-----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, B1t3fZ5RMkvNdAqTJPM1tOxWu9wTogU5Oj/u0zSaYi2TvA23E7AA7F7P4+SAlzPe 1ck3Pt9oUTosBdgt8nb2vQ== 0000897436-07-000258.txt : 20070529 0000897436-07-000258.hdr.sgml : 20070528 20070529170126 ACCESSION NUMBER: 0000897436-07-000258 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20070331 FILED AS OF DATE: 20070529 DATE AS OF CHANGE: 20070529 EFFECTIVENESS DATE: 20070529 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-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-06279 FILM NUMBER: 07884324 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 0000872323 S000013607 Oakmark Global Select C000036891 Class II OARWX NSAR-A 1 answer.fil PAGE 1 000 A000000 03/31/2007 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 7 007 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 C020800 THE OAKMARK GLOBAL SELECT FUND 007 C030800 N 007 C010900 9 007 C011000 10 008 A00AA01 HARRIS ASSOCIATES L.P. 008 B00AA01 A 008 C00AA01 801-50333 008 D01AA01 CHICAGO PAGE 2 008 D02AA01 IL 008 D03AA01 60602 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 PRIMUS 014 B00AA02 8-xxxxx 014 A00AA03 BANQUE BCP 014 B00AA03 8-xxxxx 014 A00AA04 BANQUE BCP (LUXEMBOURG) SA 014 B00AA04 8-xxxxx 014 A00AA05 BANQUE DE LA REUNION 014 B00AA05 8-xxxxx 014 A00AA06 BANQUE DE NOUVELLE CALEDONIE 014 B00AA06 8-xxxxx 014 A00AA07 BANQUE DE TAHITI 014 B00AA07 8-xxxxx 014 A00AA08 BANQUE DES ANTILLES FRANCAISES 014 B00AA08 8-xxxxx 014 A00AA09 BANQUE DES ILES SAINT-PIERRE ET MIQUELON 014 B00AA09 8-xxxxx 014 A00AA10 BANQUE INTERNATIONALE DES MASCAREIGNES 014 B00AA10 8-xxxxx 014 A00AA11 BANQUE PALATINE 014 B00AA11 8-xxxxx 014 A00AA12 BANQUE PRIVEE SAINT DOMINIQUE 014 B00AA12 8-xxxxx 014 A00AA13 CACEIS BANK 014 B00AA13 8-xxxxx 014 A00AA14 CACEIS BANK LUXEMBOURG 014 B00AA14 8-xxxxx 014 A00AA15 CACEIS CORPORATE TRUST 014 B00AA15 8-xxxxx 014 A00AA16 CAISSE D'EPARGNE DE LA NOUVELLE CALEDONIE 014 B00AA16 8-xxxxx 014 A00AA17 CAISSE NATIONALE DES CAISSES D'EPARGNE 014 B00AA17 8-xxxxx 014 A00AA18 CREDIT FONCIER DE FRANCE 014 B00AA18 8-xxxxx 014 A00AA19 CREDIT SAINT PIERRAIS 014 B00AA19 8-xxxxx PAGE 3 014 A00AA20 FINANCIERE EUROPEENNE ABS 014 B00AA20 8-xxxxx 014 A00AA21 FONGEPAR 014 B00AA21 8-xxxxx 014 A00AA22 GERER INTERMEDIATION 014 B00AA22 8-xxxxx 014 A00AA23 GESTITRES SA 014 B00AA23 8-xxxxx 014 A00AA24 HARRIS ASSOCIATES SECURITIES, L.P. 014 B00AA24 8-19988 014 A00AA25 IXIS AEW LUXEMBOURG SARL 014 B00AA25 8-xxxxx 014 A00AA26 IXIS ASSET MANAGEMENT 014 B00AA26 8-46325 014 A00AA27 IXIS ASSET MANAGEMENT AUSTRALIA LTD. 014 B00AA27 8-xxxxx 014 A00AA28 IXIS ASSET MANAGEMENT DISTRIBUTORS, L.P. 014 B00AA28 8-xxxxx 014 A00AA29 IXIS CORPORATE & INVESTMENT BANK 014 B00AA29 8-xxxxx 014 A00AA30 IXIS FINANCIAL INSTRUMENTS 014 B00AA30 8-xxxxx 014 A00AA31 IXIS FONDSSERVICES GMBH 014 B00AA31 8-xxxxx 014 A00AA32 IXIS INVESTMENT SERVICES JAPAN, LTD. 014 B00AA32 8-xxxxx 014 A00AA33 IXIS MID CAPS 014 B00AA33 8-xxxxx 014 A00AA34 IXIS SECURITIES 014 B00AA34 8-xxxxx 014 A00AA35 IXIS STRUCTURED PRODUCTS JERSEY 014 B00AA35 8-xxxxx 014 A00AA36 LA COMPAGNIE 1818-BANQUIERS PRIVES 014 B00AA36 8-xxxxx 014 A00AA37 LINE BOURSE 014 B00AA37 8-xxxxx 014 A00AA38 LOOMIS, SAYLES DISTRIBUTORS, L.P. 014 B00AA38 8-49575 014 A00AA39 MASCAREIGNES INTERNATIONAL BANK LTD. 014 B00AA39 8-xxxxx 014 A00AA40 NATEXIS ARBITRAGE 014 B00AA40 8-xxxxx 014 A00AA41 NATEXIS ASSET MANAGEMENT 014 B00AA41 8-xxxxx 014 A00AA42 NATEXIS BLEICHROEDER S.A. 014 B00AA42 8-xxxxx 014 A00AA43 NATEXIS BLEICHROEDER, INC. 014 B00AA43 8-00719 014 A00AA44 NATEXIS FINANCE 014 B00AA44 8-xxxxx 014 A00AA45 NATEXIS SECURITIES, INC. PAGE 4 014 B00AA45 8-50969 014 A00AA46 NATIXIS ASIA LIMITED (HONG KONG) 014 B00AA46 8-xxxxx 014 A00AA47 NATIXIS CAPITAL ARRANGER INC. 014 B00AA47 8-xxxxx 014 A00AA48 NATIXIS COMMERCIAL PAPER CORP. 014 B00AA48 8-xxxxx 014 A00AA49 NATIXIS CORPORATE SOLUTIONS LIMITED 014 B00AA49 8-xxxxx 014 A00AA50 NATIXIS DERIVATIVES INC. 014 B00AA50 8-53212 014 A00AA51 NATIXIS FINANCIAL PRODUCTS INC. 014 B00AA51 8-xxxxx 014 A00AA52 NATIXIS FUNDING CORP. 014 B00AA52 8-xxxxx 014 A00AA53 NATIXIS MUNICIPAL PRODUCTS INC. 014 B00AA53 8-xxxxx 014 A00AA54 NATIXIS REAL ESTATE CAPITAL INC. 014 B00AA54 8-xxxxx 014 A00AA55 NATIXIS SECURITIES NORTH AMERICA, INC. 014 B00AA55 8-43912 014 A00AA56 NATIXIS SECURITIZATION CORP. 014 B00AA56 8-xxxxx 014 A00AA57 NEXGEN CAPITAL LTD 014 B00AA57 8-xxxxx 014 A00AA58 NEXGEN FINANCIAL SOLUTIONS (ASIA) PTE LTD 014 B00AA58 8-xxxxx 014 A00AA59 REICH & TANG DISTRIBUTORS, INC. 014 B00AA59 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 NATIONAL AUSTRALIA BANK LTD. 015 B00AA02 S 015 C01AA02 MELBOURNE 015 D01AA02 AUSTRALIA 015 E04AA02 X 015 A00AA03 SKANDINAVISKA ENSKILDA BANKEN 015 B00AA03 S 015 C01AA03 COPENHAGEN 015 D01AA03 DENMARK 015 E04AA03 X 015 A00AA04 SKANDINAVISKA ENSKILDA BANKEN 015 B00AA04 S 015 C01AA04 HELSINKI 015 D01AA04 FINLAND 015 E04AA04 X PAGE 5 015 A00AA05 BNP PARIBAS SECURITIES SERVICES 015 B00AA05 S 015 C01AA05 PARIS 015 D01AA05 FRANCE 015 E04AA05 X 015 A00AA06 BNP PARIBAS SECURITIES SERVICES 015 B00AA06 S 015 C01AA06 FRANKFURT 015 D01AA06 GERMANY 015 E04AA06 X 015 A00AA07 BNP PARIBAS SECURITIES SERVICES 015 B00AA07 S 015 C01AA07 ATHENS 015 D01AA07 GREECE 015 E04AA07 X 015 A00AA08 STANDARD CHARTERED BANK 015 B00AA08 S 015 C01AA08 KOWLOON 015 D01AA08 HONG KONG 015 E04AA08 X 015 A00AA09 BNP PARIBAS SECURITIES SERVICES 015 B00AA09 S 015 C01AA09 MILAN 015 D01AA09 ITALY 015 E04AA09 X 015 A00AA10 STANDARD CHARTERED BANK 015 B00AA10 S 015 C01AA10 TOKYO 015 D01AA10 JAPAN 015 E04AA10 X 015 A00AA11 STANDARD CHARTERED BANK 015 B00AA11 S 015 C01AA11 SEOUL 015 D01AA11 KOREA 015 E04AA11 X 015 A00AA12 EUROCLEAR 015 B00AA12 S 015 C01AA12 LUXEMBOURG 015 D01AA12 LUXEMBOURG 015 E04AA12 X 015 A00AA13 STANDARD CHARTERED BANK 015 B00AA13 S 015 C01AA13 KUALA LUMPUR 015 D01AA13 MALAYSIA 015 E04AA13 X 015 A00AA14 NATIONAL NOMINEES 015 B00AA14 S 015 C01AA14 AUCKLAND 015 D01AA14 NEW ZEALAND 015 E04AA14 X 015 A00AA15 SKANDINAVISKA ENSKILDA BANKEN PAGE 6 015 B00AA15 S 015 C01AA15 OSLO 015 D01AA15 NORWAY 015 E04AA15 X 015 A00AA16 STANDARD CHARTERED BANK 015 B00AA16 S 015 C01AA16 SINGAPORE 015 D01AA16 SINGAPORE 015 E04AA16 X 015 A00AA17 BNP PARIBAS SECURITIES SERVICES 015 B00AA17 S 015 C01AA17 MADRID 015 D01AA17 SPAIN 015 E04AA17 X 015 A00AA18 SKANDINAVISKA ENSKILDA BANKEN 015 B00AA18 S 015 C01AA18 STOCKHOLM 015 D01AA18 SWEDEN 015 E04AA18 X 015 A00AA19 CREDIT SUISSE 015 B00AA19 S 015 C01AA19 ZURICH 015 D01AA19 SWITZERLAND 015 E04AA19 X 015 A00AA20 STANDARD CHARTERED BANK 015 B00AA20 S 015 C01AA20 TAIPEI 015 D01AA20 TAIWAN 015 E04AA20 X 015 A00AA21 HSBC BANK PLC 015 B00AA21 S 015 C01AA21 LONDON 015 D01AA21 UNITED KINGDOM 015 E04AA21 X 015 A00AA22 HSBC 015 B00AA22 S 015 C01AA22 ISTANBUL 015 D01AA22 TURKEY 015 E04AA22 X 015 A00AA23 CITIBANK, N.A. 015 B00AA23 S 015 C01AA23 MEXICO CITY 015 D01AA23 MEXICO 015 E04AA23 X 015 A00AA24 CITIBANK, N.A 015 B00AA24 S 015 C01AA24 BUENOS AIRES 015 D01AA24 ARGENTINA 015 E04AA24 X 015 A00AA25 BANK AUSTRIA AG 015 B00AA25 S PAGE 7 015 C01AA25 VIENNA 015 D01AA25 AUSTRIA 015 E04AA25 X 015 A00AA26 STANDARD CHARTERED BANK 015 B00AA26 S 015 C01AA26 DHAKA 015 D01AA26 BANGLADESH 015 E04AA26 X 015 A00AA27 BNP PARIBAS 015 B00AA27 S 015 C01AA27 BRUSSELS 015 D01AA27 BELGIUM 015 E04AA27 X 015 A00AA28 BANK OF BERMUDA 015 B00AA28 S 015 C01AA28 HAMILTON 015 D01AA28 BERMUDA 015 E04AA28 X 015 A00AA29 BARCLAYS BANK OF BOTSWANA 015 B00AA29 S 015 C01AA29 GABORONE 015 D01AA29 BOTSWANA 015 E04AA29 X 015 A00AA30 CITIBANK, N.A. 015 B00AA30 S 015 C01AA30 SAO PAULO 015 D01AA30 BRAZIL 015 E04AA30 X 015 A00AA31 HVB BANK BIOCHIM 015 B00AA31 S 015 C01AA31 SOFIA 015 D01AA31 BULGARIA 015 E04AA31 X 015 A00AA32 ROYAL BANK OF CANADA 015 B00AA32 S 015 C01AA32 TORONTO 015 D01AA32 CANADA 015 E04AA32 X 015 A00AA33 CITIBANK, N.A. 015 B00AA33 S 015 C01AA33 SANTIAGO 015 D01AA33 CHILE 015 E04AA33 X 015 A00AA34 STANDARD CHARTERED BANK 015 B00AA34 S 015 C01AA34 SHANGHAI & SHENZHEN 015 D01AA34 CHINA 015 E04AA34 X 015 A00AA35 CITITRUST COLOMBIA S.A. 015 B00AA35 S 015 C01AA35 SANTA FE DE BOGOTA PAGE 8 015 D01AA35 COLOMBIA 015 E04AA35 X 015 A00AA36 BANCO BCT S.A. 015 B00AA36 S 015 C01AA36 SAN JOSE 015 D01AA36 COSTA RICA 015 E04AA36 X 015 A00AA37 ZAGREBACKA BANKA 015 B00AA37 S 015 C01AA37 ZAGREB 015 D01AA37 CROATIA 015 E04AA37 X 015 A00AA38 MARFIN POPULAR BANK PUBLIC COMPANY LTD. 015 B00AA38 S 015 C01AA38 NICOSIA 015 D01AA38 CYPRUS 015 E04AA38 X 015 A00AA39 HVB BANK 015 B00AA39 S 015 C01AA39 PRAHA 015 D01AA39 CZECH REPUBLIC 015 E04AA39 X 015 A00AA40 CITIBANK 015 B00AA40 S 015 C01AA40 CAIRO 015 D01AA40 EGYPT 015 E04AA40 X 015 A00AA41 SEB EESTI UHISPANK 015 B00AA41 S 015 C01AA41 TALLINN 015 D01AA41 ESTONIA 015 E04AA41 X 015 A00AA42 BARCLAYS BANK OF GHANA 015 B00AA42 S 015 C01AA42 ACCRA 015 D01AA42 GHANA 015 E04AA42 X 015 A00AA43 HVB BANK 015 B00AA43 S 015 C01AA43 BUDAPEST 015 D01AA43 HUNGARY 015 E04AA43 X 015 A00AA44 ARION CUSTODY SERVICES 015 B00AA44 S 015 C01AA44 REYKJAVIK 015 D01AA44 ICELAND 015 E04AA44 X 015 A00AA45 STANDARD CHARTERED GRINDLAYS BANK 015 B00AA45 S 015 C01AA45 MUMBAI 015 D01AA45 INDIA PAGE 9 015 E04AA45 X 015 A00AA46 STANDARD CHARTERED BANK 015 B00AA46 S 015 C01AA46 JAKARTA 015 D01AA46 INDONESIA 015 E04AA46 X 015 A00AA47 HSBC 015 B00AA47 S 015 C01AA47 DUBLIN 015 D01AA47 IRELAND 015 E04AA47 X 015 A00AA48 BANK HAPOALIM B.M. 015 B00AA48 S 015 C01AA48 TEL AVIV 015 D01AA48 ISRAEL 015 E04AA48 X 015 A00AA49 HSBC BANK 015 B00AA49 S 015 C01AA49 AMMAN 015 D01AA49 JORDAN 015 E04AA49 X 015 A00AA50 HSBC 015 B00AA50 S 015 C01AA50 KAZAKHSTAN 015 D01AA50 KAZAKHSTAN 015 E04AA50 X 015 A00AA51 BARCLAYS BANK KENYA 015 B00AA51 S 015 C01AA51 NAIROBI 015 D01AA51 KENYA 015 E04AA51 X 015 A00AA52 SEB UNIBANKA 015 B00AA52 S 015 C01AA52 RIGA 015 D01AA52 LATVIA 015 E04AA52 X 015 A00AA53 HSBC BANK MIDDLE EAST 015 B00AA53 S 015 C01AA53 BEIRUT 015 D01AA53 LEBANON 015 E04AA53 X 015 A00AA54 SEB VILNIAUS BANK 015 B00AA54 S 015 C01AA54 VILNIUS 015 D01AA54 LITHUANIA 015 E04AA54 X 015 A00AA55 HSBC BANK 015 B00AA55 S 015 C01AA55 VALLETA 015 D01AA55 MALTA 015 E04AA55 X PAGE 10 015 A00AA56 HONG KONG BANK 015 B00AA56 S 015 C01AA56 PORT LOUIS 015 D01AA56 MAURITIUS 015 E04AA56 X 015 A00AA57 CITIBANK 015 B00AA57 S 015 C01AA57 CASABLANCA 015 D01AA57 MOROCCO 015 E04AA57 X 015 A00AA58 BNP PARIBAS 015 B00AA58 S 015 C01AA58 AMSTERDAM 015 D01AA58 NETHERLANDS 015 E04AA58 X 015 A00AA59 HSBC BANK MIDDLE EAST 015 B00AA59 S 015 C01AA59 RUWI 015 D01AA59 OMAN 015 E04AA59 X 015 A00AA60 STANDARD CHARTERED BANK 015 B00AA60 S 015 C01AA60 KARACHI 015 D01AA60 PAKISTAN 015 E04AA60 X 015 A00AA61 CITIBANK, N.A. 015 B00AA61 S 015 C01AA61 LIMA 015 D01AA61 PERU 015 E04AA61 X 015 A00AA62 STANDARD CHARTERED BANK 015 B00AA62 S 015 C01AA62 MAKATI CITY 015 D01AA62 PHILIPPINES 015 E04AA62 X 015 A00AA63 BANK BPH 015 B00AA63 S 015 C01AA63 WARSAW 015 D01AA63 POLAND 015 E04AA63 X 015 A00AA64 BNP PARIBAS 015 B00AA64 S 015 C01AA64 LISBON 015 D01AA64 PORTUGAL 015 E04AA64 X 015 A00AA65 HVB BANK 015 B00AA65 S 015 C01AA65 BUCHAREST 015 D01AA65 ROMANIA 015 E04AA65 X 015 A00AA66 ZAO CITIBANK PAGE 11 015 B00AA66 S 015 C01AA66 MOSCOW 015 D01AA66 RUSSIA 015 E04AA66 X 015 A00AA67 HVB BANK 015 B00AA67 S 015 C01AA67 BELGRADE 015 D01AA67 SERBIA 015 E04AA67 X 015 A00AA68 HVB BANK 015 B00AA68 S 015 C01AA68 BRATISLAVA 015 D01AA68 SLOVAK REPUBLIC 015 E04AA68 X 015 A00AA69 BANKAUSTRIA CREDITANSTALT 015 B00AA69 S 015 C01AA69 LJUBLJANA 015 D01AA69 SLOVENIA 015 E04AA69 X 015 A00AA70 STANDARD BANK OF SOUTH AFRICA 015 B00AA70 S 015 C01AA70 JOHANNESBURG 015 D01AA70 SOUTH AFRICA 015 E04AA70 X 015 A00AA71 STANDARD CHARTERED BANK 015 B00AA71 S 015 C01AA71 COLOMBO 015 D01AA71 SRI LANKA 015 E04AA71 X 015 A00AA72 STANDARD CHARTERED BANK 015 B00AA72 S 015 C01AA72 BANGKOK 015 D01AA72 THAILAND 015 E04AA72 X 015 A00AA73 BARCLAYS BANK OF UGANDA 015 B00AA73 S 015 C01AA73 KAMPALA 015 D01AA73 UGANDA 015 E04AA73 X 015 A00AA74 HVB BANK 015 B00AA74 S 015 C01AA74 KIEV 015 D01AA74 UKRAINE 015 E04AA74 X 015 A00AA75 CITIBANK, N.A. 015 B00AA75 S 015 C01AA75 CARACAS 015 D01AA75 VENEZUELA 015 E04AA75 X 015 A00AA76 HSBC 015 B00AA76 S PAGE 12 015 C01AA76 HO CHI MINH CITY 015 D01AA76 VIETNAM 015 E04AA76 X 015 A00AA77 BARCLAYS BANK OF ZAMBIA 015 B00AA77 S 015 C01AA77 LUSAKA 015 D01AA77 ZAMBIA 015 E04AA77 X 015 A00AA78 BARCLAYS BANK OF ZIMBABWE LTD. 015 B00AA78 S 015 C01AA78 HARARE 015 D01AA78 ZIMBABWE 015 E04AA78 X 015 A00AA79 HSBC 015 B00AA79 S 015 C01AA79 MUMBAI 015 D01AA79 INDIA 015 E04AA79 X 018 00AA00 Y 019 A00AA00 Y 019 B00AA00 7 019 C00AA00 THEOAKMARK 020 A000001 MERRILL LYNCH & CO. 020 B000001 13-5674085 020 C000001 1357 020 A000002 CREDIT SUISSE GROUP 020 B000002 13-5659485 020 C000002 1286 020 A000003 MORGAN STANLEY & CO., INC. 020 B000003 13-2655998 020 C000003 1149 020 A000004 UBS AG 020 B000004 13-3873456 020 C000004 954 020 A000005 CITIGROUP 020 B000005 13-3039426 020 C000005 876 020 A000006 NOMURA HOLDINGS, INC. 020 B000006 13-2642206 020 C000006 785 020 A000007 LEHMAN BROTHERS INC. 020 B000007 13-2518466 020 C000007 781 020 A000008 GOLDMAN SACHS & CO. 020 B000008 13-5108880 020 C000008 729 020 A000009 ABN AMRO 020 B000009 13-3227945 020 C000009 488 020 A000010 JP MORGAN CHASE & CO. 020 B000010 13-3379014 PAGE 13 020 C000010 403 021 000000 11757 022 A000001 INVESTORS BANK & TRUST CO. 022 B000001 04-2447211 022 C000001 128279607 022 D000001 2498522 022 A000002 JP MORGAN CHASE & CO. 022 B000002 13-3379014 022 C000002 1381889 022 D000002 44823 022 A000003 ROYAL BANK OF CANADA 022 B000003 13-5033225 022 C000003 124746 022 D000003 683121 022 A000004 BANK OF AMERICA SECURITIES LLC 022 B000004 94-1687665 022 C000004 529027 022 D000004 129513 022 A000005 CREDIT SUISSE GROUP 022 B000005 13-5659485 022 C000005 487105 022 D000005 121582 022 A000006 DEUTSCHE BANK 022 B000006 13-2730828 022 C000006 428268 022 D000006 172104 022 A000007 FIRST TENNESSEE SECURITIES 022 B000007 62-1254528 022 C000007 467806 022 D000007 99598 022 A000008 MORGAN STANLEY & CO., INC. 022 B000008 13-2655998 022 C000008 392970 022 D000008 74701 022 A000009 MCDONALD & COMPANY SECURITIES 022 B000009 34-1931952 022 C000009 404454 022 D000009 0 022 A000010 BARCLAYS BANK PLC 022 B000010 94-3231066 022 C000010 333326 022 D000010 0 023 C000000 133147769 023 D000000 4049750 026 A000000 N 026 B000000 Y 026 C000000 N 026 D000000 Y 026 E000000 N 026 F000000 N 026 G010000 N PAGE 14 026 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 0 034 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 PAGE 15 062 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 Q010000 Y 078 000000 Y 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 130626 025 A000102 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A000100 315126 071 B000100 486630 071 C000100 5522168 071 D000100 6 072 A000100 6 072 B000100 8845 072 C000100 53164 072 D000100 0 072 E000100 38 072 F000100 25773 072 G000100 0 072 H000100 0 072 I000100 3145 072 J000100 342 072 K000100 0 072 L000100 412 072 M000100 209 072 N000100 0 072 O000100 0 072 P000100 0 072 Q000100 0 072 R000100 26 072 S000100 53 072 T000100 0 072 U000100 0 072 V000100 0 072 W000100 67 072 X000100 30027 072 Y000100 0 072 Z000100 32020 072AA000100 177957 072BB000100 0 072CC010100 238359 072CC020100 0 072DD010100 53539 072DD020100 209 072EE000100 248746 073 A010100 0.4326 073 A020100 0.2545 073 B000100 1.9966 073 C000100 0.0000 074 A000100 0 074 B000100 151243 074 C000100 199391 074 D000100 0 074 E000100 0 074 F000100 5486653 PAGE 19 074 G000100 0 074 H000100 0 074 I000100 0 074 J000100 4840 074 K000100 0 074 L000100 7109 074 M000100 90 074 N000100 5849326 074 O000100 0 074 P000100 1808 074 Q000100 0 074 R010100 0 074 R020100 0 074 R030100 0 074 R040100 5521 074 S000100 0 074 T000100 5841997 074 U010100 126753 074 U020100 795 074 V010100 45.80 074 V020100 45.58 074 W000100 0.0000 074 X000100 99349 074 Y000100 0 075 A000100 0 075 B000100 5908061 076 000100 0.00 024 000200 Y 025 A000201 UBS AG 025 C000201 E 025 D000201 352928 025 A000202 CREDIT SUISSE GROUP 025 C000202 E 025 D000202 275374 025 D000203 0 025 D000204 0 025 D000205 0 025 D000206 0 025 D000207 0 025 D000208 0 028 A010200 290740 028 A020200 0 028 A030200 0 028 A040200 100383 028 B010200 140656 028 B020200 0 028 B030200 0 028 B040200 98045 028 C010200 231957 028 C020200 1011764 028 C030200 0 PAGE 20 028 C040200 180045 028 D010200 259692 028 D020200 1 028 D030200 0 028 D040200 135251 028 E010200 163825 028 E020200 0 028 E030200 0 028 E040200 111919 028 F010200 189264 028 F020200 -5 028 F030200 0 028 F040200 144463 028 G010200 1276134 028 G020200 1011760 028 G030200 0 028 G040200 770106 028 H000200 0 037 000200 Y 038 000200 117 039 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 3500000 048 E020200 0.815 048 F010200 0 048 F020200 0.000 048 G010200 0 048 G020200 0.000 048 H010200 0 048 H020200 0.000 048 I010200 0 048 I020200 0.000 048 J010200 0 048 J020200 0.000 048 K010200 11000000 048 K020200 0.805 049 000200 N 050 000200 N PAGE 21 051 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 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 PAGE 22 070 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 2304132 071 B000200 1999719 071 C000200 8175780 071 D000200 25 072 A000200 6 072 B000200 8292 072 C000200 78006 072 D000200 0 072 E000200 -3658 072 F000200 37214 072 G000200 0 072 H000200 0 072 I000200 4281 072 J000200 3008 072 K000200 0 072 L000200 415 072 M000200 202 072 N000200 110 072 O000200 0 072 P000200 0 072 Q000200 0 072 R000200 32 072 S000200 67 072 T000200 0 072 U000200 0 072 V000200 0 072 W000200 209 072 X000200 45538 072 Y000200 0 072 Z000200 37102 072AA000200 675436 072BB000200 0 072CC010200 470734 072CC020200 0 072DD010200 122426 072DD020200 6952 072EE000200 1031006 073 A010200 0.4427 073 A020200 0.3480 073 B000200 3.4772 073 C000200 0.0000 074 A000200 1313 074 B000200 235810 PAGE 23 074 C000200 149543 074 D000200 0 074 E000200 0 074 F000200 8780531 074 G000200 0 074 H000200 0 074 I000200 0 074 J000200 68634 074 K000200 0 074 L000200 37025 074 M000200 304 074 N000200 9273160 074 O000200 26788 074 P000200 1425 074 Q000200 0 074 R010200 0 074 R020200 0 074 R030200 0 074 R040200 7612 074 S000200 0 074 T000200 9237335 074 U010200 321478 074 U020200 24734 074 V010200 26.70 074 V020200 26.48 074 W000200 0.0000 074 X000200 53741 074 Y000200 0 075 A000200 0 075 B000200 8532734 076 000200 0.00 024 000400 N 028 A010400 191968 028 A020400 0 028 A030400 0 028 A040400 135733 028 B010400 120096 028 B020400 1 028 B030400 0 028 B040400 119694 028 C010400 204530 028 C020400 714979 028 C030400 0 028 C040400 198625 028 D010400 479781 028 D020400 0 028 D030400 0 028 D040400 222950 028 E010400 243851 028 E020400 28 028 E030400 0 PAGE 24 028 E040400 173333 028 F010400 167660 028 F020400 -26 028 F030400 0 028 F040400 152349 028 G010400 1407886 028 G020400 714982 028 G030400 0 028 G040400 1002684 028 H000400 0 037 000400 Y 038 000400 110 039 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 0.000 048 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 PAGE 25 059 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 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 PAGE 26 071 A000400 2773682 071 B000400 2155942 071 C000400 11327123 071 D000400 19 072 A000400 6 072 B000400 109813 072 C000400 69362 072 D000400 0 072 E000400 310 072 F000400 41325 072 G000400 0 072 H000400 0 072 I000400 7153 072 J000400 761 072 K000400 0 072 L000400 622 072 M000400 244 072 N000400 127 072 O000400 0 072 P000400 0 072 Q000400 0 072 R000400 39 072 S000400 79 072 T000400 0 072 U000400 0 072 V000400 0 072 W000400 257 072 X000400 50607 072 Y000400 0 072 Z000400 128878 072AA000400 58966 072BB000400 0 072CC010400 696816 072CC020400 0 072DD010400 197337 072DD020400 11591 072EE000400 550867 073 A010400 0.5013 073 A020400 0.4207 073 B000400 1.3081 073 C000400 0.0000 074 A000400 0 074 B000400 268190 074 C000400 0 074 D000400 4630287 074 E000400 0 074 F000400 7457384 074 G000400 0 074 H000400 0 074 I000400 0 074 J000400 20892 PAGE 27 074 K000400 0 074 L000400 67659 074 M000400 161 074 N000400 12444573 074 O000400 49492 074 P000400 1683 074 Q000400 0 074 R010400 0 074 R020400 0 074 R030400 0 074 R040400 15623 074 S000400 0 074 T000400 12377775 074 U010400 432082 074 U020400 31395 074 V010400 26.71 074 V020400 26.60 074 W000400 0.0000 074 X000400 77314 074 Y000400 0 075 A000400 0 075 B000400 11755559 076 000400 0.00 024 000500 N 028 A010500 15055 028 A020500 0 028 A030500 0 028 A040500 17640 028 B010500 14106 028 B020500 0 028 B030500 0 028 B040500 11748 028 C010500 21257 028 C020500 201920 028 C030500 0 028 C040500 39780 028 D010500 26895 028 D020500 -5 028 D030500 0 028 D040500 21984 028 E010500 24657 028 E020500 0 028 E030500 0 028 E040500 18242 028 F010500 23540 028 F020500 0 028 F030500 0 028 F040500 28319 028 G010500 125510 028 G020500 201915 028 G030500 0 PAGE 28 028 G040500 137713 028 H000500 0 037 000500 Y 038 000500 21 039 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 2000000 048 C020500 1.050 048 D010500 0 048 D020500 0.000 048 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 3500000 048 K020500 1.025 049 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 PAGE 29 066 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 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 N 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 N 070 Q010500 N 070 Q020500 N 070 R010500 Y 070 R020500 N 071 A000500 361150 071 B000500 369263 071 C000500 1308490 071 D000500 28 072 A000500 6 072 B000500 2037 072 C000500 14476 072 D000500 0 PAGE 30 072 E000500 -475 072 F000500 7920 072 G000500 0 072 H000500 0 072 I000500 391 072 J000500 567 072 K000500 0 072 L000500 58 072 M000500 105 072 N000500 19 072 O000500 0 072 P000500 0 072 Q000500 0 072 R000500 16 072 S000500 34 072 T000500 0 072 U000500 0 072 V000500 0 072 W000500 98 072 X000500 9208 072 Y000500 0 072 Z000500 6830 072AA000500 141642 072BB000500 0 072CC010500 83617 072CC020500 0 072DD010500 29840 072DD020500 20 072EE000500 181476 073 A010500 0.5649 073 A020500 0.5461 073 B000500 3.4330 073 C000500 0.0000 074 A000500 3673 074 B000500 36897 074 C000500 24949 074 D000500 0 074 E000500 0 074 F000500 1432161 074 G000500 0 074 H000500 0 074 I000500 0 074 J000500 5049 074 K000500 0 074 L000500 4006 074 M000500 51 074 N000500 1506786 074 O000500 19525 074 P000500 595 074 Q000500 0 074 R010500 0 PAGE 31 074 R020500 0 074 R030500 0 074 R040500 869 074 S000500 0 074 T000500 1485797 074 U010500 61312 074 U020500 45 074 V010500 24.22 074 V020500 24.18 074 W000500 0.0000 074 X000500 8401 074 Y000500 0 075 A000500 0 075 B000500 1382624 076 000500 0.00 024 000600 Y 025 A000601 JP MORGAN CHASE & CO. 025 C000601 E 025 D000601 266090 025 D000602 0 025 D000603 0 025 D000604 0 025 D000605 0 025 D000606 0 025 D000607 0 025 D000608 0 028 A010600 57749 028 A020600 0 028 A030600 0 028 A040600 172661 028 B010600 50949 028 B020600 0 028 B030600 0 028 B040600 72860 028 C010600 63120 028 C020600 621577 028 C030600 0 028 C040600 138613 028 D010600 90643 028 D020600 0 028 D030600 0 028 D040600 121985 028 E010600 76673 028 E020600 0 028 E030600 0 028 E040600 81866 028 F010600 68121 028 F020600 0 028 F030600 0 028 F040600 129146 028 G010600 407255 PAGE 32 028 G020600 621577 028 G030600 0 028 G040600 717131 028 H000600 0 037 000600 Y 038 000600 130 039 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 0.900 048 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 PAGE 33 066 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 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 248394 071 B000600 525974 071 C000600 5760011 071 D000600 4 072 A000600 6 072 B000600 7090 PAGE 34 072 C000600 61952 072 D000600 0 072 E000600 65 072 F000600 25764 072 G000600 0 072 H000600 0 072 I000600 2916 072 J000600 311 072 K000600 0 072 L000600 393 072 M000600 198 072 N000600 0 072 O000600 0 072 P000600 0 072 Q000600 0 072 R000600 26 072 S000600 54 072 T000600 0 072 U000600 0 072 V000600 0 072 W000600 147 072 X000600 29809 072 Y000600 0 072 Z000600 39298 072AA000600 218038 072BB000600 0 072CC010600 99699 072CC020600 0 072DD010600 64071 072DD020600 434 072EE000600 582700 073 A010600 0.3919 073 A020600 0.2409 073 B000600 3.5251 073 C000600 0.0000 074 A000600 0 074 B000600 132165 074 C000600 99743 074 D000600 0 074 E000600 0 074 F000600 5605935 074 G000600 0 074 H000600 0 074 I000600 0 074 J000600 33390 074 K000600 0 074 L000600 2379 074 M000600 90 074 N000600 5873702 074 O000600 0 074 P000600 1535 PAGE 35 074 Q000600 0 074 R010600 0 074 R020600 0 074 R030600 0 074 R040600 5811 074 S000600 0 074 T000600 5866356 074 U010600 177289 074 U020600 1731 074 V010600 32.77 074 V020600 32.60 074 W000600 0.0000 074 X000600 64821 074 Y000600 0 075 A000600 0 075 B000600 6080799 076 000600 0.00 024 000700 Y 025 A000701 UBS AG 025 C000701 E 025 D000701 90093 025 A000702 CREDIT SUISSE GROUP 025 C000702 E 025 D000702 81621 025 D000703 0 025 D000704 0 025 D000705 0 025 D000706 0 025 D000707 0 025 D000708 0 028 A010700 62322 028 A020700 0 028 A030700 0 028 A040700 23413 028 B010700 47023 028 B020700 0 028 B030700 0 028 B040700 17051 028 C010700 48827 028 C020700 336969 028 C030700 0 028 C040700 46274 028 D010700 68163 028 D020700 2 028 D030700 0 028 D040700 25160 028 E010700 55357 028 E020700 3 028 E030700 0 028 E040700 31621 028 F010700 47800 PAGE 36 028 F020700 0 028 F030700 0 028 F040700 35008 028 G010700 329492 028 G020700 336974 028 G030700 0 028 G040700 178527 028 H000700 0 037 000700 Y 038 000700 62 039 000700 N 040 000700 N 041 000700 N 045 000700 Y 046 000700 N 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 PAGE 37 060 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 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 N 070 Q010700 N 070 Q020700 N 070 R010700 Y 070 R020700 N 071 A000700 577946 071 B000700 436684 PAGE 38 071 C000700 2578604 071 D000700 17 072 A000700 6 072 B000700 1202 072 C000700 18360 072 D000700 0 072 E000700 -677 072 F000700 12807 072 G000700 0 072 H000700 0 072 I000700 1143 072 J000700 658 072 K000700 0 072 L000700 167 072 M000700 118 072 N000700 51 072 O000700 0 072 P000700 0 072 Q000700 0 072 R000700 19 072 S000700 40 072 T000700 0 072 U000700 0 072 V000700 0 072 W000700 119 072 X000700 15122 072 Y000700 0 072 Z000700 3763 072AA000700 141534 072BB000700 0 072CC010700 208724 072CC020700 0 072DD010700 27699 072DD020700 645 072EE000700 323001 073 A010700 0.3139 073 A020700 0.2139 073 B000700 3.5409 073 C000700 0.0000 074 A000700 1877 074 B000700 63983 074 C000700 0 074 D000700 0 074 E000700 0 074 F000700 2802817 074 G000700 0 074 H000700 0 074 I000700 0 074 J000700 7466 074 K000700 0 074 L000700 5209 PAGE 39 074 M000700 106 074 N000700 2881458 074 O000700 28937 074 P000700 747 074 Q000700 0 074 R010700 0 074 R020700 0 074 R030700 0 074 R040700 1789 074 S000700 0 074 T000700 2849985 074 U010700 104059 074 U020700 3360 074 V010700 26.54 074 V020700 26.16 074 W000700 0.0000 074 X000700 30759 074 Y000700 0 075 A000700 0 075 B000700 2636540 076 000700 0.00 024 000800 Y 025 A000801 UBS AG 025 C000801 E 025 D000801 10992 025 A000802 CITIGROUP 025 C000802 E 025 D000802 9960 025 D000803 0 025 D000804 0 025 D000805 0 025 D000806 0 025 D000807 0 025 D000808 0 028 A010800 58261 028 A020800 0 028 A030800 0 028 A040800 48 028 B010800 29180 028 B020800 113 028 B030800 0 028 B040800 274 028 C010800 33359 028 C020800 0 028 C030800 0 028 C040800 337 028 D010800 40255 028 D020800 0 028 D030800 0 028 D040800 1390 028 E010800 25948 PAGE 40 028 E020800 0 028 E030800 0 028 E040800 3571 028 F010800 38764 028 F020800 0 028 F030800 0 028 F040800 2780 028 G010800 225767 028 G020800 113 028 G030800 0 028 G040800 8400 028 H000800 0 037 000800 Y 038 000800 66 039 000800 N 040 000800 N 041 000800 N 045 000800 Y 046 000800 N 047 000800 Y 048 000800 0.000 048 A010800 2000000 048 A020800 1.000 048 B010800 1000000 048 B020800 0.950 048 C010800 4000000 048 C020800 0.875 048 D010800 0 048 D020800 0.000 048 E010800 0 048 E020800 0.000 048 F010800 0 048 F020800 0.000 048 G010800 0 048 G020800 0.000 048 H010800 0 048 H020800 0.000 048 I010800 0 048 I020800 0.000 048 J010800 0 048 J020800 0.000 048 K010800 7000000 048 K020800 0.850 049 000800 N 050 000800 N 051 000800 N 052 000800 N 053 A000800 Y 053 B000800 Y 053 C000800 N 055 A000800 N PAGE 41 055 B000800 N 056 000800 Y 057 000800 N 058 A000800 N 059 000800 Y 060 A000800 Y 060 B000800 Y 061 000800 500 066 A000800 Y 066 B000800 N 066 C000800 Y 066 D000800 N 066 E000800 N 066 F000800 N 066 G000800 N 067 000800 N 068 A000800 N 068 B000800 N 069 000800 N 070 A010800 Y 070 A020800 Y 070 B010800 Y 070 B020800 N 070 C010800 Y 070 C020800 N 070 D010800 Y 070 D020800 N 070 E010800 N 070 E020800 N 070 F010800 N 070 F020800 N 070 G010800 N 070 G020800 N 070 H010800 N 070 H020800 N 070 I010800 N 070 I020800 N 070 J010800 Y 070 J020800 N 070 K010800 Y 070 K020800 N 070 L010800 Y 070 L020800 Y 070 M010800 Y 070 M020800 Y 070 N010800 Y 070 N020800 N 070 O010800 Y 070 O020800 N 070 P010800 Y 070 P020800 N PAGE 42 070 Q010800 N 070 Q020800 N 070 R010800 Y 070 R020800 N 071 A000800 211896 071 B000800 15773 071 C000800 112807 071 D000800 14 072 A000800 6 072 B000800 271 072 C000800 1191 072 D000800 0 072 E000800 -3 072 F000800 517 072 G000800 0 072 H000800 0 072 I000800 80 072 J000800 68 072 K000800 0 072 L000800 10 072 M000800 48 072 N000800 31 072 O000800 0 072 P000800 0 072 Q000800 0 072 R000800 18 072 S000800 20 072 T000800 0 072 U000800 17 072 V000800 0 072 W000800 66 072 X000800 875 072 Y000800 0 072 Z000800 584 072AA000800 2249 072BB000800 0 072CC010800 9307 072CC020800 0 072DD010800 114 072DD020800 0 072EE000800 0 073 A010800 0.0116 073 A020800 0.0000 073 B000800 0.0000 073 C000800 0.0000 074 A000800 390 074 B000800 25907 074 C000800 1993 074 D000800 0 074 E000800 0 074 F000800 207720 PAGE 43 074 G000800 0 074 H000800 0 074 I000800 0 074 J000800 4442 074 K000800 0 074 L000800 523 074 M000800 59 074 N000800 241034 074 O000800 11285 074 P000800 51 074 Q000800 0 074 R010800 0 074 R020800 0 074 R030800 0 074 R040800 126 074 S000800 0 074 T000800 229572 074 U010800 20526 074 U020800 0 074 V010800 11.18 074 V020800 0.00 074 W000800 0.0000 074 X000800 4881 074 Y000800 0 075 A000800 0 075 B000800 123103 076 000800 0.00 SIGNATURE KRISTI L. ROWSELL TITLE TREASURER EX-99 2 globalselect.htm Unassociated Document


 
INVESTMENT ADVISORY AGREEMENT
 
FOR
 
THE OAKMARK GLOBAL SELECT FUND
 

 
September 1, 2006
 


HARRIS ASSOCIATES INVESTMENT TRUST, a Massachusetts business trust registered under the Investment Company Act of 1940 (the “1940 Act”) as an open-end diversified management investment company (the “Trust”), and HARRIS ASSOCIATES L.P., a Delaware limited partnership registered under the Investment Advisers Act of 1940 as an investment adviser (the “Adviser”), agree as follows:
 
1. Appointment of Adviser. The Trust appoints the Adviser to act as manager and investment adviser to The Oakmark Global Select Fund (the “Fund”), a series of the Trust, for the period and on the terms herein set forth. The Adviser accepts such appointment and agrees to render the services herein set forth, for the compensation herein provided.
 
2. Services of Adviser.
 
(a) The Adviser shall manage the investment and reinvestment of the assets of the Fund, subject to the supervision of the board of trustees of the Trust, for the period and on the terms set forth in this agreement. The Adviser shall give due consideration to the investment policies and restrictions and the other statements concerning the Fund in the Trust’s Agreement and Declaration of Trust, bylaws and registration statements under the 1940 Act and the Securities Act of 1933 (the “1933 Act”), and to the provisions of the Internal Revenue Code applicable to the Trust as a regulated investment company. The Adviser shall be deemed for all purposes to be an independent contractor and not an agent of the Trust or the Fund, and unless otherwise expressly provided or authorized, shall have no authority to act or represent the Trust or the Fund in any way.
 
(b) The Adviser shall place all orders for the purchase and sale of portfolio securities for the account of the Fund with brokers or dealers selected by the Adviser, although the Fund will pay the actual brokerage commissions on portfolio transactions in accordance with Paragraph 4. In executing portfolio transactions and selecting brokers or dealers, the Adviser will use its best efforts to seek on behalf of the Fund the best overall terms available for any transaction. The Adviser shall consider all factors it deems relevant, including the breadth of the market in the security, the price of the security, the financial condition and execution capability of the broker or dealer, and the reasonableness of the commission, if any (for the specific transaction and on a continuing basis).
 
(c) To the extent contemplated by the Trust’s registration statement under the 1933 Act, in evaluating the best overall terms available, and in selecting the broker or dealer to execute a particular transaction, the Adviser may also consider the brokerage and research services (as those terms are defined in Section 28(e) of the Securities Exchange Act of 1934) provided to the Fund and/or other accounts over which the Adviser or an affiliate of the Adviser exercises investment discretion. Consistent with the Rules of Fair Practice of the National Association of Securities Dealers, Inc. and subject to seeking the most favorable combination of net price and execution available, the Adviser may consider sales of shares of the Fund as a factor in the selection of broker-dealers to execute portfolio transactions for the Fund. The Adviser is authorized to pay to a broker or dealer who provides such brokerage and research services a commission for executing a portfolio transaction for the Fund which is in excess of the amount of commission another broker or dealer would have charged for effecting that transaction if, but only if, the Adviser determines in good faith that such commission was reasonable in relation to the value of the brokerage and research services provided by such broker or dealer, viewed in terms of that particular transaction or in terms of all of the accounts over which investment discretion is so exercised.
 
3. Services other than as Adviser. The Adviser (or an affiliate of the Adviser) may act as broker for the Trust in connection with the purchase or sale of securities by or to the Trust if and to the extent permitted by procedures adopted from time to time by the board of trustees of the Trust. Such brokerage services are not within the scope of the duties of the Adviser under this agreement, and, within the limits permitted by law and the trustees, the Adviser (or an affiliate of the Adviser) may receive brokerage commissions, fees or other remuneration from the Trust for such services in addition to its fee for services as Adviser. Within the limits permitted by law, the Adviser may receive compensation from the Trust for other services performed by or for the Trust which are not within the scope of the duties of the Adviser under this agreement.
 
4. Expenses to be paid by Adviser. The Adviser shall furnish to the Trust, at its own expense, such office space and all office facilities, equipment and personnel necessary to render the services set forth in paragraph 2 above. The Adviser shall also assume and pay all expenses incurred by it related to the placement of securities orders, and all expenses of marketing shares of the Trust.
 
5. Expenses to be paid by the Trust. The Trust shall pay all expenses not expressly assumed by the Adviser, including but not limited to: all charges of depositories, custodians and other agencies for the safekeeping and servicing of its cash, securities and other property and of its transfer agents, fund accounting agents, registrars and its dividend disbursing and redemption agents, if any; all charges of legal counsel and of independent auditors; all compensation of trustees other than those affiliated with the Adviser and all expenses incurred in connection with their services to the Trust; all costs of borrowing money; all expenses of publication of notices and reports to its shareholders and to governmental bodies or regulatory agencies; all expenses of proxy solicitations of the Trust or its board of trustees with respect to the Fund; all expenses of shareholder meetings; all expenses of typesetting of the Fund’s prospectus and of printing and mailing copies of the prospectus furnished to each then-existing shareholder or beneficial owner; all taxes and fees payable to federal, state or other governmental agencies, domestic or foreign; all stamp or other transfer taxes; all expenses of printing and mailing certificates for shares of the Trust; all expenses of bond and insurance coverage required by law or deemed advisable by the Trust’s board of trustees; all expenses of maintaining the registration of shares of the Trust under the 1933 Act and of qualifying and maintaining qualification of shares of the Trust under the securities laws of such United States jurisdictions as the Trust may from time to time reasonably designate and all expenses of maintaining the registration of the Trust under the 1940 Act; and all fees, dues and other expenses related to membership of the Trust in any trade association or other investment company organization. In addition to the payment of expenses, the Trust shall also pay all brokers’ commissions and other charges relating to the purchase and sale of portfolio securities.
 
6. Compensation of Adviser. For the services to be rendered and the charges and expenses to be assumed and to be paid by the Adviser hereunder, the Trust shall pay out of Fund assets to the Adviser a monthly fee, based on the Fund’s net assets as of the last business day of the preceding month, at the annual rate of 1.00% up to $2 billion, 0.95% from $2 to 3 billion, 0.875% from $3 to 7 billion and 0.85% on net assets in excess of $7 billion. The fee for a month shall be paid as soon as practicable after the last day of that month. The fee payable hereunder shall be reduced proportionately during any month in which this agreement is not in effect for the entire month.
 
7. Limitation of expenses of the Fund. The total expenses of the Fund, exclusive of taxes, interest and extraordinary litigation expenses, but including fees paid to the Adviser, shall not in any fiscal year of the Trust exceed the most restrictive limits prescribed by any state in which Fund shares are then being offered for sale, and the Adviser agrees to reimburse the Fund for any sums expended for such expenses in excess of that amount. Brokers’ commissions and other charges relating to the purchase and sale of portfolio securities shall not be regarded as expenses.
 
8. Services of Adviser not exclusive. The services of the Adviser to the Trust hereunder are not exclusive, and the Adviser shall be free to render similar services to others so long as its services under this agreement are not impaired by such other activities.
 
9. Liability of Adviser. The Adviser shall not be liable to the Trust or its shareholders for any loss suffered by the Trust or its shareholders from or as a consequence of any act or omission of the Adviser, or of any of the partners, employees or agents of the Adviser, in connection with or pursuant to this agreement, except by reason of willful misfeasance, bad faith or gross negligence on the part of the Adviser in the performance of its duties or by reason of reckless disregard by the Adviser of its obligations and duties under this agreement.
 
10. Liability of Trust. The obligations of the Trust hereunder shall not be binding upon any of the trustees, shareholders, nominees, officers, agents or employees of the Trust, personally, but shall bind only the assets and property of the Trust as provided in the Agreement and Declaration of Trust of the Trust.
 
11. Use of Adviser’s name. The Trust may use the name “Harris Associates Investment Trust,” or any other name derived from the name “Harris Associates,” and the name “Oakmark” only for so long as this agreement or any extension, renewal or amendment hereof remains in effect, including any similar agreement with any organization which shall have succeeded to the business of the Adviser as investment adviser. At such time as this agreement or any extension, renewal or amendment hereof, or such other similar agreement shall no longer be in effect, the Trust will (by amendment of its Agreement and Declaration of Trust, if necessary) cease to use any name derived from the name “Harris Associates,” any name similar thereto or any other name indicating that it is advised by or otherwise connected with the Adviser, or with any organization which shall have succeeded to the Adviser’s business as investment adviser, and shall cease to use the name “Oakmark” or any name derived from the name “Oakmark.” The consent of the Adviser to the use of such names by the Trust shall not prevent the Adviser’s permitting any other enterprise, including another investment company, to use such name or names.
 
12. Duration and renewal.
 
(a) Unless terminated as provided in section 13, this agreement shall continue in effect until October 31, 2007, and thereafter from year to year only so long as such continuance is specifically approved at least annually (a) by a majority of those trustees who are not interested persons of the Trust or of the Adviser, voting in person at a meeting called for the purpose of voting on such approval, and (b) by either the board of trustees of the Trust or a vote of the holders of a majority of the outstanding shares of the Fund (which term as used throughout this agreement shall be construed in accordance with the definition of “vote of a majority of the outstanding voting securities of a company” in section 2(a)(42) of the 1940 Act).
 
(b) Any approval of this agreement by the holders of a majority of the outstanding shares of the Fund shall be effective to continue this agreement notwithstanding that it has not been approved by the vote of a majority of the outstanding shares of the Trust, unless such approval shall be required by any other applicable law or otherwise.
 
13. Termination. This agreement may be terminated at any time, without payment of any penalty, by the board of trustees of the Trust, or by a vote of the holders of a majority of the outstanding shares of the Fund, upon 60 days’ written notice to the Adviser. This agreement may be terminated by the Adviser at any time upon 60 days’ written notice to the Trust. This agreement shall terminate automatically in the event of its assignment (as defined in section 2(a)(4) of the 1940 Act).
 
14. Amendment. This agreement may not be amended without the affirmative vote (a) of a majority of those trustees who are not “interested persons” (as defined in Section 2(a)(19) of the 1940 Act) of the Trust and (b) of the holders of a majority of the outstanding shares of the Fund.
 
15. Privacy of Nonpublic Personal Information. The Adviser shall not disclose or use “nonpublic personal information” (as defined in Rule 3(t) of Regulation S-P, adopted by the Securities and Exchange Commission), except as necessary to carry out the purposes for which the Trust disclosed such information to the Adviser, including information that is used in accordance with Rules 14 and 15 of Regulation S-P in the ordinary course of business to carry out those purposes.
 

Dated: September 1, 2006
 

HARRIS ASSOCIATES INVESTMENT TRUST


By:    



HARRIS ASSOCIATES L.P.
by Harris Associates, Inc.
its General Partner


By:    




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