0000897436-13-000314.txt : 20130524 0000897436-13-000314.hdr.sgml : 20130524 20130524135529 ACCESSION NUMBER: 0000897436-13-000314 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130524 DATE AS OF CHANGE: 20130524 EFFECTIVENESS DATE: 20130524 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: 13871386 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 ANSWER FILE PAGE 1 000 A000000 03/31/2013 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 Oakmark Fund 007 C030100 N 007 C010200 2 007 C020200 Oakmark International Fund 007 C030200 N 007 C010400 4 007 C020400 Oakmark Equity and Income Fund 007 C030400 N 007 C010500 5 007 C020500 Oakmark International Small Cap Fund 007 C030500 N 007 C010600 6 007 C020600 Oakmark Select Fund 007 C030600 N 007 C010700 7 007 C020700 Oakmark Global Fund 007 C030700 N 007 C010800 8 007 C020800 Oakmark Global Select Fund 007 C030800 N 008 A00AA01 HARRIS ASSOCIATES L.P. 008 B00AA01 A 008 C00AA01 801-50333 008 D01AA01 CHICAGO 008 D02AA01 IL 008 D03AA01 60602 008 D04AA01 3790 PAGE 2 012 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 EUROPE SARL 014 B00AA01 8-00000 014 A00AA02 CACEIS BANK LUXEMBOURG 014 B00AA02 8-0000 014 A00AA03 CACEIS CORPORATE TRUST 014 B00AA03 8-0000 014 A00AA04 FONGEPAR 014 B00AA04 8-0000 014 A00AA05 HARRIS ASSOCIATES SECURITIES, L.P. 014 B00AA05 8-19988 014 A00AA06 LOOMIS, SAYLES DISTRIBUTORS, L.P. 014 B00AA06 8-49575 014 A00AA07 NATIXIS 014 B00AA07 8-12482 014 A00AA08 NATIXIS ASSET MANAGEMENT 014 B00AA08 8-10092 014 A00AA09 NATIXIS CORPORATE SOLUTIONS LIMITED 014 B00AA09 8-0000 014 A00AA10 NATIXIS DERIVATIVES INC. 014 B00AA10 8-53212 014 A00AA11 NATIXIS FUNDING CORP. 014 B00AA11 8-0000 014 A00AA12 NATIXIS SECURITIES AMERICAS, LLC 014 B00AA12 8-0000 014 A00AA13 NATIXIS STRUCTURED PRODUCTS JERSEY 014 B00AA13 8-0000 014 A00AA14 NEXGEN CAPITAL LTD 014 B00AA14 8-0000 014 A00AA15 REICH & TANG DISTRIBUTORS, INC. 014 B00AA15 8-43429 014 A00AA16 CACEIS BANK 014 B00AA16 8-0000 014 A00AA17 CREDIT FONCIER DE FRANCE 014 B00AA17 8-0000 014 A00AA18 NATIXIS FINANCIAL PRODUCTS LLC. 014 B00AA18 8-0000 014 A00AA19 NATIXIS U.S. FINANCE COMPANY LLC 014 B00AA19 8-0000 014 A00AA20 NGAM DISTRIBUTION, L.P. 014 B00AA20 8-0000 014 A00AA21 NATIXIS JAPAN SECURITIES CO., LTD. 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000600 N 037 000700 N 037 000800 N 038 000100 0 038 000200 0 038 000400 0 038 000500 85 038 000600 0 038 000700 0 038 000800 0 039 000100 N 039 000200 N 039 000400 N 039 000500 N 039 000600 N 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 PAGE 16 042 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 0.675 048 F010100 0 048 F020100 0.000 048 G010100 0 048 G020100 0.000 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A010500 500000 048 A020500 1.250 PAGE 18 048 B010500 1000000 048 B020500 1.100 048 C010500 2000000 048 C020500 1.050 048 D010500 1500000 048 D020500 1.025 048 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 5000000 048 K020500 1.000 048 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 0.725 048 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 PAGE 19 048 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 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 PAGE 20 050 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 A000100 Y 054 B000100 Y 054 C000100 Y 054 D000100 N 054 E000100 N 054 F000100 N 054 G000100 Y 054 H000100 Y 054 I000100 N 054 J000100 Y 054 K000100 N 054 L000100 N 054 M000100 Y 054 N000100 N 054 O000100 N 054 A000200 Y 054 B000200 Y 054 C000200 Y 054 D000200 N 054 E000200 N 054 F000200 N 054 G000200 Y 054 H000200 Y 054 I000200 N 054 J000200 Y 054 K000200 N 054 L000200 N 054 M000200 Y 054 N000200 N PAGE 21 054 O000200 N 054 A000400 Y 054 B000400 Y 054 C000400 Y 054 D000400 N 054 E000400 N 054 F000400 N 054 G000400 Y 054 H000400 Y 054 I000400 N 054 J000400 Y 054 K000400 N 054 L000400 N 054 M000400 Y 054 N000400 N 054 O000400 N 054 A000500 Y 054 B000500 Y 054 C000500 Y 054 D000500 N 054 E000500 N 054 F000500 N 054 G000500 Y 054 H000500 Y 054 I000500 N 054 J000500 Y 054 K000500 N 054 L000500 N 054 M000500 Y 054 N000500 N 054 O000500 N 054 A000600 Y 054 B000600 Y 054 C000600 Y 054 D000600 N 054 E000600 N 054 F000600 N 054 G000600 Y 054 H000600 Y 054 I000600 N 054 J000600 Y 054 K000600 N 054 L000600 N 054 M000600 Y 054 N000600 N 054 O000600 N 054 A000700 Y 054 B000700 Y 054 C000700 Y 054 D000700 N 054 E000700 N PAGE 22 054 F000700 N 054 G000700 Y 054 H000700 Y 054 I000700 N 054 J000700 Y 054 K000700 N 054 L000700 N 054 M000700 Y 054 N000700 N 054 O000700 N 054 A000800 Y 054 B000800 Y 054 C000800 Y 054 D000800 N 054 E000800 N 054 F000800 N 054 G000800 Y 054 H000800 Y 054 I000800 N 054 J000800 Y 054 K000800 N 054 L000800 N 054 M000800 Y 054 N000800 N 054 O000800 N 055 A000100 N 055 B000100 N 055 A000200 Y 055 B000200 N 055 A000400 Y 055 B000400 N 055 A000500 N 055 B000500 N 055 A000600 N 055 B000600 N 055 A000700 Y 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 PAGE 23 057 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 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 PAGE 24 062 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 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 PAGE 25 066 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 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 PAGE 26 070 J020100 N 070 K010100 Y 070 K020100 N 070 L010100 Y 070 L020100 Y 070 M010100 Y 070 M020100 Y 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 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 Y 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 PAGE 27 070 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 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 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 PAGE 28 070 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 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 Y 070 M010600 Y 070 M020600 Y 070 N010600 Y 070 N020600 Y PAGE 29 070 O010600 Y 070 O020600 N 070 P010600 Y 070 P020600 N 070 Q010600 N 070 Q020600 N 070 R010600 Y 070 R020600 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 Y 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 070 A010800 Y 070 A020800 Y 070 B010800 Y 070 B020800 N 070 C010800 Y 070 C020800 N 070 D010800 Y PAGE 30 070 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 N 071 A000100 1347650 071 B000100 570503 071 C000100 7093929 071 D000100 8 071 A000200 4710286 071 B000200 1786804 071 C000200 10985030 071 D000200 16 071 A000400 2241138 071 B000400 3959325 071 C000400 17300144 071 D000400 13 071 A000500 420788 071 B000500 363506 071 C000500 1576283 071 D000500 23 071 A000600 624750 071 B000600 484189 071 C000600 3129454 071 D000600 15 071 A000700 307692 071 B000700 336370 PAGE 31 071 C000700 2131440 071 D000700 14 071 A000800 178445 071 B000800 74967 071 C000800 618690 071 D000800 12 072 A000100 6 072 B000100 180 072 C000100 70241 072 D000100 0 072 E000100 0 072 F000100 31444 072 G000100 0 072 H000100 0 072 I000100 3739 072 J000100 235 072 K000100 0 072 L000100 299 072 M000100 265 072 N000100 0 072 O000100 0 072 P000100 0 072 Q000100 0 072 R000100 23 072 S000100 38 072 T000100 0 072 U000100 0 072 V000100 0 072 W000100 469 072 X000100 36512 072 Y000100 0 072 Z000100 33909 072AA000100 303152 072BB000100 0 072CC010100 599182 072CC020100 0 072DD010100 54716 072DD020100 236 072EE000100 219332 072 A000200 6 072 B000200 1683 072 C000200 92116 072 D000200 0 072 E000200 803 072 F000200 48241 072 G000200 0 072 H000200 0 072 I000200 6539 072 J000200 1570 072 K000200 0 072 L000200 398 PAGE 32 072 M000200 247 072 N000200 0 072 O000200 0 072 P000200 0 072 Q000200 0 072 R000200 30 072 S000200 46 072 T000200 0 072 U000200 0 072 V000200 0 072 W000200 747 072 X000200 57818 072 Y000200 0 072 Z000200 36784 072AA000200 267864 072BB000200 0 072CC010200 1601879 072CC020200 0 072DD010200 218798 072DD020200 4980 072EE000200 0 072 A000400 6 072 B000400 36705 072 C000400 111192 072 D000400 0 072 E000400 1036 072 F000400 63030 072 G000400 0 072 H000400 0 072 I000400 10806 072 J000400 692 072 K000400 0 072 L000400 519 072 M000400 353 072 N000400 0 072 O000400 0 072 P000400 0 072 Q000400 0 072 R000400 53 072 S000400 74 072 T000400 0 072 U000400 0 072 V000400 0 072 W000400 228 072 X000400 75755 072 Y000400 0 072 Z000400 73178 072AA000400 688864 072BB000400 0 072CC010400 629039 072CC020400 0 PAGE 33 072DD010400 164075 072DD020400 7829 072EE000400 462042 072 A000500 6 072 B000500 21 072 C000500 11047 072 D000500 0 072 E000500 116 072 F000500 9239 072 G000500 0 072 H000500 0 072 I000500 1249 072 J000500 306 072 K000500 0 072 L000500 110 072 M000500 128 072 N000500 0 072 O000500 0 072 P000500 0 072 Q000500 0 072 R000500 11 072 S000500 22 072 T000500 0 072 U000500 0 072 V000500 0 072 W000500 154 072 X000500 11219 072 Y000500 0 072 Z000500 -35 072AA000500 0 072BB000500 8287 072CC010500 236163 072CC020500 0 072DD010500 24448 072DD020500 36 072EE000500 0 072 A000600 6 072 B000600 80 072 C000600 17767 072 D000600 0 072 E000600 108 072 F000600 14830 072 G000600 0 072 H000600 0 072 I000600 1402 072 J000600 111 072 K000600 0 072 L000600 142 072 M000600 209 072 N000600 0 072 O000600 0 PAGE 34 072 P000600 0 072 Q000600 0 072 R000600 14 072 S000600 27 072 T000600 0 072 U000600 0 072 V000600 0 072 W000600 237 072 X000600 16972 072 Y000600 0 072 Z000600 983 072AA000600 223197 072BB000600 0 072CC010600 186635 072CC020600 0 072DD010600 2753 072DD020600 0 072EE000600 289293 072 A000700 6 072 B000700 314 072 C000700 15387 072 D000700 0 072 E000700 0 072 F000700 10759 072 G000700 0 072 H000700 0 072 I000700 1259 072 J000700 228 072 K000700 0 072 L000700 119 072 M000700 134 072 N000700 0 072 O000700 0 072 P000700 0 072 Q000700 0 072 R000700 12 072 S000700 24 072 T000700 0 072 U000700 0 072 V000700 0 072 W000700 142 072 X000700 12677 072 Y000700 0 072 Z000700 3024 072AA000700 51047 072BB000700 0 072CC010700 331642 072CC020700 0 072DD010700 33109 072DD020700 430 072EE000700 0 PAGE 35 072 A000800 6 072 B000800 12 072 C000800 4291 072 D000800 0 072 E000800 22 072 F000800 3157 072 G000800 0 072 H000800 0 072 I000800 313 072 J000800 65 072 K000800 0 072 L000800 33 072 M000800 64 072 N000800 0 072 O000800 0 072 P000800 0 072 Q000800 0 072 R000800 9 072 S000800 20 072 T000800 0 072 U000800 0 072 V000800 0 072 W000800 130 072 X000800 3791 072 Y000800 0 072 Z000800 534 072AA000800 12892 072BB000800 0 072CC010800 95428 072CC020800 0 072DD010800 7715 072DD020800 0 072EE000800 4628 073 A010100 0.3766 073 A020100 0.2834 073 B000100 1.5010 073 C000100 0.0000 073 A010200 0.4395 073 A020200 0.3777 073 B000200 0.0000 073 C000200 0.0000 073 A010400 0.2745 073 A020400 0.1816 073 B000400 0.7210 073 C000400 0.0000 073 A010500 0.2097 073 A020500 0.1804 073 B000500 0.0000 073 C000500 0.0000 073 A010600 0.0287 073 A020600 0.0000 PAGE 36 073 B000600 3.0043 073 C000600 0.0000 073 A010700 0.3707 073 A020700 0.2959 073 B000700 0.0000 073 C000700 0.0000 073 A010800 0.1617 073 A020800 0.0000 073 B000800 0.0970 073 C000800 0.0000 074 A000100 1447 074 B000100 643201 074 C000100 0 074 D000100 0 074 E000100 0 074 F000100 8035440 074 G000100 0 074 H000100 0 074 I000100 0 074 J000100 13322 074 K000100 0 074 L000100 36892 074 M000100 53 074 N000100 8730355 074 O000100 89725 074 P000100 739 074 Q000100 0 074 R010100 0 074 R020100 0 074 R030100 0 074 R040100 7743 074 S000100 0 074 T000100 8632148 074 U010100 161221 074 U020100 1110 074 V010100 53.18 074 V020100 53.13 074 W000100 0.0000 074 X000100 84914 074 Y000100 0 074 A000200 15034 074 B000200 641067 074 C000200 0 074 D000200 91068 074 E000200 0 074 F000200 13421105 074 G000200 0 074 H000200 0 074 I000200 0 074 J000200 94291 074 K000200 0 PAGE 37 074 L000200 271549 074 M000200 63 074 N000200 14534177 074 O000200 174173 074 P000200 1256 074 Q000200 0 074 R010200 0 074 R020200 0 074 R030200 0 074 R040200 14431 074 S000200 0 074 T000200 14344317 074 U010200 636930 074 U020200 13545 074 V010200 22.05 074 V020200 22.17 074 W000200 0.0000 074 X000200 107535 074 Y000200 0 074 A000400 4616 074 B000400 611552 074 C000400 1047159 074 D000400 3020069 074 E000400 0 074 F000400 14079018 074 G000400 0 074 H000400 0 074 I000400 0 074 J000400 176927 074 K000400 0 074 L000400 61732 074 M000400 103 074 N000400 19001176 074 O000400 30080 074 P000400 1342 074 Q000400 0 074 R010400 0 074 R020400 0 074 R030400 0 074 R040400 58796 074 S000400 0 074 T000400 18910958 074 U010400 582630 074 U020400 42455 074 V010400 30.26 074 V020400 30.10 074 W000400 0.0000 074 X000400 69762 074 Y000400 0 074 A000500 2520 074 B000500 28762 PAGE 38 074 C000500 0 074 D000500 0 074 E000500 0 074 F000500 1718091 074 G000500 0 074 H000500 0 074 I000500 0 074 J000500 19657 074 K000500 0 074 L000500 34116 074 M000500 31 074 N000500 1803177 074 O000500 7148 074 P000500 214 074 Q000500 0 074 R010500 0 074 R020500 0 074 R030500 0 074 R040500 2950 074 S000500 0 074 T000500 1792865 074 U010500 120912 074 U020500 195 074 V010500 14.80 074 V020500 14.73 074 W000500 0.0000 074 X000500 24663 074 Y000500 0 074 A000600 0 074 B000600 231083 074 C000600 0 074 D000600 0 074 E000600 0 074 F000600 3423279 074 G000600 0 074 H000600 0 074 I000600 0 074 J000600 18123 074 K000600 0 074 L000600 6276 074 M000600 37 074 N000600 3678798 074 O000600 36532 074 P000600 342 074 Q000600 0 074 R010600 0 074 R020600 0 074 R030600 0 074 R040600 7248 074 S000600 0 074 T000600 3634676 PAGE 39 074 U010600 108719 074 U020600 428 074 V010600 33.30 074 V020600 33.14 074 W000600 0.0000 074 X000600 36668 074 Y000600 0 074 A000700 2415 074 B000700 50366 074 C000700 0 074 D000700 18399 074 E000700 0 074 F000700 2242924 074 G000700 0 074 H000700 0 074 I000700 0 074 J000700 1376 074 K000700 0 074 L000700 64021 074 M000700 33 074 N000700 2379534 074 O000700 4887 074 P000700 246 074 Q000700 0 074 R010700 0 074 R020700 0 074 R030700 0 074 R040700 2480 074 S000700 0 074 T000700 2371921 074 U010700 91753 074 U020700 1440 074 V010700 25.46 074 V020700 24.88 074 W000700 0.0000 074 X000700 40343 074 Y000700 0 074 A000800 546 074 B000800 44366 074 C000800 0 074 D000800 0 074 E000800 0 074 F000800 741955 074 G000800 0 074 H000800 0 074 I000800 0 074 J000800 0 074 K000800 0 074 L000800 14869 074 M000800 29 074 N000800 801765 PAGE 40 074 O000800 11564 074 P000800 79 074 Q000800 0 074 R010800 0 074 R020800 0 074 R030800 0 074 R040800 658 074 S000800 0 074 T000800 789464 074 U010800 58021 074 U020800 0 074 V010800 13.61 074 V020800 0.00 074 W000800 0.0000 074 X000800 16343 074 Y000800 0 075 A000100 0 075 B000100 7581791 075 A000200 0 075 B000200 11552530 075 A000400 0 075 B000400 18911182 075 A000500 0 075 B000500 1647571 075 A000600 0 075 B000600 3344099 075 A000700 0 075 B000700 2190429 075 A000800 0 075 B000800 652284 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 PAGE 41 086 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 wlt10f3.htm COMPLIANCE MEMO - WALTER ENERGY, INC. Unassociated Document
 
 
 
Harris Associates L.P.
Two North LaSalle St.
Chicago, IL 60602
USA
Tel:   312.621.0555
Fax:  312-621-0636
www.harrisassoc.com



Harris Associates L.P.

Compliance Memo




Date:
April 4, 2013
To:
D. J. Gorman, HAIT CCO
From:
Colin P. McFarland and Robert Reey
Subject:
Acquisition of Walter Energy, Inc. corporate bonds  through a Rule 144A offering to Qualified Institutional Buyers


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 March 22, 2013, the Oakmark Equity & Income Fund purchased $5,000,000 par value of Walter Energy, Inc. Senior Unsecured bonds, representing approximately 1.1% of the 450,000,000 shares offered.  Natixis Securities America (“NSA”), an affiliate of the Adviser, was a Senior Co-manager entitled to a selling concession/gross spread.  NSA did not receive an underwriting concession/gross spread 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, as applicable.

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

PRELIMINARY DRAFT – FOR DISCUSSION PURPOSES ONLY

 
 
 

EX-99.77O RULE 10F-3 3 exhwlt10f3.htm EXHIBIT 10F-3 - WALTER ENERGY, INC. Unassociated Document
 
 
 

10f-3 Exhibit                                                                                                Compliance Detail

Issuer Name + CUSIP
 Walter Energy – 93317QAE5
Trade Date
March 22, 2013
List of Underwriters
Joint Book-Running Managers:
Morgan Stanly, Barclays, BofA Merrill Lynch, Citigroup, Credit Agricole CIB
Senior Co-Managers:
Scotiabank, J.P. Morgan, Natixis
Co-Managers:
BB&T Capital Markets, Comerica Securities, Goldman Sachs & Co., ING, Mitsubishi UFJ Securities, Mizuho Securities, Raymond James, RBC Capital Markets, Regions Securities LLC, TD Securities.
Was the security:  33 Act Registration, Eligible Municipal Security, Eligible Government Offering, Foreign Offering, or Eligible 144A Offering
Yes – Eligible 144A Offering
Was security offered under a firm commitment underwriting (Must be ‘YES’)
Yes
Is an affiliated b/d a Sr. Manager or Co-Manager?
Yes
If yes, did the affiliate benefit directly or indirectly (Must be NO)
No
Name of Affiliate:
Natixis Securities America
Underwriter (s) or Dealer(s) from Whom Purchased (Non-affiliates):
MSCO: Morgan Stanley
 
Sector or Industry:
Diversified Metals and Mining
Date of First Offering:
March 27, 2013
Ratings:
Moodys: B3  S&P: B
Maturity Date:
04/15/2021
Coupon:
8.5%
Unit Price:
100% and accrued interest, if any.
Gross Underwriting Spread
1.715%
Gross Spread as a % of Price:
1.715%
Yield:
8.5%
Yield to Maturity
7.96% as of 04/04/2013
Principal Amount of Offering:
$450,000,000
Subordination Features:
pari passu in right of payment with all of the Issuer’s
and the guarantors’ existing and future senior indebtedness;
Years of Continued Operation:
25+
   
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
 
 
 
1%

LIST EACH PARTICIPATING FUND
Percent of Offering
Purchased by Fund
Dollar Value of Offering
Purchased by Fund
Oakmark Equity & Income Fund
1.1%
$5,000,000
Total Purchased for Oakmark Funds which Harris Associates L.P. manages
1.1%
$5,000,000
Total Percent Purchased by all Funds and private advisory accounts over which Harris Associates L.P. has investment discretion.
1.1%
$5,000,000