-----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, OU5VGvFft487RwBqAqq1e8FawXIb0zSmblmme0LDCLsM6o9dN1HZ8+k1NS1mwjqz 5g5i0RnW78SSTJEff+EOAg== 0000897436-06-000528.txt : 20061129 0000897436-06-000528.hdr.sgml : 20061129 20061129121501 ACCESSION NUMBER: 0000897436-06-000528 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20060930 FILED AS OF DATE: 20061129 DATE AS OF CHANGE: 20061129 EFFECTIVENESS DATE: 20061129 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HARRIS ASSOCIATES INVESTMENT TRUST CENTRAL INDEX KEY: 0000872323 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-06279 FILM NUMBER: 061244295 BUSINESS ADDRESS: STREET 1: HARRIS ASSOCIATES LP STREET 2: TWO N LASALLE ST STE 500 CITY: CHICAGO STATE: IL ZIP: 60602-3790 BUSINESS PHONE: 8004769625 MAIL ADDRESS: STREET 1: HARRIS ASSOCIATES LP STREET 2: TWO NORTH LASALLE STREET STE 500 CITY: CHICAGO STATE: IL ZIP: 60602-3790 0000872323 S000002758 Oakmark Fund C000007554 Class I OAKMX C000007555 Class II OARMX 0000872323 S000002759 Oakmark Select C000007556 Class I OAKLX C000007557 Class II OARLX 0000872323 S000002760 Oakmark Equity and Income C000007558 Class I OAKBX C000007559 Class II OARBX 0000872323 S000002761 Oakmark Global C000007560 Class I OAKGX C000007561 Class II OARGX 0000872323 S000002762 Oakmark International C000007562 Class I OAKIX C000007563 Class II OARIX 0000872323 S000002763 Oakmark International Small Cap C000007564 Class I OAKEX C000007565 Class II OAREX NSAR-B 1 answer.fil PAGE 1 000 B000000 09/30/2006 000 C000000 0000872323 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 HARRIS ASSOCIATES INVESTMENT TRUST 001 B000000 811-06279 001 C000000 3126210600 002 A000000 TWO NORTH LASALLE STREET 002 B000000 CHICAGO 002 C000000 IL 002 D010000 60602 002 D020000 3790 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 6 007 C010100 1 007 C020100 THE OAKMARK FUND 007 C030100 N 007 C010200 2 007 C020200 THE OAKMARK INTERNATIONAL FUND 007 C030200 N 007 C010300 3 007 C010400 4 007 C020400 THE OAKMARK EQUITY AND INCOME FUND 007 C030400 N 007 C010500 5 007 C020500 THE OAKMARK INTERNATIONAL SMALL CAP FUND 007 C030500 N 007 C010600 6 007 C020600 THE OAKMARK SELECT FUND 007 C030600 N 007 C010700 7 007 C020700 THE OAKMARK GLOBAL FUND 007 C030700 N 007 C010800 8 007 C010900 9 007 C011000 10 008 A00AA01 HARRIS ASSOCIATES L.P. 008 B00AA01 A 008 C00AA01 801-50333 008 D01AA01 CHICAGO 008 D02AA01 IL 008 D03AA01 60602 PAGE 2 008 D04AA01 3790 012 A00AA01 BOSTON FINANCIAL DATA SERVICES, INC. 012 B00AA01 84-00896 012 C01AA01 QUINCY 012 C02AA01 MA 012 C03AA01 02169 013 A00AA01 DELOITTE & TOUCHE LLP 013 B01AA01 CHICAGO 013 B02AA01 IL 013 B03AA01 60606 013 B04AA01 4301 014 A00AA01 AEW SECURITIES L.P. 014 B00AA01 8-45099 014 A00AA02 BANCO IXIS URQUIJO 014 B00AA02 8-xxxxx 014 A00AA03 BANQUE DE LA REUNION 014 B00AA03 8-xxxxx 014 A00AA04 BANQUE DE NOUVELLE CALEDONIE 014 B00AA04 8-xxxxx 014 A00AA05 BANQUE DE TAHITI 014 B00AA05 8-xxxxx 014 A00AA06 BANQUE DES ANTILLES FRANCAISES 014 B00AA06 8-xxxxx 014 A00AA07 BANQUE DES ILES SAINT-PIERRE ET MIQUELON 014 B00AA07 8-xxxxx 014 A00AA08 BANQUE INTERNATIONALE DES MASCAREIGNES 014 B00AA08 8-xxxxx 014 A00AA09 BANQUE PALATINE 014 B00AA09 8-xxxxx 014 A00AA10 CACEIS 014 B00AA10 8-xxxxx 014 A00AA11 CAISSE D'EPARGNE DA LA NOUVELLE CALEDONIE 014 B00AA11 8-xxxxx 014 A00AA12 CAISSE DES DEPOTS ET CONSIGNATIONS 014 B00AA12 8-xxxxx 014 A00AA13 CAISSE NATIONALE DES CAISSES D'EPARGNE 014 B00AA13 8-xxxxx 014 A00AA14 CREDIT FONCIER DE FRANCE 014 B00AA14 8-xxxxx 014 A00AA15 EURO EMETTEURS FINANCE 014 B00AA15 8-xxxxx 014 A00AA16 FONGEPAR 014 B00AA16 8-xxxxx 014 A00AA17 GERER INTERMEDIATION 014 B00AA17 8-xxxxx 014 A00AA18 GESTITRES SA 014 B00AA18 8-xxxxx 014 A00AA19 HARRIS ASSOCIATES SECURITIES, L.P. 014 B00AA19 8-19988 014 A00AA20 INCHAUSPE & CIE SA 014 B00AA20 8-xxxxx PAGE 3 014 A00AA21 IXIS AEW LUXEMBOURG 014 B00AA21 8-xxxxx 014 A00AA22 IXIS ASIA LIMITED (HONG KONG) 014 B00AA22 8-xxxxx 014 A00AA23 IXIS ASSET MANAGEMENT 014 B00AA23 8-xxxxx 014 A00AA24 IXIS ASSET MANAGEMENT AUSTRALIA LTD. 014 B00AA24 8-xxxxx 014 A00AA25 IXIS ASSET MANAGEMENT DISTRIBUTORS, L.P. 014 B00AA25 8-46325 014 A00AA26 IXIS COMMERCIAL PAPER CORP. 014 B00AA26 8-xxxxx 014 A00AA27 IXIS CORPORATE & INVESTMENT BANK 014 B00AA27 8-xxxxx 014 A00AA28 IXIS DERIVATIVES INC. 014 B00AA28 8-xxxxx 014 A00AA29 IXIS FINANCIAL INSTRUMENTS 014 B00AA29 8-xxxxx 014 A00AA30 IXIS FINANCIAL PRODUCTS INC. 014 B00AA30 8-xxxxx 014 A00AA31 IXIS FONDSSERVICES GMBH 014 B00AA31 8-xxxxx 014 A00AA32 IXIS FUNDING CORP. 014 B00AA32 8-xxxxxx 014 A00AA33 IXIS INVESTMENT SERVICES JAPAN, LTD. 014 B00AA33 8-xxxxx 014 A00AA34 IXIS INVESTOR SERVICES 014 B00AA34 8-xxxxx 014 A00AA35 IXIS MID CAPS 014 B00AA35 8-xxxxx 014 A00AA36 IXIS MUNICIPAL PRODUCTS INC. 014 B00AA36 8-xxxxx 014 A00AA37 IXIS REAL ESTATE CAPITIAL INC. 014 B00AA37 8-xxxxxx 014 A00AA38 IXIS SECURITIES 014 B00AA38 8-xxxxxx 014 A00AA39 IXIS SECURITIES NORTH AMERICA, INC. 014 B00AA39 8-xxxxxx 014 A00AA40 IXIS SECURITIZATION CORP. 014 B00AA40 8-xxxxxx 014 A00AA41 LA COMPAGNIE 1818-BANQUIERS PRIVES 014 B00AA41 8-xxxxxx 014 A00AA42 LOOMIS, SAYLES DISTRIBUTORS, L.P. 014 B00AA42 8-49575 014 A00AA43 MARTIGNAC FINANCE 014 B00AA43 8-xxxxxx 014 A00AA44 NEXGEN CAPITAL LTD 014 B00AA44 8-xxxxxx 014 A00AA45 NEXGEN FINANCIAL SOLUTIONS (ASIA) PTE LTD 014 B00AA45 8-xxxxxx 014 A00AA46 NEXGEN FINANCIAL SOLUTIONS LTD PAGE 4 014 B00AA46 8-xxxxxx 014 A00AA47 REICH & TANG DISTRIBUTORS, INC. 014 B00AA47 8-43429 015 A00AA01 INVESTORS BANK & TRUST COMPANY 015 B00AA01 C 015 C01AA01 BOSTON 015 C02AA01 MA 015 C03AA01 02116 015 C04AA01 9130 015 E01AA01 X 015 A00AA02 CITIBANK N.A. 015 B00AA02 S 015 C01AA02 BUENOS AIRES 015 D01AA02 ARGENTINA 015 E04AA02 X 015 A00AA03 BANK AUSTRIA AG 015 B00AA03 S 015 C01AA03 VIENNA 015 D01AA03 AUSTRIA 015 E04AA03 X 015 A00AA04 NATIONAL AUSTRALIA BANK LTD. 015 B00AA04 S 015 C01AA04 MELBOURNE 015 D01AA04 AUSTRALIA 015 E04AA04 X 015 A00AA05 STANDARD CHARTERED BANK 015 B00AA05 S 015 C01AA05 DHAKA 015 D01AA05 BANGLADESH 015 E04AA05 X 015 A00AA06 BNP PARIBAS 015 B00AA06 S 015 C01AA06 BRUSSELS 015 D01AA06 BELGIUM 015 E04AA06 X 015 A00AA07 BANK OF BERMUDA 015 B00AA07 S 015 C01AA07 HAMILTON 015 D01AA07 BERMUDA 015 E04AA07 X 015 A00AA08 BARCLAYS 015 B00AA08 S 015 C01AA08 GABORONE 015 D01AA08 BOTSWANA 015 E04AA08 X 015 A00AA09 STANDARD CHARTERED BANK 015 B00AA09 S 015 C01AA09 BANGKOK 015 D01AA09 THAILAND 015 E04AA09 X 015 A00AA10 CITIBANK, N.A. PAGE 5 015 B00AA10 S 015 C01AA10 SAO PAULO 015 D01AA10 BRAZIL 015 E04AA10 X 015 A00AA11 HVB BANK 015 B00AA11 S 015 C01AA11 SOFIA 015 D01AA11 BULGARIA 015 E04AA11 X 015 A00AA12 ROYAL BANK OF CANADA 015 B00AA12 S 015 C01AA12 TORONTO 015 D01AA12 CANADA 015 E04AA12 X 015 A00AA13 CITIBANK, N.A. 015 B00AA13 S 015 C01AA13 SANTIAGO 015 D01AA13 CHILE 015 E04AA13 X 015 A00AA14 STANDARD CHARTERED BANK 015 B00AA14 S 015 C01AA14 SHANGHAI & SHENZHEN 015 D01AA14 CHINA 015 E04AA14 X 015 A00AA15 CITITRUST, S.A. 015 B00AA15 S 015 C01AA15 SANTA FE DE BOGOTA 015 D01AA15 COLOMBIA 015 E04AA15 X 015 A00AA16 BANCO BCT S.A. 015 B00AA16 S 015 C01AA16 SAN JOSE 015 D01AA16 COSTA RICA 015 E04AA16 X 015 A00AA17 ZAGREBACKA BANKA 015 B00AA17 S 015 C01AA17 ZAGREB 015 D01AA17 CROATIA 015 E04AA17 X 015 A00AA18 THE CYPRUS POPULAR BANK 015 B00AA18 S 015 C01AA18 NICOSIA 015 D01AA18 CYPRUS 015 E04AA18 X 015 A00AA19 HVB BANK 015 B00AA19 S 015 C01AA19 PRAGUE 015 D01AA19 CZECH REPUBLIC 015 E04AA19 X 015 A00AA20 SKANDINAVISKA ENSKILDA BANKEN 015 B00AA20 S PAGE 6 015 C01AA20 COPENHAGEN 015 D01AA20 DENMARK 015 E04AA20 X 015 A00AA21 CITIBANK 015 B00AA21 S 015 C01AA21 CAIRO 015 D01AA21 EGYPT 015 E04AA21 X 015 A00AA22 SEB EESTI UHISPANK 015 B00AA22 S 015 C01AA22 TALLINN 015 D01AA22 ESTONIA 015 E04AA22 X 015 A00AA23 SKANDINAVISKA ENSKILDA BANKEN 015 B00AA23 S 015 C01AA23 HELSINKI 015 D01AA23 FINLAND 015 E04AA23 X 015 A00AA24 BNP PARIBAS SA 015 B00AA24 S 015 C01AA24 PARIS 015 D01AA24 FRANCE 015 E04AA24 X 015 A00AA25 BNP PARIBAS 015 B00AA25 S 015 C01AA25 FRANKFURT 015 D01AA25 GERMANY 015 E04AA25 X 015 A00AA26 BARCLAYS 015 B00AA26 S 015 C01AA26 ACCRA 015 D01AA26 GHANA 015 E04AA26 X 015 A00AA27 BNP PARIBAS SA 015 B00AA27 S 015 C01AA27 ATHENS 015 D01AA27 GREECE 015 E04AA27 X 015 A00AA28 STANDARD CHARTERED BANK 015 B00AA28 S 015 C01AA28 KOWLOON 015 D01AA28 HONG KONG 015 E04AA28 X 015 A00AA29 HVB BANK 015 B00AA29 S 015 C01AA29 BUDAPEST 015 D01AA29 HUNGARY 015 E04AA29 X 015 A00AA30 ARION CUSTODY SERVICES 015 B00AA30 S 015 C01AA30 REYKJAVIK PAGE 7 015 D01AA30 ICELAND 015 E04AA30 X 015 A00AA31 STANDARD CHARTERED GRINDLAYS BANK 015 B00AA31 S 015 C01AA31 MUMBAI 015 D01AA31 INDIA 015 E04AA31 X 015 A00AA32 STANDARD CHARTERED BANK 015 B00AA32 S 015 C01AA32 JAKARTA 015 D01AA32 INDONESIA 015 E04AA32 X 015 A00AA33 HSBC 015 B00AA33 S 015 C01AA33 DUBLIN 015 D01AA33 IRELAND 015 E04AA33 X 015 A00AA34 BANK HAPOALIM B.M. 015 B00AA34 S 015 C01AA34 TEL AVIV 015 D01AA34 ISRAEL 015 E04AA34 X 015 A00AA35 BNP PARIBAS 015 B00AA35 S 015 C01AA35 MILAN 015 D01AA35 ITALY 015 E04AA35 X 015 A00AA37 STANDARD CHARTERED BANK 015 B00AA37 S 015 C01AA37 TOKYO 015 D01AA37 JAPAN 015 E04AA37 X 015 A00AA38 HSBC BANK 015 B00AA38 S 015 C01AA38 AMMAN 015 D01AA38 JORDAN 015 E04AA38 X 015 A00AA39 HSBC 015 B00AA39 S 015 C01AA39 KAZAKHSTAN 015 D01AA39 KAZAKHSTAN 015 E04AA39 X 015 A00AA40 BARCLAYS BANK 015 B00AA40 S 015 C01AA40 NAIROBI 015 D01AA40 KENYA 015 E04AA40 X 015 A00AA41 STANDARD CHARTERED BANK 015 B00AA41 S 015 C01AA41 SEOUL 015 D01AA41 KOREA PAGE 8 015 E04AA41 X 015 A00AA42 SEB UNIBANKA 015 B00AA42 S 015 C01AA42 RIGA 015 D01AA42 LATVIA 015 E04AA42 X 015 A00AA43 SEB VILNIAUS BANKAS 015 B00AA43 S 015 C01AA43 VILNIUS 015 D01AA43 LITHUANIA 015 E04AA43 X 015 A00AA44 CLEARSTREAM 015 B00AA44 S 015 C01AA44 LUXEMBOURG 015 D01AA44 LUXEMBOURG 015 E04AA44 X 015 A00AA45 EUROCLEAR 015 B00AA45 S 015 C01AA45 LUXEMBOURG 015 D01AA45 LUXEMBOURG 015 E04AA45 X 015 A00AA46 STANDARD CHARTERED BANK 015 B00AA46 S 015 C01AA46 KUALA LUMPUR 015 D01AA46 MALAYSIA 015 E04AA46 X 015 A00AA47 HSBC BANK 015 B00AA47 S 015 C01AA47 VALLETTA 015 D01AA47 MALTA 015 E04AA47 X 015 A00AA48 HONG KONG BANK 015 B00AA48 S 015 C01AA48 PORT LOUIS 015 D01AA48 MAURITIUS 015 E04AA48 X 015 A00AA49 BANAMEX 015 B00AA49 S 015 C01AA49 MEXICO CITY 015 D01AA49 MEXICO 015 E04AA49 X 015 A00AA50 CITIBANK 015 B00AA50 S 015 C01AA50 CASABLANCA 015 D01AA50 MOROCCO 015 E04AA50 X 015 A00AA51 BNP PARIBAS 015 B00AA51 S 015 C01AA51 AMSTERDAM 015 D01AA51 NETHERLANDS 015 E04AA51 X PAGE 9 015 A00AA52 NATIONAL NOMINEES 015 B00AA52 S 015 C01AA52 AUCKLAND 015 D01AA52 NEW ZEALAND 015 E04AA52 X 015 A00AA53 SEB 015 B00AA53 S 015 C01AA53 OSLO 015 D01AA53 NORWAY 015 E04AA53 X 015 A00AA54 HSBC BANK 015 B00AA54 S 015 C01AA54 RUWI 015 D01AA54 OMAN 015 E04AA54 X 015 A00AA55 STANDARD CHARTERED BANK 015 B00AA55 S 015 C01AA55 KARACHI 015 D01AA55 PAKISTAN 015 E04AA55 X 015 A00AA56 CITIBANK, N.A. 015 B00AA56 S 015 C01AA56 LIMA 015 D01AA56 PERU 015 E04AA56 X 015 A00AA57 STANDARD CHARTERED BANK 015 B00AA57 S 015 C01AA57 MAKATI CITY 015 D01AA57 PHILIPPINES 015 E04AA57 X 015 A00AA58 BANK BPH 015 B00AA58 S 015 C01AA58 WARSAW 015 D01AA58 POLAND 015 E04AA58 X 015 A00AA59 BNP PARIBAS 015 B00AA59 S 015 C01AA59 LISBON 015 D01AA59 PORTUGAL 015 E04AA59 X 015 A00AA60 HVB BANK 015 B00AA60 S 015 C01AA60 BUCHAREST 015 D01AA60 ROMANIA 015 E04AA60 X 015 A00AA61 ZAO CITIBANK 015 B00AA61 S 015 C01AA61 MOSCOW 015 D01AA61 RUSSIA 015 E04AA61 X 015 A00AA62 HVB BANK PAGE 10 015 B00AA62 S 015 C01AA62 BELGRADE 015 D01AA62 SERBIA 015 E04AA62 X 015 A00AA63 STANDARD CHARTERED BANK 015 B00AA63 S 015 C01AA63 SINGAPORE 015 D01AA63 SINGAPORE 015 E04AA63 X 015 A00AA64 HVB BANK 015 B00AA64 S 015 C01AA64 BRATISLAVIA 015 D01AA64 SLOVAK REPUBLIC 015 E04AA64 X 015 A00AA65 BANKAUSTRIA CREDITANSTALT 015 B00AA65 S 015 C01AA65 LJUBLJANA 015 D01AA65 SLOVENIA 015 E04AA65 X 015 A00AA66 STANDARD BANK OF SOUTH AFRICA 015 B00AA66 S 015 C01AA66 JOHANNESBURG 015 D01AA66 SOUTH AFRICA 015 E04AA66 X 015 A00AA67 BNP PARIBAS 015 B00AA67 S 015 C01AA67 MADRID 015 D01AA67 SPAIN 015 E04AA67 X 015 A00AA68 STANDARD CHARTERED BANK 015 B00AA68 S 015 C01AA68 COLOMBO 015 D01AA68 SRI LANKA 015 E04AA68 X 015 A00AA69 SEB 015 B00AA69 S 015 C01AA69 STOCKHOLM 015 D01AA69 SWEDEN 015 E04AA69 X 015 A00AA70 CREDIT SUISSE 015 B00AA70 S 015 C01AA70 ZURICH 015 D01AA70 SWITZERLAND 015 E04AA70 X 015 A00AA71 STANDARD CHARTERED BANK 015 B00AA71 S 015 C01AA71 TAIPEI 015 D01AA71 TAIWAN 015 E04AA71 X 015 A00AA72 STANDARD CHARTERED BANK 015 B00AA72 S PAGE 11 015 C01AA72 SINGAPORE 015 D01AA72 SINGAPORE 015 E04AA72 X 015 A00AA73 HSBC 015 B00AA73 S 015 C01AA73 ISTANBUL 015 D01AA73 TURKEY 015 E04AA73 X 015 A00AA74 HVB BANK 015 B00AA74 S 015 C01AA74 KIEV 015 D01AA74 UKRAINE 015 E04AA74 X 015 A00AA75 HSBC BANK 015 B00AA75 S 015 C01AA75 LONDON 015 D01AA75 UNITED KINGDOM 015 E04AA75 X 015 A00AA76 BANKBOSTON, N.A. 015 B00AA76 S 015 C01AA76 MONTEVIDEO 015 D01AA76 URUGUAY 015 E04AA76 X 015 A00AA77 CITIBANK, N.A. 015 B00AA77 S 015 C01AA77 CARACAS 015 D01AA77 VENEZUELA 015 E04AA77 X 015 A00AA78 BARCLAYS 015 B00AA78 S 015 C01AA78 LUSAKA 015 D01AA78 ZAMBIA 015 E04AA78 X 015 A00AA79 BARCLAYS 015 B00AA79 S 015 C01AA79 HARARE 015 D01AA79 ZIMBABWE 015 E04AA79 X 015 A00AA80 HSBC BANK MIDDLE EAST LTD. 015 B00AA80 S 015 C01AA80 AL SEEF 015 D01AA80 BAHRAIN 015 E04AA80 X 015 A00AA83 FIRST CARIBBEAN INTERNATIONAL TRUST & BANK 015 B00AA83 S 015 C01AA83 KINGSTON 015 D01AA83 JAMAICA 015 E04AA83 X 015 A00AA84 HSBC BANK 015 B00AA84 S 015 C01AA84 BEIRUT PAGE 12 015 D01AA84 LEBANON 015 E04AA84 X 015 A00AA88 HSBC 015 B00AA88 S 015 C01AA88 HO CHI MINH 015 D01AA88 VIETNAM 015 E04AA88 X 018 00AA00 Y 019 A00AA00 Y 019 B00AA00 6 019 C00AA00 THEOAKMARK 020 A000001 MERRILL LYNCH & CO. 020 B000001 13-5674085 020 C000001 2549 020 A000002 UBS AG 020 B000002 13-3873456 020 C000002 2328 020 A000003 CREDIT SUISSE FIRST BOSTON 020 B000003 13-5659485 020 C000003 1983 020 A000004 LEHMAN BROTHERS INC. 020 B000004 13-2518466 020 C000004 1969 020 A000005 MORGAN STANLEY & CO INC. 020 B000005 13-2655998 020 C000005 1422 020 A000006 CITIGROUP GLOBAL MARKETS INC. 020 B000006 13-3039426 020 C000006 1374 020 A000007 GOLDMAN SACHS & CO. 020 B000007 13-5108880 020 C000007 849 020 A000008 NOMURA HOLDINGS, INC. 020 B000008 13-2642206 020 C000008 804 020 A000009 EXANE INC. 020 B000009 13-3901039 020 C000009 725 020 A000010 DEUTSCHE BANK 020 B000010 13-2730828 020 C000010 681 021 000000 21119 022 A000001 INVESTORS BANK & TRUST CO. 022 B000001 04-2447211 022 C000001 259001118 022 D000001 1988528 022 A000002 JP MORGAN CHASE & CO. 022 B000002 13-3379014 022 C000002 3866680 022 D000002 1499336 022 A000003 MORGAN STANLEY & CO INC. PAGE 13 022 B000003 13-2655998 022 C000003 1669968 022 D000003 886502 022 A000004 UBS AG 022 B000004 13-3873456 022 C000004 1301178 022 D000004 771289 022 A000005 CREDIT SUISSE FIRST BOSTON 022 B000005 13-5659485 022 C000005 1045877 022 D000005 771337 022 A000006 FIRST TENNESSEE SECURITIES 022 B000006 62-1254528 022 C000006 1164315 022 D000006 643117 022 A000007 MCDONALD & COMPANY SECURITIES 022 B000007 34-1931952 022 C000007 1380024 022 D000007 0 022 A000008 BANK OF AMERICA SECURITIES LLC 022 B000008 94-1687665 022 C000008 400682 022 D000008 586492 022 A000009 ROYAL BANK OF CANADA 022 B000009 13-5033225 022 C000009 590766 022 D000009 325384 022 A000010 DEUTSCHE BANK 022 B000010 13-2730828 022 C000010 305375 022 D000010 375927 023 C000000 271394980 023 D000000 7967099 026 A000000 N 026 B000000 Y 026 C000000 N 026 D000000 Y 026 E000000 N 026 F000000 N 026 G010000 N 026 G020000 N 026 H000000 N 027 000000 Y 029 00AA00 N 030 A00AA00 0 030 B00AA00 0.00 030 C00AA00 0.00 031 A00AA00 0 031 B00AA00 0 032 00AA00 0 033 00AA00 0 PAGE 14 034 00AA00 N 035 00AA00 0 036 B00AA00 0 042 A00AA00 0 042 B00AA00 0 042 C00AA00 0 042 D00AA00 0 042 E00AA00 0 042 F00AA00 0 042 G00AA00 0 042 H00AA00 0 043 00AA00 0 044 00AA00 0 054 A00AA00 Y 054 B00AA00 Y 054 C00AA00 Y 054 D00AA00 N 054 E00AA00 N 054 F00AA00 N 054 G00AA00 Y 054 H00AA00 Y 054 I00AA00 N 054 J00AA00 Y 054 K00AA00 N 054 L00AA00 N 054 M00AA00 Y 054 N00AA00 N 054 O00AA00 N 062 A00AA00 N 062 B00AA00 0.0 062 C00AA00 0.0 062 D00AA00 0.0 062 E00AA00 0.0 062 F00AA00 0.0 062 G00AA00 0.0 062 H00AA00 0.0 062 I00AA00 0.0 062 J00AA00 0.0 062 K00AA00 0.0 062 L00AA00 0.0 062 M00AA00 0.0 062 N00AA00 0.0 062 O00AA00 0.0 062 P00AA00 0.0 062 Q00AA00 0.0 062 R00AA00 0.0 063 A00AA00 0 063 B00AA00 0.0 077 A000000 Y 077 B000000 Y 077 Q030000 Y PAGE 15 078 000000 N 080 A00AA00 FEDERAL 080 C00AA00 10000 081 B00AA00 6 082 B00AA00 0 083 A00AA00 N 083 B00AA00 0 084 A00AA00 N 084 B00AA00 0 085 A00AA00 Y 085 B00AA00 N 086 A010000 0 086 A020000 0 086 B010000 0 086 B020000 0 086 C010000 0 086 C020000 0 086 D010000 0 086 D020000 0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 024 000100 Y 025 A000101 JP MORGAN CHASE & CO 025 C000101 E 025 D000101 126792 025 A000102 CITIGROUP INC. 025 C000102 E 025 D000102 119208 025 D000103 0 025 D000104 0 025 D000105 0 025 D000106 0 025 D000107 0 025 D000108 0 028 A010100 51479 028 A020100 0 028 A030100 0 028 A040100 153595 028 B010100 57871 028 B020100 0 028 B030100 0 028 B040100 143106 028 C010100 54606 028 C020100 0 028 C030100 0 028 C040100 116083 028 D010100 34382 028 D020100 0 028 D030100 0 PAGE 16 028 D040100 84772 028 E010100 58658 028 E020100 0 028 E030100 0 028 E040100 99878 028 F010100 49415 028 F020100 0 028 F030100 0 028 F040100 82488 028 G010100 306411 028 G020100 0 028 G030100 0 028 G040100 679922 028 H000100 0 037 000100 Y 038 000100 326 039 000100 N 040 000100 N 041 000100 N 045 000100 Y 046 000100 N 047 000100 Y 048 000100 0.000 048 A010100 2000000 048 A020100 1.000 048 B010100 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L010100 Y 070 L020100 Y 070 M010100 Y 070 M020100 N 070 N010100 N 070 N020100 N 070 O010100 Y 070 O020100 N 070 P010100 Y 070 P020100 N PAGE 18 070 Q010100 N 070 Q020100 N 070 R010100 Y 070 R020100 Y 071 A000100 466962 071 B000100 1714585 071 C000100 5443025 071 D000100 9 072 A000100 12 072 B000100 13237 072 C000100 95392 072 D000100 0 072 E000100 5508 072 F000100 50810 072 G000100 0 072 H000100 0 072 I000100 6752 072 J000100 663 072 K000100 0 072 L000100 1256 072 M000100 288 072 N000100 56 072 O000100 0 072 P000100 0 072 Q000100 0 072 R000100 40 072 S000100 176 072 T000100 0 072 U000100 0 072 V000100 0 072 W000100 313 072 X000100 60353 072 Y000100 0 072 Z000100 53784 072AA000100 270979 072BB000100 0 072CC010100 238676 072CC020100 0 072DD010100 51651 072DD020100 232 072EE000100 0 073 A010100 0.3459 073 A020100 0.2259 073 B000100 0.0000 073 C000100 0.0000 074 A000100 0 074 B000100 172211 074 C000100 99757 074 D000100 0 074 E000100 0 074 F000100 5242123 PAGE 19 074 G000100 0 074 H000100 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B040200 142159 028 C010200 146120 028 C020200 0 028 C030200 0 028 C040200 151621 028 D010200 103214 028 D020200 0 028 D030200 0 028 D040200 107682 028 E010200 118052 028 E020200 0 028 E030200 0 028 E040200 95588 028 F010200 115960 028 F020200 0 028 F030200 0 028 F040200 91793 028 G010200 786558 028 G020200 0 028 G030200 0 028 G040200 677455 028 H000200 0 037 000200 Y 038 000200 208 039 000200 N 040 000200 N 041 000200 N 045 000200 Y 046 000200 N 047 000200 Y 048 000200 0.000 048 A010200 2000000 048 A020200 1.000 048 B010200 1000000 048 B020200 0.950 048 C010200 2000000 048 C020200 0.850 048 D010200 2500000 048 D020200 0.825 048 E010200 0 048 E020200 0.000 048 F010200 0 048 F020200 0.000 048 G010200 0 048 G020200 0.000 PAGE 21 048 H010200 0 048 H020200 0.000 048 I010200 0 048 I020200 0.000 048 J010200 0 048 J020200 0.000 048 K010200 7500000 048 K020200 0.815 049 000200 N 050 000200 N 051 000200 N 052 000200 N 053 A000200 N 055 A000200 N 055 B000200 N 056 000200 Y 057 000200 N 058 A000200 N 059 000200 Y 060 A000200 Y 060 B000200 Y 061 000200 500 066 A000200 Y 066 B000200 N 066 C000200 Y 066 D000200 N 066 E000200 N 066 F000200 N 066 G000200 N 067 000200 N 068 A000200 N 068 B000200 Y 069 000200 N 070 A010200 Y 070 A020200 Y 070 B010200 Y 070 B020200 N 070 C010200 Y 070 C020200 N 070 D010200 Y 070 D020200 N 070 E010200 N 070 E020200 N 070 F010200 N 070 F020200 N 070 G010200 N 070 G020200 N 070 H010200 N 070 H020200 N 070 I010200 N 070 I020200 N PAGE 22 070 J010200 Y 070 J020200 N 070 K010200 Y 070 K020200 N 070 L010200 Y 070 L020200 Y 070 M010200 Y 070 M020200 Y 070 N010200 Y 070 N020200 Y 070 O010200 Y 070 O020200 N 070 P010200 Y 070 P020200 N 070 Q010200 N 070 Q020200 N 070 R010200 Y 070 R020200 N 071 A000200 2835395 071 B000200 2430616 071 C000200 6550145 071 D000200 37 072 A000200 12 072 B000200 12070 072 C000200 195975 072 D000200 0 072 E000200 -11374 072 F000200 61243 072 G000200 0 072 H000200 0 072 I000200 7142 072 J000200 4994 072 K000200 0 072 L000200 817 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0 025 D000403 0 025 D000404 0 025 D000405 0 025 D000406 0 025 D000407 0 025 D000408 0 028 A010400 192671 PAGE 24 028 A020400 0 028 A030400 0 028 A040400 230077 028 B010400 160450 028 B020400 -1 028 B030400 0 028 B040400 171650 028 C010400 158321 028 C020400 0 028 C030400 0 028 C040400 147059 028 D010400 219109 028 D020400 0 028 D030400 0 028 D040400 121623 028 E010400 242248 028 E020400 0 028 E030400 0 028 E040400 111905 028 F010400 169112 028 F020400 0 028 F030400 0 028 F040400 45477 028 G010400 1141911 028 G020400 -1 028 G030400 0 028 G040400 827791 028 H000400 0 037 000400 Y 038 000400 195 039 000400 N 040 000400 N 041 000400 N 045 000400 Y 046 000400 N 047 000400 Y 048 000400 0.000 048 A010400 5000000 048 A020400 0.750 048 B010400 2500000 048 B020400 0.700 048 C010400 2500000 048 C020400 0.675 048 D010400 2500000 048 D020400 0.650 048 E010400 0 048 E020400 0.000 048 F010400 0 048 F020400 0.000 048 G010400 0 048 G020400 0.000 PAGE 25 048 H010400 0 048 H020400 0.000 048 I010400 0 048 I020400 0.000 048 J010400 0 048 J020400 0.000 048 K010400 12500000 048 K020400 0.600 049 000400 N 050 000400 N 051 000400 N 052 000400 N 053 A000400 N 055 A000400 N 055 B000400 N 056 000400 Y 057 000400 N 058 A000400 N 059 000400 Y 060 A000400 Y 060 B000400 Y 061 000400 500 066 A000400 Y 066 B000400 N 066 C000400 N 066 D000400 N 066 E000400 Y 066 F000400 N 066 G000400 N 067 000400 Y 068 A000400 N 068 B000400 N 069 000400 N 070 A010400 Y 070 A020400 Y 070 B010400 Y 070 B020400 N 070 C010400 Y 070 C020400 N 070 D010400 Y 070 D020400 N 070 E010400 N 070 E020400 N 070 F010400 N 070 F020400 N 070 G010400 N 070 G020400 N 070 H010400 N 070 H020400 N 070 I010400 N 070 I020400 N PAGE 26 070 J010400 Y 070 J020400 Y 070 K010400 Y 070 K020400 N 070 L010400 Y 070 L020400 Y 070 M010400 Y 070 M020400 Y 070 N010400 Y 070 N020400 Y 070 O010400 Y 070 O020400 N 070 P010400 Y 070 P020400 N 070 Q010400 N 070 Q020400 N 070 R010400 Y 070 R020400 N 071 A000400 8651270 071 B000400 8081602 071 C000400 9935164 071 D000400 81 072 A000400 12 072 B000400 188621 072 C000400 94751 072 D000400 0 072 E000400 1152 072 F000400 73932 072 G000400 0 072 H000400 0 072 I000400 13157 072 J000400 1387 072 K000400 0 072 L000400 1465 072 M000400 414 072 N000400 192 072 O000400 0 072 P000400 0 072 Q000400 0 072 R000400 61 072 S000400 248 072 T000400 0 072 U000400 0 072 V000400 0 072 W000400 470 072 X000400 91326 072 Y000400 0 072 Z000400 193197 072AA000400 546426 072BB000400 0 072CC010400 0 PAGE 27 072CC020400 76751 072DD010400 127230 072DD020400 6660 072EE000400 81210 073 A010400 0.3417 073 A020400 0.2759 073 B000400 0.2049 073 C000400 0.0000 074 A000400 0 074 B000400 334168 074 C000400 0 074 D000400 4668247 074 E000400 0 074 F000400 6046113 074 G000400 0 074 H000400 0 074 I000400 0 074 J000400 66095 074 K000400 0 074 L000400 62125 074 M000400 431 074 N000400 11177179 074 O000400 40031 074 P000400 1441 074 Q000400 0 074 R010400 0 074 R020400 0 074 R030400 0 074 R040400 3090 074 S000400 0 074 T000400 11132617 074 U010400 393158 074 U020400 27256 074 V010400 26.49 074 V020400 26.35 074 W000400 0.0000 074 X000400 77981 074 Y000400 0 075 A000400 0 075 B000400 10360349 076 000400 0.00 024 000500 Y 025 A000501 MLP AG 025 C000501 E 025 D000501 51085 025 A000502 JULIUS BAER HOLDING LTD. 025 C000502 E 025 D000502 46876 025 A000503 ICHIYOSHI SECURITIES CO., LTD. 025 C000503 E 025 D000503 1914 PAGE 28 025 D000504 0 025 D000505 0 025 D000506 0 025 D000507 0 025 D000508 0 028 A010500 12851 028 A020500 0 028 A030500 0 028 A040500 17094 028 B010500 14946 028 B020500 0 028 B030500 0 028 B040500 23960 028 C010500 11818 028 C020500 0 028 C030500 0 028 C040500 20811 028 D010500 15225 028 D020500 0 028 D030500 0 028 D040500 15745 028 E010500 12099 028 E020500 0 028 E030500 0 028 E040500 16681 028 F010500 22320 028 F020500 0 028 F030500 0 028 F040500 10292 028 G010500 89259 028 G020500 0 028 G030500 0 028 G040500 104583 028 H000500 0 037 000500 Y 038 000500 49 039 000500 N 040 000500 N 041 000500 N 045 000500 Y 046 000500 N 047 000500 Y 048 000500 0.000 048 A010500 500000 048 A020500 1.250 048 B010500 1000000 048 B020500 1.100 048 C010500 0 048 C020500 0.000 048 D010500 0 048 D020500 0.000 PAGE 29 048 E010500 0 048 E020500 0.000 048 F010500 0 048 F020500 0.000 048 G010500 0 048 G020500 0.000 048 H010500 0 048 H020500 0.000 048 I010500 0 048 I020500 0.000 048 J010500 0 048 J020500 0.000 048 K010500 1500000 048 K020500 1.050 049 000500 N 050 000500 N 051 000500 N 052 000500 N 053 A000500 N 055 A000500 N 055 B000500 N 056 000500 Y 057 000500 N 058 A000500 N 059 000500 Y 060 A000500 Y 060 B000500 Y 061 000500 500 066 A000500 Y 066 B000500 N 066 C000500 Y 066 D000500 N 066 E000500 N 066 F000500 N 066 G000500 N 067 000500 N 068 A000500 N 068 B000500 Y 069 000500 N 070 A010500 Y 070 A020500 Y 070 B010500 Y 070 B020500 N 070 C010500 Y 070 C020500 N 070 D010500 Y 070 D020500 N 070 E010500 N 070 E020500 N 070 F010500 N 070 F020500 N PAGE 30 070 G010500 N 070 G020500 N 070 H010500 N 070 H020500 N 070 I010500 N 070 I020500 N 070 J010500 Y 070 J020500 N 070 K010500 Y 070 K020500 Y 070 L010500 Y 070 L020500 Y 070 M010500 Y 070 M020500 Y 070 N010500 Y 070 N020500 Y 070 O010500 Y 070 O020500 N 070 P010500 Y 070 P020500 Y 070 Q010500 N 070 Q020500 N 070 R010500 Y 070 R020500 N 071 A000500 485716 071 B000500 480215 071 C000500 1079467 071 D000500 44 072 A000500 12 072 B000500 2518 072 C000500 34530 072 D000500 0 072 E000500 -1942 072 F000500 13155 072 G000500 0 072 H000500 0 072 I000500 755 072 J000500 920 072 K000500 0 072 L000500 144 072 M000500 171 072 N000500 61 072 O000500 0 072 P000500 0 072 Q000500 0 072 R000500 25 072 S000500 114 072 T000500 0 072 U000500 0 072 V000500 0 072 W000500 151 PAGE 31 072 X000500 15496 072 Y000500 0 072 Z000500 19608 072AA000500 191772 072BB000500 0 072CC010500 71273 072CC020500 0 072DD010500 31167 072DD020500 18 072EE000500 156810 073 A010500 0.7041 073 A020500 0.6866 073 B000500 3.5401 073 C000500 0.0000 074 A000500 242 074 B000500 40448 074 C000500 19951 074 D000500 0 074 E000500 0 074 F000500 1214830 074 G000500 0 074 H000500 0 074 I000500 0 074 J000500 1513 074 K000500 0 074 L000500 1859 074 M000500 0 074 N000500 1278843 074 O000500 2710 074 P000500 517 074 Q000500 0 074 R010500 0 074 R020500 0 074 R030500 0 074 R040500 304 074 S000500 0 074 T000500 1275312 074 U010500 52916 074 U020500 32 074 V010500 24.09 074 V020500 24.05 074 W000500 0.0000 074 X000500 8521 074 Y000500 0 075 A000500 0 075 B000500 1134083 076 000500 0.00 024 000600 Y 025 A000601 JP MORGAN CHASE & CO. 025 C000601 E 025 D000601 258280 PAGE 32 025 D000602 0 025 D000603 0 025 D000604 0 025 D000605 0 025 D000606 0 025 D000607 0 025 D000608 0 028 A010600 77959 028 A020600 0 028 A030600 0 028 A040600 176314 028 B010600 72678 028 B020600 0 028 B030600 0 028 B040600 140005 028 C010600 52643 028 C020600 3 028 C030600 0 028 C040600 89041 028 D010600 44094 028 D020600 -3 028 D030600 0 028 D040600 94524 028 E010600 47770 028 E020600 0 028 E030600 0 028 E040600 143207 028 F010600 31962 028 F020600 0 028 F030600 0 028 F040600 166036 028 G010600 327106 028 G020600 0 028 G030600 0 028 G040600 809127 028 H000600 0 037 000600 Y 038 000600 252 039 000600 N 040 000600 N 041 000600 N 045 000600 Y 046 000600 N 047 000600 Y 048 000600 0.000 048 A010600 1000000 048 A020600 1.000 048 B010600 500000 048 B020600 0.950 048 C010600 500000 048 C020600 0.900 PAGE 33 048 D010600 500000 048 D020600 0.850 048 E010600 2500000 048 E020600 0.800 048 F010600 5000000 048 F020600 0.750 048 G010600 0 048 G020600 0.000 048 H010600 0 048 H020600 0.000 048 I010600 0 048 I020600 0.000 048 J010600 0 048 J020600 0.000 048 K010600 10000000 048 K020600 0.725 049 000600 N 050 000600 N 051 000600 N 052 000600 N 053 A000600 N 055 A000600 N 055 B000600 N 056 000600 Y 057 000600 N 058 A000600 N 059 000600 Y 060 A000600 N 060 B000600 N 061 000600 500 066 A000600 Y 066 B000600 N 066 C000600 Y 066 D000600 N 066 E000600 N 066 F000600 N 066 G000600 N 067 000600 N 068 A000600 N 068 B000600 N 069 000600 N 070 A010600 Y 070 A020600 Y 070 B010600 Y 070 B020600 N 070 C010600 Y 070 C020600 N 070 D010600 Y 070 D020600 N 070 E010600 N 070 E020600 N PAGE 34 070 F010600 N 070 F020600 N 070 G010600 N 070 G020600 N 070 H010600 N 070 H020600 N 070 I010600 N 070 I020600 N 070 J010600 Y 070 J020600 N 070 K010600 Y 070 K020600 N 070 L010600 Y 070 L020600 N 070 M010600 Y 070 M020600 N 070 N010600 Y 070 N020600 N 070 O010600 Y 070 O020600 N 070 P010600 Y 070 P020600 N 070 Q010600 N 070 Q020600 N 070 R010600 Y 070 R020600 Y 071 A000600 1246146 071 B000600 1678571 071 C000600 5655926 071 D000600 22 072 A000600 12 072 B000600 108207 072 C000600 16571 072 D000600 0 072 E000600 323 072 F000600 51361 072 G000600 0 072 H000600 0 072 I000600 6050 072 J000600 643 072 K000600 0 072 L000600 1046 072 M000600 299 072 N000600 125 072 O000600 0 072 P000600 0 072 Q000600 0 072 R000600 43 072 S000600 180 072 T000600 0 072 U000600 0 PAGE 35 072 V000600 0 072 W000600 325 072 X000600 60072 072 Y000600 0 072 Z000600 65029 072AA000600 579399 072BB000600 0 072CC010600 0 072CC020600 92755 072DD010600 51472 072DD020600 489 072EE000600 318252 073 A010600 0.2932 073 A020600 0.2000 073 B000600 1.7880 073 C000600 0.0000 074 A000600 0 074 B000600 162176 074 C000600 124669 074 D000600 0 074 E000600 0 074 F000600 5587618 074 G000600 0 074 H000600 0 074 I000600 0 074 J000600 4248 074 K000600 0 074 L000600 24075 074 M000600 0 074 N000600 5902786 074 O000600 33546 074 P000600 1339 074 Q000600 0 074 R010600 0 074 R020600 21841 074 R030600 0 074 R040600 1366 074 S000600 0 074 T000600 5844694 074 U010600 167555 074 U020600 1989 074 V010600 34.48 074 V020600 34.23 074 W000600 0.0000 074 X000600 65831 074 Y000600 0 075 A000600 0 075 B000600 6041975 076 000600 0.00 024 000700 Y 025 A000701 JULIUS BAER HOLDING LTD. PAGE 36 025 C000701 E 025 D000701 72845 025 A000702 CREDIT SUISSE GROUP 025 C000702 E 025 D000702 71074 025 A000703 BANK OF IRELAND 025 C000703 E 025 D000703 59286 025 A000704 DAIWA SECURITIES GROUP 025 C000704 E 025 D000704 29841 025 D000705 0 025 D000706 0 025 D000707 0 025 D000708 0 028 A010700 35901 028 A020700 0 028 A030700 0 028 A040700 31043 028 B010700 30052 028 B020700 0 028 B030700 0 028 B040700 40950 028 C010700 26429 028 C020700 0 028 C030700 0 028 C040700 51546 028 D010700 36212 028 D020700 0 028 D030700 0 028 D040700 23329 028 E010700 31849 028 E020700 0 028 E030700 0 028 E040700 21226 028 F010700 32152 028 F020700 0 028 F030700 0 028 F040700 23728 028 G010700 192595 028 G020700 0 028 G030700 0 028 G040700 191822 028 H000700 0 037 000700 Y 038 000700 107 039 000700 N 040 000700 N 041 000700 N 045 000700 Y 046 000700 N PAGE 37 047 000700 Y 048 000700 0.000 048 A010700 2000000 048 A020700 1.000 048 B010700 2000000 048 B020700 0.950 048 C010700 0 048 C020700 0.000 048 D010700 0 048 D020700 0.000 048 E010700 0 048 E020700 0.000 048 F010700 0 048 F020700 0.000 048 G010700 0 048 G020700 0.000 048 H010700 0 048 H020700 0.000 048 I010700 0 048 I020700 0.000 048 J010700 0 048 J020700 0.000 048 K010700 4000000 048 K020700 0.900 049 000700 N 050 000700 N 051 000700 N 052 000700 N 053 A000700 N 055 A000700 N 055 B000700 N 056 000700 Y 057 000700 N 058 A000700 N 059 000700 Y 060 A000700 Y 060 B000700 Y 061 000700 500 066 A000700 Y 066 B000700 N 066 C000700 Y 066 D000700 N 066 E000700 N 066 F000700 N 066 G000700 N 067 000700 N 068 A000700 N 068 B000700 Y 069 000700 N 070 A010700 Y 070 A020700 Y PAGE 38 070 B010700 Y 070 B020700 N 070 C010700 Y 070 C020700 N 070 D010700 Y 070 D020700 N 070 E010700 N 070 E020700 N 070 F010700 N 070 F020700 N 070 G010700 N 070 G020700 N 070 H010700 N 070 H020700 N 070 I010700 N 070 I020700 N 070 J010700 Y 070 J020700 N 070 K010700 Y 070 K020700 N 070 L010700 Y 070 L020700 Y 070 M010700 Y 070 M020700 Y 070 N010700 Y 070 N020700 Y 070 O010700 Y 070 O020700 N 070 P010700 Y 070 P020700 Y 070 Q010700 N 070 Q020700 N 070 R010700 Y 070 R020700 N 071 A000700 1057935 071 B000700 907659 071 C000700 2093606 071 D000700 43 072 A000700 12 072 B000700 2102 072 C000700 49988 072 D000700 0 072 E000700 -1818 072 F000700 21200 072 G000700 0 072 H000700 0 072 I000700 2104 072 J000700 1133 072 K000700 0 072 L000700 346 072 M000700 198 PAGE 39 072 N000700 90 072 O000700 0 072 P000700 0 072 Q000700 0 072 R000700 30 072 S000700 117 072 T000700 0 072 U000700 0 072 V000700 0 072 W000700 185 072 X000700 25403 072 Y000700 0 072 Z000700 24869 072AA000700 317140 072BB000700 0 072CC010700 3112 072CC020700 0 072DD010700 20914 072DD020700 582 072EE000700 79197 073 A010700 0.2640 073 A020700 0.2181 073 B000700 0.9673 073 C000700 0.0000 074 A000700 0 074 B000700 48975 074 C000700 0 074 D000700 0 074 E000700 0 074 F000700 2311053 074 G000700 0 074 H000700 0 074 I000700 0 074 J000700 4660 074 K000700 0 074 L000700 4760 074 M000700 0 074 N000700 2369448 074 O000700 8903 074 P000700 627 074 Q000700 0 074 R010700 0 074 R020700 0 074 R030700 0 074 R040700 609 074 S000700 0 074 T000700 2359309 074 U010700 85503 074 U020700 2931 074 V010700 26.69 074 V020700 26.31 PAGE 40 074 W000700 0.0000 074 X000700 28580 074 Y000700 0 075 A000700 0 075 B000700 2137836 076 000700 0.00 SIGNATURE KRISTI L. ROWSELL TITLE TREASURER EX-99 2 oakmark906.htm Unassociated Document

 
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

To the Board of Trustees and Shareholders of
Harris Associates Investment Trust

In planning and performing our audit of the financial statements of The Oakmark Fund, The Oakmark Select Fund, The Oakmark Equity and Income Fund, The Oakmark Global Fund, The Oakmark International Fund, and The Oakmark International Small Cap Fund, which comprise Harris Associates Investment Trust (collectively the “Funds”) as of and for the year ended September 30, 2006 (on which we have issued our report dated October 27, 2006), in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered its internal control over financial reporting, including control activities for 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 Funds’ internal control over financial reporting. Accordingly, we express no such opinion.

The management of the Funds 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. Such internal control includes policies and procedures that 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 control deficiency 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 significant deficiency is a control deficiency, or combination of control deficiencies, that adversely affects the fund’s ability to initiate, authorize, record, process or report external financial data reliably in accordance with generally accepted accounting principles such that there is more than a remote likelihood that a misstatement of the fund’s annual or interim financial statements that is more than inconsequential will not be prevented or detected. A material weakness is a significant deficiency, or combination of significant deficiencies, that results in more than a remote likelihood that a material misstatement of the annual or interim financial statements will not be prevented or detected.


 
 
 

Our consideration of the Funds’ 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 significant deficiencies or material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Funds’ 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 September 30, 2006.

This report is intended solely for the information and use of management, the Board of Trustees and Shareholders of Harris Associates Investment 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.

Deloitte & Touche
Chicago, Illinois
October 27, 2006
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