-----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, DJ3bDkYmnJ+3lSjuT0Z/OKWgssh0ykXNH/P3nvzN3KfEBmMcD5oJBl0iFoJcIOOY zQA6YPXKGDQMFHIQMIVBJg== 0000897436-03-000130.txt : 20030328 0000897436-03-000130.hdr.sgml : 20030328 20030328141809 ACCESSION NUMBER: 0000897436-03-000130 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20030131 FILED AS OF DATE: 20030328 EFFECTIVENESS DATE: 20030328 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: 03624381 BUSINESS ADDRESS: STREET 1: 45 FREMONT STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94105 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40 007 C024000 ISHARES GOLDMAN SACHS TECHNOLOGY INDEX FUND 007 C034000 N 007 C014100 41 007 C024100 ISHARES GOLDMAN SACHS NETWORKING INDEX FUND 007 C034100 N 007 C014200 42 007 C024200 ISHARES GOLDMAN SACHS SEMICONDUCTOR INDEX FD 007 C034200 N 007 C014300 43 007 C024300 ISHARES GOLDMAN SACHS SOFTWARE INDEX FUND 007 C034300 N 007 C014400 44 007 C014500 45 007 C014600 46 007 C014700 47 007 C024700 ISHARES GOLDMAN SACHS NATURAL RESOURCES IN FD 007 C034700 N 007 C014800 48 007 C024800 ISHARES MSCI EAFE INDEX FUND 007 C034800 N 007 C014900 49 007 C015000 50 008 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 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 PAGE 3 012 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 78 019 C00AA00 BGIISHARES 020 A000001 MERRILL LYNCH PIERCE FENNER & SMITH INC 020 B000001 13-5674085 020 C000001 162 020 A000002 LEHMAN BROTHERS INC 020 B000002 13-2518466 020 C000002 60 020 A000003 GOLDMAN SACHS & CO 020 B000003 13-5108880 020 C000003 25 020 A000004 PRUDENTIAL SECURITIES INC 020 B000004 22-2347336 020 C000004 15 020 A000005 CREDIT SUISSE FIRST BOSTON CORP 020 B000005 13-5659485 020 C000005 5 020 A000006 JP MORGAN SECURITIES INC 020 B000006 13-3379014 020 C000006 2 020 A000007 SG SECURITIES INC 020 B000007 93-1316665 020 C000007 2 020 A000008 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025 C004805 E 025 D004805 6779 025 D004806 0 025 D004807 0 025 D004808 0 028 A014800 209822 028 A024800 0 028 A034800 0 028 A044800 0 028 B014800 0 028 B024800 0 028 B034800 0 028 B044800 1930806 028 C014800 0 028 C024800 0 028 C034800 0 028 C044800 0 028 D014800 224754 028 D024800 0 028 D034800 0 028 D044800 0 028 E014800 219481 028 E024800 0 028 E034800 0 028 E044800 19702 028 F014800 0 028 F024800 0 028 F034800 0 028 F044800 163278 028 G014800 654057 028 G024800 0 028 G034800 0 028 G044800 2113786 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 PAGE 25 048 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 070 A014800 Y 070 A024800 N 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 PAGE 26 070 P024800 N 070 Q014800 Y 070 Q024800 N 070 R014800 Y 070 R024800 N 071 A004800 92674 071 B004800 115567 071 C004800 2497673 071 D004800 4 072 A004800 6 072 B004800 0 072 C004800 20370 072 D004800 0 072 E004800 418 072 F004800 4370 072 G004800 0 072 H004800 0 072 I004800 0 072 J004800 0 072 K004800 0 072 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 4370 072 Y004800 0 072 Z004800 16418 072AA004800 52566 072BB004800 413807 072CC014800 0 072CC024800 8182 072DD014800 41789 072DD024800 0 072EE004800 0 073 A014800 1.8824 073 A024800 0.0000 073 B004800 0.0000 073 C004800 0.0000 074 A004800 1738 074 B004800 0 074 C004800 0 074 D004800 0 074 E004800 9634 PAGE 27 074 F004800 1934241 074 G004800 0 074 H004800 0 074 I004800 52221 074 J004800 0 074 K004800 0 074 L004800 2710 074 M004800 0 074 N004800 2000544 074 O004800 0 074 P004800 1248 074 Q004800 0 074 R014800 0 074 R024800 0 074 R034800 0 074 R044800 50380 074 S004800 0 074 T004800 1948916 074 U014800 20600 074 U024800 0 074 V014800 94.61 074 V024800 0.00 074 W004800 0.0000 074 X004800 152 074 Y004800 0 075 A004800 0 075 B004800 2492410 076 004800 0.00 SIGNATURE JEFF GABOURY TITLE DIRECTOR EX-99 3 revisednsaritem7e13103.txt iShares Trust N-SAR filing dated 1/31/03 Attachment for Item 77E The Trust is currently a defendant in an action in the U.S. District Court for the Northern District of Illinois. There are numerous other defendants, including the Trust's investment advisor, other exchange traded funds, various fund service providers and market makers, and the Chicago Stock Exchange, Inc. A company named MOPEX, Inc. is the plaintiff in this action. MOPEX claims that the actions of the parties, including the Trust, infringe a patent held by MOPEX, and that the parties engaged in a "conspiracy" amongst themselves to infringe the patent. MOPEX's patent, however, was recently found to be invalid by the judge in a related case in the U.S. District Court for the Southern District of New York. Although the Trust is not a party to the action in New York, the Trust believes that the recent ruling will permit the action in Illinois to be dismissed or resolved quickly. EX-99 4 ex9977q3cert.txt iShares Trust N-SAR Filing dated 01/31/2003 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 iShares Trust 200 Clarendon Street Boston, MA 02116 617-330-6700 I, Garrett F. Bouton, certify that: 1. I have reviewed this report on Form N-SAR for 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 and 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; 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: March 27, 2003 /s/ Garrett F. Bouton Garrett F. Bouton President iShares Trust CERTIFICATIONS iShares Trust 200 Clarendon Street Boston, MA 02116 617-330-6700 I, Michael Latham, certify that: 1. I have reviewed this report on Form N-SAR for 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 and 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; 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: March 27, 2003 /s/ Michael Latham Michael Latham Principal Financial Officer iShares Trust -----END PRIVACY-ENHANCED MESSAGE-----