Senior Director and Chief Compliance Officer

0001787833-20-000004.txt : 20200224 0001787833-20-000004.hdr.sgml : 20200224 20200224103757 ACCESSION NUMBER: 0001787833-20-000004 CONFORMED SUBMISSION TYPE: MA PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20200221 DATE AS OF CHANGE: 20200224 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Harris & Associates CENTRAL INDEX KEY: 0001787833 IRS NUMBER: 942385238 STATE OF INCORPORATION: CA FISCAL YEAR END: 1228 FILING VALUES: FORM TYPE: MA SEC ACT: 1934 Act SEC FILE NUMBER: 867-02513 FILM NUMBER: 20642500 BUSINESS ADDRESS: STREET 1: 1401 WILLOW PASS ROAD STREET 2: SUITE 500 CITY: CONCORD STATE: CA ZIP: 94520 BUSINESS PHONE: 925-969-8111 MAIL ADDRESS: STREET 1: 1401 WILLOW PASS ROAD STREET 2: SUITE 500 CITY: CONCORD STATE: CA ZIP: 94520 MA 1 primary_doc.xml MA 0001787833 XXXXXXXX Joseph Yew 925-969-8111 joseph.yew@weareharris.com dennis.klingelhofer@weareharris.com dave.sanchez@nortonrosefulbright.com Harris & Associates Harris & Associates, Inc. 94-2385238 1401 Willow Pass Road Suite 500 Concord CA 94520 925-969-8111 886-356-0998 NewAdd 22 Executive Park Suite 200 Irvine CA 92614 949-536-2505 886-356-0998 N www.weareharris.com Joseph Thomas Yew Senior Director and Chief Compliance Officer

1401 Willow Pass Road Suite 500 Concord CA 94620

925-969-8111 866-356-0998 joseph.yew@weareharris.com Karl Dennis Klingelhofer

22 Executive Park Suite 200 Irvine CA 92614

949-536-2505 866-356-0998 dennis.klingelhofer@weareharris.com NewAdd Harris & Associates, Inc.t 22 Executive Park Suite 200 Irvine CA 92614 949-536-2505 886-356-0998 Files and work related papers related to Harris & Associates, Inc. clients. Also copy of written supervisory procedures. December CA 09-03-1977 N 200 1 0 0 0 0 Municipal Entities 0 0 0 Not Applicable Hourly Charges Fixed Fees Contingent Fees Not Applicable Advice Insurance Of MS Advice On Selection Y Y N Engineer or engineering firm 4 NewAdd Engineer or engineering firm Joseph Yew Harris & Associates, Inc. N N N NewAdd Engineer or engineering firm Karl Dennis Klingelhofer Harris & Associates, Inc. N N N NewAdd Engineer or engineering firm Michael McCormick Harris & Associates, Inc. N N N NewAdd Engineer or engineering firm Lisa Virginia Larabee Harris & Associates, Inc. N N N N N N N N N N N N N N N N Harris & Associates, Inc. is company owned through an employee owned stock ownership program or ESOP. The ESOP program is a long-term, qualified retirement plan. Harris & Associates, Inc. is employee owned. The company is 100% employee stock with no person owning over 5%. An ESOP is a qualified, defined-contribution employee benefit plan designed to invest primarily in the stock of the sponsoring employee. The Employee Retirement Income Security Act of 1974 (ERISA) is a federal law that sets standards for private industry pension and health plans, including ESOPs. Please contact Joseph Yew at 925-969-8111 or joseph.yew@weareharris.com for more information. N N N N N N N N N N N N N N N N N N N N N N N N N N Harris & Associates, Inc. N 94-2385238 Harris & Associates Employee Stock Ownership Plan 10-01-1992 E Y Lisa Virgina Larabee Chief Executive Officer 01-15-2010 NA N 000000000 Joseph Thomas Yew Senior Director and Chief Compliance Officer 04-04-2019 NA N 1767976 Joseph Thomas Yew Joseph Thomas Yew Senior Director and Chief Compliance Officer 02-21-2020 N Y N N N N N Y N N Y N N N N N N N N N N