-----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, V9B73duNDWiqSxV6q8TxBErcKoFxLCqZWNh9z1n9AVo6RlZSSLALSKhtP/bESqUD NK4xlHrU/O8OcWW6Ov7Pbg== 0000897436-10-000271.txt : 20100528 0000897436-10-000271.hdr.sgml : 20100528 20100528165239 ACCESSION NUMBER: 0000897436-10-000271 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100528 DATE AS OF CHANGE: 20100528 EFFECTIVENESS DATE: 20100528 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: 10867264 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 03/31/2010 000 C000000 0000872323 000 D000000 N 000 E000000 NF 000 F000000 Y 000 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LTD. 015 B00AA09 S 015 C01AA09 SEOUL 015 D01AA09 KOREA 015 E04AA09 X 015 A00AA10 STATE STREET TRUST COMPANY CANADA 015 B00AA10 S 015 C01AA10 TORONTO 015 D01AA10 CANADA 015 E04AA10 X 015 A00AA11 DEUTSCHE BANK S.A.E. 015 B00AA11 S 015 C01AA11 BARCELONA PAGE 5 015 D01AA11 SPAIN 015 E04AA11 X 015 A00AA12 DEUTSCHE BANK AG 015 B00AA12 S 015 C01AA12 AMSTERDAM 015 D01AA12 NETHERLANDS 015 E04AA12 X 015 A00AA13 HSBC 015 B00AA13 S 015 C01AA13 SYDNEY 015 D01AA13 AUSTRALIA 015 E04AA13 X 015 A00AA14 BNP PARIBAS SECURITIES SERVICES S.A. 015 B00AA14 S 015 C01AA14 ATHENS 015 D01AA14 GREECE 015 E04AA14 X 015 A00AA15 BANCO NATIONAL DE MEXICO S.A. 015 B00AA15 S 015 C01AA15 MEXICO CITY 015 D01AA15 MEXICO 015 E04AA15 X 015 A00AA16 SKANDINAVISKA ENSKILDA BANKEN AB 015 B00AA16 S 015 C01AA16 STOCKHOLM 015 D01AA16 SWEDEN 015 E04AA16 X 015 A00AA17 HSBC 015 B00AA17 S 015 C01AA17 AUCKLAND 015 D01AA17 NEW ZEALAND 015 E04AA17 X 015 A00AA18 Citibank N.A. 015 B00AA18 S 015 C01AA18 Singapore 015 D01AA18 Singapore 015 E04AA18 X 015 A00AA19 EUROCLEAR 015 B00AA19 S 015 C01AA19 LUXEMBOURG 015 D01AA19 LUXEMBOURG 015 E04AA19 X 015 A00AA20 CITIBANK N.A. (BRAZIL) 015 B00AA20 S 015 C01AA20 SAO PAULO 015 D01AA20 BRAZIL 015 E04AA20 X 015 A00AA21 CITIBANK, A.S. 015 B00AA21 S 015 C01AA21 ISTANBUL 015 D01AA21 TURKEY PAGE 6 015 E04AA21 X 015 A00AA22 CITIBANK PERU 015 B00AA22 S 015 C01AA22 LIMA 015 D01AA22 PERU 015 E04AA22 X 015 A00AA23 STANDARD CHARTERED BANK 015 B00AA23 S 015 C01AA23 MANILA 015 D01AA23 PHILIPPINES 015 E04AA23 X 015 A00AA24 UNICREDIT BANK AUSTRIA AG 015 B00AA24 S 015 C01AA24 VIENNA 015 D01AA24 AUSTRIA 015 E04AA24 X 015 A00AA25 SKANDINAVISKA ENSKILDA BANKEN 015 B00AA25 S 015 C01AA25 COPENHAGEN 015 D01AA25 DENMARK 015 E04AA25 X 015 A00AA26 STANDARD BANK OF SOUTH AFRICA 015 B00AA26 S 015 C01AA26 JOHANNESBURG 015 D01AA26 SOUTH AFRICA 015 E04AA26 X 015 A00AA27 STANDARD CHARTERED BANK (HONG KONG)LTD 015 B00AA27 S 015 C01AA27 HONG KONG 015 D01AA27 HONG KONG 015 E04AA27 X 015 A00AA28 STANDARD CHARTERED BANK (THAI) PCL. 015 B00AA28 S 015 C01AA28 BANGKOK 015 D01AA28 THAILAND 015 E04AA28 X 015 A00AA29 HSBC BANK (CHINA) COMPANY LTD. 015 B00AA29 S 015 C01AA29 SHANGHAI 015 D01AA29 CHINA 015 E04AA29 X 015 A00AA30 UNICREDIT BANK CZECH REPUBLIC A.S. 015 B00AA30 S 015 C01AA30 PRAGUE 015 D01AA30 CZECH REPUBLIC 015 E04AA30 X 015 A00AA31 AS SEB BANK 015 B00AA31 S 015 C01AA31 TALLINN 015 D01AA31 ESTONIA 015 E04AA31 X PAGE 7 015 A00AA32 SKANDINAVISKA ENSKILDA BANKEN AB 015 B00AA32 S 015 C01AA32 HELSINKI 015 D01AA32 FINLAND 015 E04AA32 X 015 A00AA33 UNICREDIT BANK HUNGARY ZRT 015 B00AA33 S 015 C01AA33 BUDAPEST 015 D01AA33 HUNGARY 015 E04AA33 X 015 A00AA34 BANK OF IRELAND 015 B00AA34 S 015 C01AA34 DUBLIN 015 D01AA34 IRELAND 015 E04AA34 X 015 A00AA35 BANK HAPOALIM B.M. 015 B00AA35 S 015 C01AA35 TEL AVIV 015 D01AA35 ISRAEL 015 E04AA35 X 015 A00AA36 STANDARD CHARTERED BANK MALAYSIA BERHAD 015 B00AA36 S 015 C01AA36 KUALA LUMPUR 015 D01AA36 MALAYSIA 015 E04AA36 X 015 A00AA37 DEUTSCHE BANK AG 015 B00AA37 S 015 C01AA37 JAKARTA 015 D01AA37 INDONESIA 015 E04AA37 X 015 A00AA38 SKANDINAVISKA ENSKILDA BANKEN AB 015 B00AA38 S 015 C01AA38 OSLO 015 D01AA38 NORWAY 015 E04AA38 X 015 A00AA39 BNP PARIBAS SECURITIES SERVICES, S.A. 015 B00AA39 S 015 C01AA39 LISBON 015 D01AA39 PORTUGAL 015 E04AA39 X 015 A00AA40 CLEARSTREAM 015 B00AA40 S 015 C01AA40 LUXEMBOURG CITY 015 D01AA40 LUXEMBOURG 015 E04AA40 X 015 A00AA41 STANDARD CHARTERED BANK 015 B00AA41 S 015 C01AA41 TAIPEI 015 D01AA41 TAIWAN 015 E04AA41 X 015 A00AA42 CITIBANK, N.A PAGE 8 015 B00AA42 S 015 C01AA42 BUENOS AIRES 015 D01AA42 ARGENTINA 015 E04AA42 X 015 A00AA43 BANCO ITAU CHILE 015 B00AA43 S 015 C01AA43 SANTIAGO 015 D01AA43 CHILE 015 E04AA43 X 015 A00AA44 DEUTSCHE BANK AG 015 B00AA44 S 015 C01AA44 MUMBAI 015 D01AA44 INDIA 015 E04AA44 X 015 A00AA45 BANK HANDLOWY W WARSZAWIE S.A. 015 B00AA45 S 015 C01AA45 WARSAW 015 D01AA45 POLAND 015 E04AA45 X 015 A00AA46 HONGKONG AND SHANGHAI BANKING CORP. LTD. 015 B00AA46 S 015 C01AA46 COLOMBO 015 D01AA46 SRI LANKA 015 E04AA46 X 015 A00AA47 HONG KONG AND SHANGHAI BANKING CORP. 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028 G010700 239576 028 G020700 12181 028 G030700 0 028 G040700 -159790 028 H000700 0 028 A010800 5402 028 A020800 0 028 A030800 0 028 A040800 -4606 028 B010800 6880 028 B020800 0 028 B030800 0 028 B040800 -4299 PAGE 15 028 C010800 24101 028 C020800 1057 028 C030800 0 028 C040800 -7456 028 D010800 16968 028 D020800 0 028 D030800 0 028 D040800 -5157 028 E010800 13340 028 E020800 0 028 E030800 0 028 E040800 -5566 028 F010800 16470 028 F020800 0 028 F030800 0 028 F040800 -6092 028 G010800 83161 028 G020800 1057 028 G030800 0 028 G040800 -33176 028 H000800 0 029 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 0 037 000100 Y 037 000200 Y 037 000400 N 037 000500 Y 037 000600 Y 037 000700 Y 037 000800 Y 038 000100 156 038 000200 392 038 000400 0 038 000500 211 038 000600 106 038 000700 92 038 000800 72 039 000100 N 039 000200 N 039 000400 N 039 000500 N 039 000600 N PAGE 16 039 000700 N 039 000800 N 040 000100 N 040 000200 N 040 000400 N 040 000500 N 040 000600 N 040 000700 N 040 000800 N 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 0 045 000100 Y 045 000200 Y 045 000400 Y 045 000500 Y 045 000600 Y 045 000700 Y 045 000800 Y 046 000100 N 046 000200 N 046 000400 N 046 000500 N 046 000600 N 046 000700 N 046 000800 N 047 000100 Y 047 000200 Y 047 000400 Y 047 000500 Y 047 000600 Y 047 000700 Y 047 000800 Y 048 000100 0.000 048 A010100 2000000 048 A020100 1.000 048 B010100 1000000 048 B020100 0.900 048 C010100 2000000 048 C020100 0.800 048 D010100 2500000 048 D020100 0.750 048 E010100 2500000 048 E020100 0.700 PAGE 17 048 F010100 0 048 F020100 0.000 048 G010100 0 048 G020100 0.000 048 H010100 0 048 H020100 0.000 048 I010100 0 048 I020100 0.000 048 J010100 0 048 J020100 0.000 048 K010100 10000000 048 K020100 0.650 048 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 5500000 048 F020200 0.805 048 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 16500000 048 K020200 0.800 048 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 3500000 048 E020400 0.600 048 F010400 5000000 048 F020400 0.585 048 G010400 7000000 048 G020400 0.578 048 H010400 0 PAGE 18 048 H020400 0.000 048 I010400 0 048 I020400 0.000 048 J010400 0 048 J020400 0.000 048 K010400 28000000 048 K020400 0.573 048 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 1.025 048 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 PAGE 19 048 K010600 10000000 048 K020600 0.725 048 000700 0.000 048 A010700 2000000 048 A020700 1.000 048 B010700 2000000 048 B020700 0.950 048 C010700 4000000 048 C020700 0.900 048 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 8000000 048 K020700 0.875 048 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 000100 N 049 000200 N 049 000400 N PAGE 20 049 000500 N 049 000600 N 049 000700 N 049 000800 N 050 000100 N 050 000200 N 050 000400 N 050 000500 N 050 000600 N 050 000700 N 050 000800 N 051 000100 N 051 000200 N 051 000400 N 051 000500 N 051 000600 N 051 000700 N 051 000800 N 052 000100 N 052 000200 N 052 000400 N 052 000500 N 052 000600 N 052 000700 N 052 000800 N 053 A000100 N 053 A000200 N 053 A000400 N 053 A000500 N 053 A000600 N 053 A000700 N 053 A000800 N 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 055 A000100 N 055 B000100 N 055 A000200 N 055 B000200 N PAGE 21 055 A000400 N 055 B000400 N 055 A000500 N 055 B000500 N 055 A000600 N 055 B000600 N 055 A000700 N 055 B000700 N 055 A000800 N 055 B000800 N 056 000100 Y 056 000200 Y 056 000400 Y 056 000500 Y 056 000600 Y 056 000700 Y 056 000800 Y 057 000100 N 057 000200 N 057 000400 N 057 000500 N 057 000600 N 057 000700 N 057 000800 N 058 A000100 N 058 A000200 N 058 A000400 N 058 A000500 N 058 A000600 N 058 A000700 N 058 A000800 N 059 000100 Y 059 000200 Y 059 000400 Y 059 000500 Y 059 000600 Y 059 000700 Y 059 000800 Y 060 A000100 Y 060 B000100 Y 060 A000200 Y 060 B000200 Y 060 A000400 Y 060 B000400 Y 060 A000500 Y 060 B000500 Y 060 A000600 N 060 B000600 N 060 A000700 Y 060 B000700 Y 060 A000800 N PAGE 22 060 B000800 N 061 000100 500 061 000200 500 061 000400 500 061 000500 500 061 000600 500 061 000700 500 061 000800 500 062 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 0.0 066 A000100 Y 066 B000100 N 066 C000100 Y 066 D000100 N 066 E000100 N 066 F000100 N 066 G000100 N 066 A000200 Y 066 B000200 N 066 C000200 Y 066 D000200 N 066 E000200 N 066 F000200 N 066 G000200 N 066 A000400 Y 066 B000400 N 066 C000400 N 066 D000400 N 066 E000400 Y 066 F000400 N 066 G000400 N 066 A000500 Y 066 B000500 N PAGE 23 066 C000500 Y 066 D000500 N 066 E000500 N 066 F000500 N 066 G000500 N 066 A000600 Y 066 B000600 N 066 C000600 Y 066 D000600 N 066 E000600 N 066 F000600 N 066 G000600 N 066 A000700 Y 066 B000700 N 066 C000700 Y 066 D000700 N 066 E000700 N 066 F000700 N 066 G000700 N 066 A000800 Y 066 B000800 N 066 C000800 Y 066 D000800 N 066 E000800 N 066 F000800 N 066 G000800 N 067 000100 N 067 000200 N 067 000400 Y 067 000500 N 067 000600 N 067 000700 N 067 000800 N 068 A000100 N 068 B000100 N 068 A000200 N 068 B000200 Y 068 A000400 N 068 B000400 N 068 A000500 N 068 B000500 Y 068 A000600 N 068 B000600 N 068 A000700 N 068 B000700 Y 068 A000800 N 068 B000800 Y 069 000100 N 069 000200 N 069 000400 N 069 000500 N PAGE 24 069 000600 N 069 000700 N 069 000800 N 070 A010100 Y 070 A020100 Y 070 B010100 Y 070 B020100 N 070 C010100 Y 070 C020100 N 070 D010100 Y 070 D020100 N 070 E010100 N 070 E020100 N 070 F010100 N 070 F020100 N 070 G010100 N 070 G020100 N 070 H010100 N 070 H020100 N 070 I010100 N 070 I020100 N 070 J010100 Y 070 J020100 N 070 K010100 Y 070 K020100 N 070 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 070 Q010100 N 070 Q020100 N 070 R010100 Y 070 R020100 Y 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 PAGE 25 070 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 070 O010200 Y 070 O020200 N 070 P010200 Y 070 P020200 N 070 Q010200 N 070 Q020200 N 070 R010200 Y 070 R020200 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 PAGE 26 070 N020400 N 070 O010400 Y 070 O020400 N 070 P010400 Y 070 P020400 N 070 Q010400 N 070 Q020400 N 070 R010400 Y 070 R020400 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 Y 070 Q010500 N 070 Q020500 N 070 R010500 Y 070 R020500 N 070 A010600 Y 070 A020600 Y 070 B010600 Y 070 B020600 N 070 C010600 Y 070 C020600 N PAGE 27 070 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 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 PAGE 28 070 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 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 Y 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 Y 070 O010800 Y 070 O020800 N 070 P010800 Y 070 P020800 N 070 Q010800 N 070 Q020800 N 070 R010800 Y 070 R020800 Y PAGE 29 071 A000100 332223 071 B000100 448892 071 C000100 3106882 071 D000100 11 071 A000200 1611303 071 B000200 1128420 071 C000200 4281309 071 D000200 26 071 A000400 5320618 071 B000400 4778678 071 C000400 15131520 071 D000400 32 071 A000500 367694 071 B000500 238577 071 C000500 815468 071 D000500 29 071 A000600 279997 071 B000600 317953 071 C000600 2220488 071 D000600 13 071 A000700 390303 071 B000700 323567 071 C000700 1749306 071 D000700 19 071 A000800 126384 071 B000800 85177 071 C000800 277403 071 D000800 31 072 A000100 6 072 B000100 48 072 C000100 29009 072 D000100 0 072 E000100 3005 072 F000100 15512 072 G000100 0 072 H000100 0 072 I000100 2343 072 J000100 166 072 K000100 0 072 L000100 259 072 M000100 173 072 N000100 32 072 O000100 0 072 P000100 0 072 Q000100 0 072 R000100 17 072 S000100 35 072 T000100 0 072 U000100 0 072 V000100 0 072 W000100 141 PAGE 30 072 X000100 18678 072 Y000100 0 072 Z000100 13384 072AA000100 191059 072BB000100 0 072CC010100 251356 072CC020100 0 072DD010100 21157 072DD020100 35 072EE000100 0 072 A000200 6 072 B000200 42 072 C000200 31677 072 D000200 0 072 E000200 -1514 072 F000200 20509 072 G000200 0 072 H000200 0 072 I000200 2299 072 J000200 879 072 K000200 0 072 L000200 172 072 M000200 156 072 N000200 92 072 O000200 0 072 P000200 0 072 Q000200 0 072 R000200 21 072 S000200 40 072 T000200 0 072 U000200 0 072 V000200 0 072 W000200 158 072 X000200 24326 072 Y000200 0 072 Z000200 5879 072AA000200 56199 072BB000200 0 072CC010200 392823 072CC020200 0 072DD010200 30251 072DD020200 813 072EE000200 0 072 A000400 6 072 B000400 62459 072 C000400 93605 072 D000400 0 072 E000400 -1635 072 F000400 55962 072 G000400 0 072 H000400 0 PAGE 31 072 I000400 9495 072 J000400 896 072 K000400 0 072 L000400 534 072 M000400 310 072 N000400 282 072 O000400 0 072 P000400 0 072 Q000400 0 072 R000400 53 072 S000400 103 072 T000400 0 072 U000400 0 072 V000400 0 072 W000400 308 072 X000400 67943 072 Y000400 0 072 Z000400 86486 072AA000400 243402 072BB000400 0 072CC010400 1203286 072CC020400 0 072DD010400 176401 072DD020400 10839 072EE000400 0 072 A000500 6 072 B000500 11 072 C000500 8372 072 D000500 0 072 E000500 -491 072 F000500 4971 072 G000500 0 072 H000500 0 072 I000500 386 072 J000500 246 072 K000500 0 072 L000500 37 072 M000500 92 072 N000500 43 072 O000500 0 072 P000500 0 072 Q000500 0 072 R000500 11 072 S000500 24 072 T000500 0 072 U000500 0 072 V000500 0 072 W000500 77 072 X000500 5887 072 Y000500 0 072 Z000500 2005 PAGE 32 072AA000500 20176 072BB000500 0 072CC010500 63905 072CC020500 0 072DD010500 11558 072DD020500 11 072EE000500 0 072 A000600 6 072 B000600 36 072 C000600 15839 072 D000600 0 072 E000600 4520 072 F000600 11014 072 G000600 0 072 H000600 0 072 I000600 1283 072 J000600 114 072 K000600 0 072 L000600 168 072 M000600 152 072 N000600 28 072 O000600 0 072 P000600 0 072 Q000600 0 072 R000600 15 072 S000600 32 072 T000600 0 072 U000600 0 072 V000600 0 072 W000600 131 072 X000600 12937 072 Y000600 0 072 Z000600 7458 072AA000600 67307 072BB000600 0 072CC010600 245131 072CC020600 0 072DD010600 7132 072DD020600 20 072EE000600 0 072 A000700 6 072 B000700 12 072 C000700 8503 072 D000700 0 072 E000700 -149 072 F000700 8832 072 G000700 0 072 H000700 0 072 I000700 1008 072 J000700 283 072 K000700 0 PAGE 33 072 L000700 102 072 M000700 105 072 N000700 38 072 O000700 0 072 P000700 0 072 Q000700 0 072 R000700 14 072 S000700 29 072 T000700 0 072 U000700 0 072 V000700 0 072 W000700 115 072 X000700 10526 072 Y000700 0 072 Z000700 -2160 072AA000700 0 072BB000700 15368 072CC010700 207108 072CC020700 0 072DD010700 12403 072DD020700 273 072EE000700 0 072 A000800 6 072 B000800 5 072 C000800 1758 072 D000800 0 072 E000800 -30 072 F000800 1422 072 G000800 0 072 H000800 0 072 I000800 168 072 J000800 67 072 K000800 0 072 L000800 28 072 M000800 53 072 N000800 18 072 O000800 0 072 P000800 0 072 Q000800 0 072 R000800 9 072 S000800 22 072 T000800 0 072 U000800 0 072 V000800 0 072 W000800 74 072 X000800 1861 072 Y000800 0 072 Z000800 -128 072AA000800 22176 072BB000800 0 072CC010800 12549 PAGE 34 072CC020800 0 072DD010800 1101 072DD020800 0 072EE000800 0 073 A010100 0.2324 073 A020100 0.1594 073 B000100 0.0000 073 C000100 0.0000 073 A010200 0.1172 073 A020200 0.1258 073 B000200 0.0000 073 C000200 0.0000 073 A010400 0.2934 073 A020400 0.2294 073 B000400 0.0000 073 C000400 0.0000 073 A010500 0.1643 073 A020500 0.1573 073 B000500 0.0000 073 C000500 0.0000 073 A010600 0.0722 073 A020600 0.0552 073 B000600 0.0000 073 C000600 0.0000 073 A010700 0.1382 073 A020700 0.0946 073 B000700 0.0000 073 C000700 0.0000 073 A010800 0.0386 073 A020800 0.0000 073 B000800 0.0000 073 C000800 0.0000 074 A000100 0 074 B000100 101232 074 C000100 0 074 D000100 0 074 E000100 0 074 F000100 3322240 074 G000100 0 074 H000100 0 074 I000100 0 074 J000100 80609 074 K000100 0 074 L000100 13165 074 M000100 43 074 N000100 3517289 074 O000100 0 074 P000100 85 074 Q000100 0 074 R010100 0 074 R020100 0 PAGE 35 074 R030100 0 074 R040100 4459 074 S000100 0 074 T000100 3512745 074 U010100 89070 074 U020100 213 074 V010100 39.34 074 V020100 39.37 074 W000100 0.0000 074 X000100 70033 074 Y000100 0 074 A000200 1534 074 B000200 228741 074 C000200 0 074 D000200 0 074 E000200 0 074 F000200 4867110 074 G000200 0 074 H000200 0 074 I000200 0 074 J000200 23870 074 K000200 0 074 L000200 82715 074 M000200 49 074 N000200 5204019 074 O000200 83994 074 P000200 114 074 Q000200 0 074 R010200 0 074 R020200 0 074 R030200 0 074 R040200 4137 074 S000200 0 074 T000200 5115774 074 U010200 280409 074 U020200 6981 074 V010200 17.80 074 V020200 17.90 074 W000200 0.0000 074 X000200 46587 074 Y000200 0 074 A000400 0 074 B000400 448258 074 C000400 1699134 074 D000400 4494627 074 E000400 0 074 F000400 12151276 074 G000400 0 074 H000400 0 074 I000400 0 074 J000400 109857 PAGE 36 074 K000400 0 074 L000400 126121 074 M000400 117 074 N000400 19029390 074 O000400 273996 074 P000400 320 074 Q000400 0 074 R010400 0 074 R020400 0 074 R030400 0 074 R040400 24248 074 S000400 0 074 T000400 18730826 074 U010400 652206 074 U020400 48469 074 V010400 26.74 074 V020400 26.61 074 W000400 0.0000 074 X000400 103285 074 Y000400 0 074 A000500 992 074 B000500 50219 074 C000500 0 074 D000500 0 074 E000500 0 074 F000500 936273 074 G000500 0 074 H000500 0 074 I000500 0 074 J000500 6442 074 K000500 0 074 L000500 13765 074 M000500 28 074 N000500 1007719 074 O000500 16757 074 P000500 28 074 Q000500 0 074 R010500 0 074 R020500 0 074 R030500 0 074 R040500 1032 074 S000500 0 074 T000500 989902 074 U010500 78923 074 U020500 90 074 V010500 12.53 074 V020500 12.50 074 W000500 0.0000 074 X000500 13666 074 Y000500 0 074 A000600 0 PAGE 37 074 B000600 126701 074 C000600 0 074 D000600 0 074 E000600 0 074 F000600 2420544 074 G000600 0 074 H000600 0 074 I000600 0 074 J000600 0 074 K000600 0 074 L000600 4152 074 M000600 37 074 N000600 2551434 074 O000600 0 074 P000600 60 074 Q000600 0 074 R010600 0 074 R020600 0 074 R030600 0 074 R040600 3022 074 S000600 0 074 T000600 2548352 074 U010600 98318 074 U020600 350 074 V010600 25.83 074 V020600 25.83 074 W000600 0.0000 074 X000600 41003 074 Y000600 0 074 A000700 628 074 B000700 69457 074 C000700 0 074 D000700 0 074 E000700 0 074 F000700 1925684 074 G000700 0 074 H000700 0 074 I000700 0 074 J000700 4926 074 K000700 0 074 L000700 22441 074 M000700 34 074 N000700 2023170 074 O000700 22455 074 P000700 49 074 Q000700 0 074 R010700 0 074 R020700 0 074 R030700 0 074 R040700 1436 074 S000700 0 PAGE 38 074 T000700 1999230 074 U010700 93361 074 U020700 2790 074 V010700 20.80 074 V020700 20.42 074 W000700 0.0000 074 X000700 26553 074 Y000700 0 074 A000800 0 074 B000800 18089 074 C000800 0 074 D000800 0 074 E000800 0 074 F000800 329877 074 G000800 0 074 H000800 0 074 I000800 0 074 J000800 3543 074 K000800 0 074 L000800 3245 074 M000800 25 074 N000800 354779 074 O000800 3557 074 P000800 8 074 Q000800 0 074 R010800 0 074 R020800 0 074 R030800 0 074 R040800 357 074 S000800 0 074 T000800 350857 074 U010800 32998 074 U020800 0 074 V010800 10.63 074 V020800 0.00 074 W000800 0.0000 074 X000800 9601 074 Y000800 0 075 A000100 0 075 B000100 3334167 075 A000200 0 075 B000200 4486706 075 A000400 0 075 B000400 16876647 075 A000500 0 075 B000500 860517 075 A000600 0 075 B000600 2385969 075 A000700 0 075 B000700 1812027 075 A000800 0 PAGE 39 075 B000800 294900 076 000100 0.00 076 000200 0.00 076 000400 0.00 076 000500 0.00 076 000600 0.00 076 000700 0.00 076 000800 0.00 077 A000000 Y 077 O000000 Y 078 000000 N 080 C00AA00 0 081 B00AA00 0 082 B00AA00 0 083 B00AA00 0 084 B00AA00 0 086 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 SIGNATURE KRISTI L. ROWSELL TITLE TREASURER EX-99.77O RULE 10F-3 2 exhoakmark.htm Unassociated Document
 
 
 

10f-3 Exhibit                                                                                                Compliance Detail

Issuer Name + SEDOL
 BNP Paribas – 7309681
Trade Date
October 13, 2009
List of Underwriters
Global Coordinator and Joint Bookrunner:  BNP Paribas; Joint Bookrunner:  HSBC; Co-Bookrunner:  Calyon; Joint Lead Managers:  Citibank, JPMorgan, Banca IMI, Goldman Sachs Int’l, Societe Generale,  Credit Suisse, Lazard-NATIXIS, UniCredit Group, Bayerische Hypo-und Vereinsbank AG,
Was the security:33 Act Registration, Eligible Municipal Security, Eligible Government offering, Foreign Offering, or Eligible 144A offering
Yes – Foreign Offering/Reg. S
Was security offered under a firm commitment underwriting (Must be ‘YES’_
Yes
Is an affiliated b/d a Sr. Manager or Co-Manager?
No – lowest tier
If yes, did the affiliate benefit directly or indirectly (Must be NO)
No
Name of Affiliate:
Lazard-NATIXIS
Underwriter (s) or Dealer(s) from Whom Purchased (Non-affiliates):
TOMS defined:  FBCO, GSCO, HSBC, JPMS, LYON, PARI, SBSH, SGSC and UCCM.
 
Not defined in TOMS:  Banca IMI and Bayerische Hypo-und Vereinsbank AG, Lazard-NATIXIS
Sector or Industry:
Diversified Banking Institution
Date of First Offering:
September 30, 2009
Ratings:
N/A
Maturity Date:
N/A
Coupon:
N/A
Unit Price:
€40.00 per new share
Underwriting Spread per Unit:
1.70% of u/w commitment (Natixis had 7.35% of unsubscribed shares).
Gross Spread as a % of Price:
Indeterminable – dependent upon variable factors such as an underwriting commitment, success fee, selling commission to financial intermediaries, etc.
Yield:
N/A
Yield to Maturity
N/A
Principal Amount of Offering:
Approx. €4.2 Bln.
Subordination Features:
N/A
Years of Continued Operation>3:
20+
   
The adviser attests that the commission, spread or profit with respect to the transaction described is reasonable and fair compared to the commissions, spread or profit received by others in connection with the underwritings of similar securities during a comparable period of time.
The adviser attests that the Total Percentage Purchased by adviser including all funds and private advisory accounts over which adviser has investment discretion did not exceed 25%.  [If an eligible 144A offering,  must be less than 25% of the 144A offering plus any concurrent public offering]    PLEASE INDICATE PERCENTAGE
 
 
 
0.0017%


 
 
 


LIST EACH PARTICIPATING FUND
Percent of Offering
Purchased by Fund
Dollar Value of Offering
Purchased by Fund
Oakmark International Fund
0.0008%
$4,988,478.60 or €3,375,040.00
     
     
Total Purchased for Oakmark Funds which Harris Associates L.P. manages
0.0008%
$4,988,478.60 or €3,375,040.00
Total Percent Purchased by all Funds and private advisory accounts over which Harris Associates L.P. has investment discretion.
0.0017%
$10,679,563.16 or €7,225,440.00



 
 
 

EX-99.77O RULE 10F-3 3 item6gmemo.htm Unassociated Document
 
 
 
Harris Associates L.P.
Two North LaSalle St.
Chicago, IL 60602
USA
Fax:  312-621-0636
www.harrisassoc.com



Harris Associates L.P.

Compliance Memo





As required pursuant to the Funds’ Affiliated Underwriting Procedures Pursuant to Rule 10f-3 (the “Procedures”), a report must be made to the Trustees at the next regularly scheduled Board meeting following a purchase of securities for a Fund in an underwriting in which any broker-dealer affiliate of the Adviser is a “principal underwriter”.

On October 13, 2009, the Oakmark International Fund purchased 84,376 shares of BNP Paribas in a 1 share for 10 rights offering (the Fund’s purchase represented approximately 0.0008% of the 107,644,076 new ordinary shares offered).  Lazard-Natixis, an affiliate of the Adviser, was a syndicate member entitled to a concession takedown. To the best of our knowledge, Lazard-Natixis did not receive an underwriting concession in connection with the Fund’s purchase.

The transaction met all of the requirements of Section A of the Procedures, including a determination of appropriate registration, fair pricing, minimum continuous operating requirements for the issuer, a firm commitment clause in the underwriting agreement, a reasonable and fair commission, a purchase of less than the maximum percentage permitted, and no prohibited affiliated transactions.

Pursuant to the Procedures, this transaction will be reported on the Funds’ Form N-SAR.

PRELIMINARY DRAFT – FOR DISCUSSION PURPOSES ONLY

 
 
 

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