 072 B003400 2 072 C003400 3858 072 D003400 0 072 E003400 6 072 F003400 464 072 G003400 0 072 H003400 0 072 I003400 0 072 J003400 0 072 K003400 0 072 L003400 0 072 M003400 0 072 N003400 0 072 O003400 0 072 P003400 0 072 Q003400 0 072 R003400 0 072 S003400 0 072 T003400 0 PAGE 55 072 U003400 0 072 V003400 0 072 W003400 0 072 X003400 464 072 Y003400 0 072 Z003400 3402 072AA003400 4874 072BB003400 8092 072CC013400 0 072CC023400 46170 072DD013400 3099 072DD023400 0 072EE003400 0 073 A013400 1.1095 073 A023400 0.0000 073 B003400 0.0000 073 C003400 0.0000 074 A003400 0 074 B003400 0 074 C003400 0 074 D003400 0 074 E003400 0 074 F003400 208822 074 G003400 0 074 H003400 0 074 I003400 8957 074 J003400 0 074 K003400 0 074 L003400 618 074 M003400 0 074 N003400 218397 074 O003400 0 074 P003400 158 074 Q003400 0 074 R013400 0 074 R023400 0 074 R033400 0 074 R043400 8811 074 S003400 0 074 T003400 209428 074 U013400 4550 074 U023400 0 074 V013400 46.03 074 V023400 0.00 074 W003400 0.0000 074 X003400 116 074 Y003400 0 075 A003400 0 075 B003400 167052 076 003400 0.00 024 003500 N PAGE 56 028 A013500 25949 028 A023500 0 028 A033500 0 028 A043500 25708 028 B013500 2198 028 B023500 0 028 B033500 0 028 B043500 0 028 C013500 0 028 C023500 0 028 C033500 0 028 C043500 0 028 D013500 6874 028 D023500 0 028 D033500 0 028 D043500 8281 028 E013500 12684 028 E023500 0 028 E033500 0 028 E043500 0 028 F013500 11123 028 F023500 0 028 F033500 0 028 F043500 0 028 G013500 58828 028 G023500 0 028 G033500 0 028 G043500 33989 028 H003500 0 045 003500 Y 046 003500 N 047 003500 Y 048 003500 0.600 048 A013500 0 048 A023500 0.000 048 B013500 0 048 B023500 0.000 048 C013500 0 048 C023500 0.000 048 D013500 0 048 D023500 0.000 048 E013500 0 048 E023500 0.000 048 F013500 0 048 F023500 0.000 048 G013500 0 048 G023500 0.000 048 H013500 0 048 H023500 0.000 048 I013500 0 048 I023500 0.000 PAGE 57 048 J013500 0 048 J023500 0.000 048 K013500 0 048 K023500 0.000 058 A003500 N 059 003500 Y 060 A003500 N 060 B003500 N 061 003500 0 070 A013500 Y 070 A023500 N 070 B013500 Y 070 B023500 N 070 C013500 Y 070 C023500 N 070 D013500 Y 070 D023500 N 070 E013500 Y 070 E023500 N 070 F013500 Y 070 F023500 N 070 G013500 Y 070 G023500 N 070 H013500 Y 070 H023500 N 070 I013500 N 070 I023500 N 070 J013500 Y 070 J023500 N 070 K013500 Y 070 K023500 Y 070 L013500 Y 070 L023500 N 070 M013500 Y 070 M023500 N 070 N013500 Y 070 N023500 Y 070 O013500 N 070 O023500 N 070 P013500 Y 070 P023500 N 070 Q013500 Y 070 Q023500 N 070 R013500 Y 070 R023500 N 071 A003500 7339 071 B003500 7539 071 C003500 48350 071 D003500 15 072 A003500 6 072 B003500 1 PAGE 58 072 C003500 650 072 D003500 0 072 E003500 3 072 F003500 145 072 G003500 0 072 H003500 0 072 I003500 0 072 J003500 0 072 K003500 0 072 L003500 0 072 M003500 0 072 N003500 0 072 O003500 0 072 P003500 0 072 Q003500 0 072 R003500 0 072 S003500 0 072 T003500 0 072 U003500 0 072 V003500 0 072 W003500 0 072 X003500 145 072 Y003500 0 072 Z003500 509 072AA003500 1105 072BB003500 14282 072CC013500 5462 072CC023500 0 072DD013500 437 072DD023500 0 072EE003500 0 073 A013500 0.1761 073 A023500 0.0000 073 B003500 0.0000 073 C003500 0.0000 074 A003500 0 074 B003500 0 074 C003500 0 074 D003500 0 074 E003500 0 074 F003500 68299 074 G003500 0 074 H003500 0 074 I003500 6951 074 J003500 2156 074 K003500 0 074 L003500 298 074 M003500 0 074 N003500 77704 074 O003500 2151 074 P003500 49 PAGE 59 074 Q003500 0 074 R013500 0 074 R023500 0 074 R033500 0 074 R043500 6845 074 S003500 0 074 T003500 68659 074 U013500 3750 074 U023500 0 074 V013500 18.31 074 V023500 0.00 074 W003500 0.0000 074 X003500 106 074 Y003500 0 075 A003500 0 075 B003500 48607 076 003500 0.00 024 003900 N 028 A013900 4455 028 A023900 0 028 A033900 0 028 A043900 0 028 B013900 22657 028 B023900 0 028 B033900 0 028 B043900 18052 028 C013900 26199 028 C023900 0 028 C033900 0 028 C043900 0 028 D013900 16459 028 D023900 0 028 D033900 0 028 D043900 0 028 E013900 21328 028 E023900 0 028 E033900 0 028 E043900 0 028 F013900 42254 028 F023900 0 028 F033900 0 028 F043900 0 028 G013900 133352 028 G023900 0 028 G033900 0 028 G043900 18052 028 H003900 0 045 003900 Y 046 003900 N 047 003900 Y 048 003900 0.350 PAGE 60 048 A013900 0 048 A023900 0.000 048 B013900 0 048 B023900 0.000 048 C013900 0 048 C023900 0.000 048 D013900 0 048 D023900 0.000 048 E013900 0 048 E023900 0.000 048 F013900 0 048 F023900 0.000 048 G013900 0 048 G023900 0.000 048 H013900 0 048 H023900 0.000 048 I013900 0 048 I023900 0.000 048 J013900 0 048 J023900 0.000 048 K013900 0 048 K023900 0.000 058 A003900 N 059 003900 Y 060 A003900 N 060 B003900 N 061 003900 0 070 A013900 Y 070 A023900 N 070 B013900 Y 070 B023900 N 070 C013900 Y 070 C023900 N 070 D013900 Y 070 D023900 N 070 E013900 Y 070 E023900 N 070 F013900 Y 070 F023900 N 070 G013900 Y 070 G023900 N 070 H013900 Y 070 H023900 N 070 I013900 N 070 I023900 N 070 J013900 Y 070 J023900 N 070 K013900 Y 070 K023900 Y 070 L013900 Y 070 L023900 N PAGE 61 070 M013900 Y 070 M023900 N 070 N013900 Y 070 N023900 Y 070 O013900 N 070 O023900 N 070 P013900 Y 070 P023900 N 070 Q013900 Y 070 Q023900 N 070 R013900 Y 070 R023900 N 071 A003900 7432 071 B003900 7670 071 C003900 127496 071 D003900 6 072 A003900 6 072 B003900 3 072 C003900 3839 072 D003900 0 072 E003900 3 072 F003900 223 072 G003900 0 072 H003900 0 072 I003900 0 072 J003900 0 072 K003900 0 072 L003900 0 072 M003900 0 072 N003900 0 072 O003900 0 072 P003900 0 072 Q003900 0 072 R003900 0 072 S003900 0 072 T003900 0 072 U003900 0 072 V003900 0 072 W003900 0 072 X003900 223 072 Y003900 0 072 Z003900 3622 072AA003900 1522 072BB003900 627 072CC013900 0 072CC023900 18801 072DD013900 4203 072DD023900 0 072EE003900 0 073 A013900 2.6806 073 A023900 0.0000 PAGE 62 073 B003900 0.0000 073 C003900 0.0000 074 A003900 0 074 B003900 0 074 C003900 0 074 D003900 0 074 E003900 0 074 F003900 189102 074 G003900 0 074 H003900 0 074 I003900 7419 074 J003900 0 074 K003900 0 074 L003900 112 074 M003900 0 074 N003900 196633 074 O003900 0 074 P003900 91 074 Q003900 0 074 R013900 0 074 R023900 0 074 R033900 0 074 R043900 7376 074 S003900 0 074 T003900 189166 074 U013900 2400 074 U023900 0 074 V013900 78.82 074 V023900 0.00 074 W003900 0.0000 074 X003900 103 074 Y003900 0 075 A003900 0 075 B003900 127865 076 003900 0.00 SIGNATURE JEFF GABOURY TITLE DIRECTOR EX-99 3 ex9977q3cert.txt iShares Trust N-SAR Filing dated 10/31/2002 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 sixteen series of iShares Trust: iShares Dow Jones U.S. Basic Materials Sector Index Fund; iShares Dow Jones U.S. Chemicals Index Fund; iShares Dow Jones U.S. Consumer Cyclical Sector Index Fund; iShares Dow Jones U.S. Consumer Non-Cyclical Sector Index Fund; iShares Dow Jones U.S. Energy Sector Index Fund; iShares Dow Jones U.S. Financial Services Index Fund; iShares Dow Jones U.S. Financial Sector Index Fund; iShares Dow Jones U.S. Healthcare Sector Index Fund; iShares Dow Jones U.S. Industrial Sector Index Fund; iShares Dow Jones U.S. Internet Index Fund; iShares Dow Jones U.S. Real Estate Index Fund; iShares Dow Jones U.S. Technology Sector Index Fund; iShares Dow Jones U.S. Total Market Index Fund; iShares Dow Jones U.S. Utilities Sector Index Fund; iShares Dow Jones U.S. Telecommunications Sector Index Fund and iShares Cohen & Steers Realty Majors 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; 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: December 19, 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 sixteen series of iShares Trust: iShares Dow Jones U.S. Basic Materials Sector Index Fund; iShares Dow Jones U.S. Chemicals Index Fund; iShares Dow Jones U.S. Consumer Cyclical Sector Index Fund; iShares Dow Jones U.S. Consumer Non-Cyclical Sector Index Fund; iShares Dow Jones U.S. Energy Sector Index Fund; iShares Dow Jones U.S. Financial Services Index Fund; iShares Dow Jones U.S. Financial Sector Index Fund; iShares Dow Jones U.S. Healthcare Sector Index Fund; iShares Dow Jones U.S. Industrial Sector Index Fund; iShares Dow Jones U.S. Internet Index Fund; iShares Dow Jones U.S. Real Estate Index Fund; iShares Dow Jones U.S. Technology Sector Index Fund; iShares Dow Jones U.S. Total Market Index Fund; iShares Dow Jones U.S. Utilities Sector Index Fund; iShares Dow Jones U.S. Telecommunications Sector Index Fund and iShares Cohen & Steers Realty Majors 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; 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: December 19, 2002 Michael Latham Michael Latham Principal Financial Officer iShares Trust EX-99 4 trustnsaritem77e.txt iShares Trust Attachment for Item 77E - Legal Proceedings N-SAR filing dated 10/31/02 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. -----END PRIVACY-ENHANCED MESSAGE-----