0001325358-13-001256.txt : 20131010 0001325358-13-001256.hdr.sgml : 20131010 20131010132240 ACCESSION NUMBER: 0001325358-13-001256 CONFORMED SUBMISSION TYPE: NSAR-B/A PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20121031 FILED AS OF DATE: 20131010 DATE AS OF CHANGE: 20131010 EFFECTIVENESS DATE: 20131010 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FlexShares Trust CENTRAL INDEX KEY: 0001491978 IRS NUMBER: 272560399 STATE OF INCORPORATION: MD FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: NSAR-B/A SEC ACT: 1940 Act SEC FILE NUMBER: 811-22555 FILM NUMBER: 131145420 BUSINESS ADDRESS: STREET 1: 50 S. LASALLE STREET CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: (800) 595-9111 MAIL ADDRESS: STREET 1: 50 S. LASALLE STREET CITY: CHICAGO STATE: IL ZIP: 60603 FORMER COMPANY: FORMER CONFORMED NAME: NT ETF Trust DATE OF NAME CHANGE: 20100513 0001491978 S000033312 FlexShares Morningstar US Market Factor Tilt Index Fund C000102368 FlexShares Morningstar US Market Factor Tilt Index Fund TILT 0001491978 S000033313 FlexShares Morningstar Developed Markets ex-US Factor Tilt Index Fund C000102369 FlexShares Morningstar Developed Markets ex-US Factor Tilt Index Fund TLTD 0001491978 S000033314 FlexShares Morningstar Emerging Markets Factor Tilt Index Fund C000102370 FlexShares Morningstar Emerging Markets Factor Tilt Index Fund TLTE 0001491978 S000033315 FlexShares Morningstar Global Upstream Natural Resources Index Fund C000102371 FlexShares Morningstar Global Upstream Natural Resources Index Fund GUNR 0001491978 S000033316 FlexShares iBoxx 3-Year Target Duration TIPS Index Fund C000102372 FlexShares iBoxx 3-Year Target Duration TIPS Index Fund TDTT 0001491978 S000034352 FlexShares iBoxx 5-Year Target Duration TIPS Index Fund C000105758 FlexShares iBoxx 5-Year Target Duration TIPS Index Fund TDTF 0001491978 S000034353 FlexShares iBoxx 7-Year Target Duration TIPS Index Fund C000105759 FlexShares iBoxx 7-Year Target Duration TIPS Index Fund TDTS 0001491978 S000035596 FlexShares Ready Access Variable Income Fund C000109007 FlexShares Ready Access Variable Income Fund RAVI NSAR-B/A 1 answer.fil MAIN DOCUMENT 000 B000000 10/31/2012 000 C000000 0001491978 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 Y 000 H000000 N 000 I000000 6.1 000 J000000 B 001 A000000 FLEXSHARES TRUST 001 B000000 811-22555 001 C000000 8005959111 002 A000000 50 South LaSalle Street 002 B000000 Chicago 002 C000000 IL 002 D010000 60603 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 8 007 C010100 1 007 C020100 FlexShares Morningstar US Market Factor Tilt Index Fund 007 C030100 N 007 C010200 2 007 C020200 FlexShares Morningstar Global Upstream Natural Resources Index Fund 007 C030200 N 007 C010300 3 007 C020300 FlexShares iBoxx 3-Year Target Duration TIPS Index Fund 007 C030300 N 007 C010400 4 007 C020400 FlexShares iBoxx 5-Year Target Duration TIPS Index Fund 007 C030400 N 007 C010500 5 007 C020500 FlexShares iBoxx 7-Year Target Duration TIPS Index Fund 007 C030500 N 007 C010600 6 007 C020600 FlexShares Morningstar Developed Markets ex-US Factor Tilt Index Fund 007 C030600 N 007 C010700 7 007 C020700 FlexShares Morningstar Emerging Markets Factor Tilt Index Fund 007 C030700 N 007 C010800 8 007 C020800 FlexShares Ready Access Variable Income Fund 007 C030800 N 008 A00AA01 NORTHERN TRUST INVESTMENTS, INC. 008 B00AA01 A 008 C00AA01 801-33358 008 D01AA01 CHICAGO 008 D02AA01 IL 008 D03AA01 60602 008 D04AA01 4562 010 A00AA01 JPMORGAN CHASE BANK, N.A. 010 B00AA01 84-17190 010 C01AA01 BOSTON 010 C02AA01 MA 010 C03AA01 02108 011 A00AA01 FORESIDE FUND SERVICES, LLC 011 B00AA01 8-51293 011 C01AA01 PORTLAND 011 C02AA01 ME 011 C03AA01 04101 012 A00AA01 JP MORGAN CHASE BANK, N.A. 012 B00AA01 85-11399 012 C01AA01 NEW YORK 012 C02AA01 NY 012 C03AA01 10005 013 A00AA01 DELOITTE & TOUCHE LLP 013 B01AA01 CHICAGO 013 B02AA01 IL 013 B03AA01 60606 014 A00AA01 NORTHERN TRUST SECURITIES, INC. 014 B00AA01 8-23689 015 A00AA01 BANCO NACIONAL DE MEXICO, S.A. 015 B00AA01 S 015 C01AA01 MEXICO CITY 015 D01AA01 MEXICO 015 D02AA01 06695 015 E04AA01 X 015 A00AA02 BANCO SANTANDER, S.A. 015 B00AA02 S 015 C01AA02 SANTIAGO 015 D01AA02 CHILE 015 E04AA02 X 015 A00AA03 BANK HANDLOWY W. 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FLEXSHARES TRUST

FORM N-SAR

File No. 811-22555

Fiscal Year Ended October 31, 2012

Exhibit Index

EX-99.77B: Accountant's report on internal control



EX-99.77B: Accountant's report on internal control

REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

To the Board of Trustees and Shareholders of
FlexShares(r) Trust:

In planning and performing our audits of the financial statements of FlexShares(r) Trust (the "Trust"), consisting of FlexShares(r) Morningstar Global Upstream Natural Resources Index Fund, FlexShares(r) iBoxx 3-Year Target Duration TIPS Index Fund, FlexShares(r) iBoxx 5-Year Target Duration TIPS Index Fund, FlexShares(r) Morningstar US Market Factor Tilt Index Fund, FlexShares(r) Morningstar Developed Markets ex-US Factor Tilt Index Fund, FlexShares(r) Morningstar Emerging Markets Factor Tilt Index Fund, and FlexShares(r) Ready Access Variable Income Fund (collectively, the "Funds"),  as of and for the year or period ended October 31, 2012,  in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Trust's internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, but not for the purpose of expressing an opinion on the effectiveness of the Trust's internal control over financial reporting.  Accordingly, we express no such opinion.

The management of the Trust is responsible for establishing and maintaining effective internal control over financial reporting.  In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls.  A fund's internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles.  A fund's internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the fund; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the fund are being made only in accordance with authorizations of management and trustees of the fund; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use, or disposition of a fund's assets that could have a material effect on the financial statements.

Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions or that the degree of compliance with the policies or procedures may deteriorate.

A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis.  A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the fund's annual or interim financial statements will not be prevented or detected on a timely basis.

Our consideration of the Trust's internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States).  However, we noted no deficiencies in the Trust's internal control over financial reporting and its operation, including controls for safeguarding securities, that we consider to be a material weakness, as defined above, as of October 31, 2012.

This report is intended solely for the information and use of the Trust's management and the Board of Trustees of FlexShares(r) Trust and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.

/s/ DELOITTE & TOUCHE LLP

Chicago, Illinois
December 21, 2012
EX-99.77Q1 OTHR EXHB 3 ex-99_77q1othrexhb3.htm EX-99.77Q1 OTHR EXHB 

FLEXSHARES TRUST

FORM N-SAR

File No. 811-22555

Fiscal Year Ended October 31, 2012

Exhibit Index


EX-99.77Q1(e): Copies of any new or amended Registrant investment advisory contracts



EX-99.77Q1(e): Copies of any new or amended Registrant investment advisory contracts

(e)(1) Amended and Restated Appendix A to the Investment Advisory and Ancillary Services Agreement, dated December 15, 2011, by FlexShares Trust and Northern Trust Investment, Inc. is incorporated by reference to Exhibit (d)(2) in Registrant's Post-Effective Amendment No. 21 filed with the Commission on September 10, 2012 (Accession No. Accession No. 0001193125-12-386849).

(e)(2) Amended and Restated Appendix A to the Investment Advisory and Ancillary Services Agreement, dated December 15, 2011, by FlexShares Trust and Northern Trust Investment, Inc. is incorporated by reference to Exhibit (d)(2) in Registrant's Post-Effective Amendment No. 24 filed with the Commission on September 20, 2012 (Accession No. 0001193125-12-398778).

(e)(3) Amended and Restated Exhibit A to the Expense Reimbursement Agreement, dated December 15, 2011, by FlexShares Trust and Northern Trust Investment, Inc. is incorporated by reference to Exhibit (d)(4) in Registrant's Post-Effective Amendment No. 21 filed with the Commission on September 10, 2012 (Accession No. 0001193125-12-386849).
EX-99.77Q1 OTHR EXHB 4 ex-99_77q1othrexhb4.htm EX-99.77Q1 OTHR EXHB 

FLEXSHARES TRUST

FORM N-SAR

File No. 811-22555

Fiscal Year Ended October 31, 2012

Exhibit Index



EX-99.77Q1(a): Copies of any material amendments to the registrant's charter or by-laws



Sub-Item 77Q1: Exhibits.

EX-99.77Q1(a): Copies of any material amendments to the registrant's charter or by-laws

(a)(1) Amended and Restated Schedule A to the Amended and Restated Agreement and Declaration of Trust of the Trust, dated June 21, 2012, is incorporated herein by reference to Exhibit (a)(4) in Registrant's Post-Effective Amendment No. 21 filed with the Commission on September 10, 2012 (Accession No. 0001193125-12-386849).