0000897436-14-001009.txt : 20141125 0000897436-14-001009.hdr.sgml : 20141125 20141125151622 ACCESSION NUMBER: 0000897436-14-001009 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20140930 FILED AS OF DATE: 20141125 DATE AS OF CHANGE: 20141125 EFFECTIVENESS DATE: 20141125 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HARRIS ASSOCIATES INVESTMENT TRUST CENTRAL INDEX KEY: 0000872323 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-06279 FILM NUMBER: 141249351 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 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K020200 0.795 048 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 0 048 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 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 PAGE 19 048 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 0 048 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 PAGE 20 048 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 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 PAGE 21 053 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 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 PAGE 22 054 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 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 PAGE 23 054 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 N 055 B000200 N 055 A000400 Y 055 B000400 N 055 A000500 Y 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 PAGE 24 060 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 0.0 062 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 PAGE 25 066 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 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 PAGE 26 068 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 Y 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 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 Y 070 A010200 Y PAGE 27 070 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 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 PAGE 28 070 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 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 PAGE 29 070 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 Y 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 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 PAGE 30 070 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 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 PAGE 31 070 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 6575617 071 B000100 3107451 071 C000100 12561508 071 D000100 25 071 A000200 184302500 071 B000200 11240423 071 C000200 28522000 071 D000200 39 071 A000400 2954403 071 B000400 5538033 071 C000400 16246833 071 D000400 18 071 A000500 1805954 071 B000500 983221 071 C000500 2605379 071 D000500 38 071 A000600 2704942 071 B000600 1727449 071 C000600 4648371 071 D000600 37 071 A000700 1446248 071 B000700 1024731 071 C000700 3324923 071 D000700 31 071 A000800 1060752 071 B000800 378590 071 C000800 1601327 071 D000800 24 072 A000100 12 072 B000100 134 072 C000100 220567 072 D000100 0 072 E000100 0 072 F000100 100973 072 G000100 0 072 H000100 0 072 I000100 13237 072 J000100 538 072 K000100 0 072 L000100 1001 PAGE 32 072 M000100 398 072 N000100 1198 072 O000100 0 072 P000100 0 072 Q000100 0 072 R000100 43 072 S000100 76 072 T000100 0 072 U000100 0 072 V000100 0 072 W000100 379 072 X000100 117843 072 Y000100 0 072 Z000100 102858 072AA000100 1119337 072BB000100 0 072CC010100 1047395 072CC020100 0 072DD010100 58384 072DD020100 403 072EE000100 477465 072 A000200 12 072 B000200 630 072 C000200 797755 072 D000200 0 072 E000200 15663 072 F000200 245916 072 G000200 0 072 H000200 0 072 I000200 27783 072 J000200 8473 072 K000200 0 072 L000200 2218 072 M000200 537 072 N000200 1858 072 O000200 0 072 P000200 0 072 Q000200 0 072 R000200 141 072 S000200 130 072 T000200 0 072 U000200 0 072 V000200 0 072 W000200 568 072 X000200 287624 072 Y000200 0 072 Z000200 526424 072AA000200 1542589 072BB000200 0 072CC010200 0 072CC020200 2504051 PAGE 33 072DD010200 443291 072DD020200 6083 072EE000200 303100 072 A000400 12 072 B000400 91433 072 C000400 235627 072 D000400 0 072 E000400 65 072 F000400 135014 072 G000400 0 072 H000400 0 072 I000400 18443 072 J000400 838 072 K000400 0 072 L000400 471 072 M000400 461 072 N000400 437 072 O000400 0 072 P000400 0 072 Q000400 0 072 R000400 48 072 S000400 81 072 T000400 0 072 U000400 0 072 V000400 0 072 W000400 451 072 X000400 156244 072 Y000400 0 072 Z000400 170881 072AA000400 1849908 072BB000400 0 072CC010400 0 072CC020400 34603 072DD010400 90716 072DD020400 1788 072EE000400 1482357 072 A000500 12 072 B000500 0 072 C000500 65161 072 D000500 0 072 E000500 816 072 F000500 30353 072 G000500 0 072 H000500 0 072 I000500 3871 072 J000500 1076 072 K000500 0 072 L000500 300 072 M000500 204 072 N000500 236 072 O000500 0 PAGE 34 072 P000500 0 072 Q000500 0 072 R000500 51 072 S000500 42 072 T000500 0 072 U000500 0 072 V000500 0 072 W000500 222 072 X000500 36355 072 Y000500 0 072 Z000500 29622 072AA000500 207128 072BB000500 0 072CC010500 0 072CC020500 330279 072DD010500 77487 072DD020500 104 072EE000500 0 072 A000600 12 072 B000600 0 072 C000600 46394 072 D000600 0 072 E000600 68 072 F000600 42550 072 G000600 0 072 H000600 0 072 I000600 3701 072 J000600 225 072 K000600 0 072 L000600 233 072 M000600 292 072 N000600 459 072 O000600 0 072 P000600 0 072 Q000600 0 072 R000600 25 072 S000600 49 072 T000600 0 072 U000600 0 072 V000600 0 072 W000600 258 072 X000600 47792 072 Y000600 0 072 Z000600 -1330 072AA000600 836600 072BB000600 0 072CC010600 189509 072CC020600 0 072DD010600 4243 072DD020600 0 072EE000600 224856 PAGE 35 072 A000700 12 072 B000700 0 072 C000700 63113 072 D000700 0 072 E000700 413 072 F000700 33074 072 G000700 0 072 H000700 0 072 I000700 3179 072 J000700 645 072 K000700 0 072 L000700 197 072 M000700 212 072 N000700 217 072 O000700 0 072 P000700 0 072 Q000700 0 072 R000700 50 072 S000700 43 072 T000700 0 072 U000700 0 072 V000700 0 072 W000700 229 072 X000700 37846 072 Y000700 0 072 Z000700 25680 072AA000700 210668 072BB000700 0 072CC010700 0 072CC020700 37823 072DD010700 77231 072DD020700 893 072EE000700 56786 072 A000800 12 072 B000800 0 072 C000800 34096 072 D000800 0 072 E000800 399 072 F000800 16564 072 G000800 0 072 H000800 0 072 I000800 1415 072 J000800 292 072 K000800 0 072 L000800 130 072 M000800 136 072 N000800 245 072 O000800 0 072 P000800 0 072 Q000800 0 072 R000800 27 PAGE 36 072 S000800 38 072 T000800 0 072 U000800 0 072 V000800 0 072 W000800 203 072 X000800 19050 072 Y000800 0 072 Z000800 15445 072AA000800 63040 072BB000800 0 072CC010800 29932 072CC020800 0 072DD010800 11545 072DD020800 0 072EE000800 22884 073 A010100 0.3214 073 A020100 0.2169 073 B000100 2.6018 073 C000100 0.0000 073 A010200 0.4362 073 A020200 0.3621 073 B000200 0.2934 073 C000200 0.0000 073 A010400 0.1660 073 A020400 0.0500 073 B000400 2.5457 073 C000400 0.0000 073 A010500 0.5525 073 A020500 0.5070 073 B000500 0.0000 073 C000500 0.0000 073 A010600 0.0403 073 A020600 0.0000 073 B000600 2.1275 073 C000600 0.0000 073 A010700 0.7528 073 A020700 0.6589 073 B000700 0.5463 073 C000700 0.0000 073 A010800 0.1350 073 A020800 0.2676 073 B000800 0.0000 073 C000800 0.0000 074 A000100 1122 074 B000100 715247 074 C000100 500119 074 D000100 0 074 E000100 0 074 F000100 15499218 074 G000100 0 074 H000100 0 PAGE 37 074 I000100 0 074 J000100 42086 074 K000100 0 074 L000100 61047 074 M000100 1 074 N000100 16818840 074 O000100 93933 074 P000100 1024 074 Q000100 0 074 R010100 0 074 R020100 40991 074 R030100 0 074 R040100 22793 074 S000100 0 074 T000100 16660099 074 U010100 240877 074 U020100 2503 074 V010100 68.46 074 V020100 68.18 074 W000100 0.0000 074 X000100 112413 074 Y000100 0 074 A000200 32 074 B000200 605570 074 C000200 450027 074 D000200 0 074 E000200 0 074 F000200 28918720 074 G000200 0 074 H000200 0 074 I000200 0 074 J000200 197313 074 K000200 0 074 L000200 365412 074 M000200 2 074 N000200 30537076 074 O000200 179891 074 P000200 2173 074 Q000200 0 074 R010200 0 074 R020200 0 074 R030200 0 074 R040200 56496 074 S000200 0 074 T000200 30298516 074 U010200 1190093 074 U020200 21496 074 V010200 25.01 074 V020200 25.07 074 W000200 0.0000 074 X000200 174963 PAGE 38 074 Y000200 0 074 A000400 0 074 B000400 1117049 074 C000400 3674728 074 D000400 2696964 074 E000400 0 074 F000400 13063364 074 G000400 0 074 H000400 0 074 I000400 0 074 J000400 5333 074 K000400 0 074 L000400 71077 074 M000400 2 074 N000400 20628517 074 O000400 49417 074 P000400 1164 074 Q000400 0 074 R010400 0 074 R020400 0 074 R030400 0 074 R040400 28025 074 S000400 0 074 T000400 20549911 074 U010400 576366 074 U020400 34640 074 V010400 33.65 074 V020400 33.41 074 W000400 0.0000 074 X000400 61105 074 Y000400 0 074 A000500 1553 074 B000500 95999 074 C000500 0 074 D000500 0 074 E000500 0 074 F000500 2800710 074 G000500 0 074 H000500 0 074 I000500 0 074 J000500 6392 074 K000500 0 074 L000500 38137 074 M000500 1 074 N000500 2942792 074 O000500 22564 074 P000500 287 074 Q000500 0 074 R010500 0 074 R020500 0 074 R030500 0 PAGE 39 074 R040500 6694 074 S000500 0 074 T000500 2913247 074 U010500 177645 074 U020500 201 074 V010500 16.38 074 V020500 16.26 074 W000500 0.0000 074 X000500 62228 074 Y000500 0 074 A000600 0 074 B000600 505204 074 C000600 0 074 D000600 0 074 E000600 0 074 F000600 5777868 074 G000600 0 074 H000600 0 074 I000600 0 074 J000600 37497 074 K000600 0 074 L000600 17411 074 M000600 1 074 N000600 6337981 074 O000600 67866 074 P000600 442 074 Q000600 0 074 R010600 0 074 R020600 0 074 R030600 0 074 R040600 6429 074 S000600 0 074 T000600 6263244 074 U010600 139542 074 U020600 551 074 V010600 44.71 074 V020600 44.32 074 W000600 0.0000 074 X000600 44415 074 Y000600 0 074 A000700 613 074 B000700 61153 074 C000700 0 074 D000700 0 074 E000700 0 074 F000700 3454659 074 G000700 0 074 H000700 0 074 I000700 0 074 J000700 18751 074 K000700 0 PAGE 40 074 L000700 31837 074 M000700 1 074 N000700 3567014 074 O000700 16592 074 P000700 300 074 Q000700 0 074 R010700 0 074 R020700 0 074 R030700 0 074 R040700 4539 074 S000700 0 074 T000700 3545583 074 U010700 115473 074 U020700 1413 074 V010700 30.34 074 V020700 29.57 074 W000700 0.0000 074 X000700 49415 074 Y000700 0 074 A000800 4276 074 B000800 10616 074 C000800 0 074 D000800 0 074 E000800 0 074 F000800 1873925 074 G000800 0 074 H000800 0 074 I000800 0 074 J000800 50902 074 K000800 0 074 L000800 13630 074 M000800 1 074 N000800 1953350 074 O000800 13624 074 P000800 165 074 Q000800 0 074 R010800 0 074 R020800 0 074 R030800 0 074 R040800 2269 074 S000800 0 074 T000800 1937292 074 U010800 116463 074 U020800 0 074 V010800 16.63 074 V020800 0.00 074 W000800 0.0000 074 X000800 22526 074 Y000800 0 075 A000100 0 075 B000100 13511477 PAGE 41 075 A000200 0 075 B000200 29942526 075 A000400 0 075 B000400 20473574 075 A000500 0 075 B000500 2768034 075 A000600 0 075 B000600 5001222 075 A000700 0 075 B000700 3392952 075 A000800 0 075 B000800 1628863 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 B000000 Y 077 O000000 Y 078 000000 N 080 A00AA00 Federal Insurance Company 080 C00AA00 10000 081 A00AA00 N 081 B00AA00 0 082 A00AA00 Y 082 B00AA00 25 083 A00AA00 N 083 B00AA00 0 084 A00AA00 N 084 B00AA00 0 085 A00AA00 Y 085 B00AA00 N 086 A010000 0 086 A020000 0 086 B010000 0 086 B020000 0 086 C010000 0 086 C020000 0 086 D010000 0 086 D020000 0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 SIGNATURE JOHN KANE TITLE TREASURER EX-99.77B ACCT LTTR 2 deloitte.htm AUDIT LETTER Unassociated Document
 
 
 


 
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
 
 
To the Board of Trustees and Shareholders of Harris Associates Investment Trust:
 
 
In planning and performing our audits of the financial statements of Harris Associates Investment Trust (the “Trust”), comprised of Oakmark Fund, Oakmark Select Fund, Oakmark Equity and Income Fund, Oakmark Global Fund, Oakmark Global Select Fund, Oakmark International Fund, and Oakmark International Small Cap Fund, as of and for the year ended September 30, 2014, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Trust’s internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, but not for the purpose of expressing an opinion on the effectiveness of the Trust’s internal control over financial reporting. Accordingly, we express no such opinion.
 
 
The management of the Trust is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A fund’s internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A fund’s internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the fund; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the fund are being made only in accordance with authorizations of management and trustees of the fund; and
 
 
(3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use, or disposition of a fund’s assets that could have a material effect on the financial statements.
 
 
Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions or that the degree of compliance with the policies or procedures may deteriorate.
 
 
A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the fund’s annual or interim financial statements will not be prevented or detected on a timely basis.
 
 
Our consideration of the Trust’s internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Trust’s internal control over financial reporting and their operations, including controls for safeguarding securities that we consider to be a material weakness, as defined above, as of September 30, 2014.
 
 
This report is intended solely for the information and use of management, the Board of Trustees of Harris Associates Investment Trust and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.
 
/s/ DELOITTE & TOUCHE LLP

Chicago, Illinois
November 20, 2014


 
 
 

EX-99.77O RULE 10F-3 3 cs1.htm 10F3 LETTER Unassociated Document
 
 
 

Harris Associates

Compliance Memo

Date:           June 27, 2014
To:           D. J. Gorman, HAIT CCO
From:           Colin P. McFarland and Robert Reey

Subject:       Acquisition of Credit Suisse Tier 1 Captial Notes 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 June 11, 2014, the Oakmark Equity & Income Fund purchased $7 M of 6.25 Tier 1 Capital
Perpetual Preferred Notes, representing approximately .28% of the $2,500,000,000 offered.
Natixis Securities America (“NSA”), an affiliate of the Adviser, was a 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.
























111 South Wacker Drive, Suite 4600, Chicago, Illinois 60606 Ÿ 312.646.3600 Ÿ harrisassoc.com

 
 
 

EX-99.77O RULE 10F-3 4 cspric.htm 10F3 LETTER Unassociated Document
 
 
 


Pricing Notification
CREDIT SUISSE GROUP AG
U.S. $2,500,000,000 6.25 per cent. Tier 1 Capital Notes

PRICING NOTIFICATION
11 June 2014

The information in this Pricing Notification supplements the Issuer’s preliminary information memorandum dated 10 June 2014 (the “Preliminary Information Memorandum”) and supersedes the information therein to the extent that there are any inconsistencies.

Terms not otherwise defined herein shall have the meaning given to them in the Preliminary Information Memorandum.

The Notes have not been and will not be registered under the U.S. Securities Act of 1933, as amended (the “Securities Act”) and, subject to certain exceptions, may not be offered or sold within the United States or to, or for the account or benefit of, U.S. persons (as defined in Regulation S under the Securities Act (“Regulation S”)). The Notes are being offered and sold outside the United States to non-U.S. persons in reliance on Regulation S and within the United States to “qualified institutional buyers” (“QIBs”) (as defined in Rule 144A under the Securities Act (“Rule 144A”)) in reliance on Rule 144A or another available exemption from, or in a transaction not subject to, the registration requirements of the Securities Act. Prospective purchasers are hereby notified that sellers of the Notes may be relying on the exemption from the provisions of Section 5 of the Securities Act provided by Rule 144A. For a description of these and certain further restrictions on offers, sales and transfers of the Notes and the distribution of the Preliminary Information Memorandum and this document, see “Transfer Restrictions and Selling Restrictions” in the Preliminary Information Memorandum.

The distribution of this Pricing Notification, the Preliminary Information Memorandum and other information in connection with the listing and offer in certain jurisdictions may be restricted by law and therefore persons into whose possession any document or other information referred to herein comes should inform themselves about and observe any such restrictions. Any failure to comply with these restrictions could result in a violation of the laws of such jurisdiction. This Pricing Notification may only be distributed in the United States to persons reasonably believed to be QIBs.

This Pricing Notification is being distributed to and is only directed at (a) persons outside the United Kingdom, (b) persons who have professional experience in matters relating to investments who fall within Article 19(5) of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (the “Order”) or (c) high net worth companies, and other persons to whom it may otherwise lawfully be communicated, falling within Article 49(2)(a) to (d) of the Order (all such persons together being referred to as “relevant persons”). The Notes are only available to, and any invitation, offer or agreement to subscribe, purchase or otherwise acquire such Notes will be engaged in only with, relevant persons. No other person should rely on this document or any of its contents.

This Pricing Notification is an advertisement and is not a prospectus for the purposes of Directive 2003/71/EC (such directive, together with any applicable implementing measures in the relevant home Member State under such Directive, the “Prospectus Directive”). Investors should not subscribe for any Notes referred to in this document except on the basis of information contained in this Pricing Notification and the Preliminary Information Memorandum.
 
 
   
Issuer:
Expected Ratings:
Credit Suisse Group AG
Fitch: BB+
Standard & Poor’s: BB
Issue Size:
U.S.$2,500,000,000
Trade Date:
11 June 2014
Issue Date:
18 June 2014
Maturity Date:
The Notes are perpetual securities and have no fixed or final redemption date unless previously redeemed, purchased and cancelled or written-down and cancelled
Optional Redemption Date:
18 December 2024 at par, and every 5 years thereafter
Reset Dates:
18 December 2024 and every 5 years thereafter
Coupon:
The Notes will bear interest at an initial rate of 6.25 per cent. per annum from (and including) the Issue Date to (but excluding) the First Optional Redemption Date, and thereafter at the applicable Reset Interest Rate, based on the Mid Market Swap Rate plus 3.455 per cent. payable semi-annually in arrears on 18 June and 18 December in each year
Issue Price:
100%
Day count fraction:
30/360
Redemption Provisions:
At their principal amount plus accrued but unpaid interest thereon on the First Optional Redemption Date or on any Reset Date thereafter
Tax Event Redemption:
At their principal amount plus accrued but unpaid interest thereon
Capital Event Redemption:
(i) at their principal amount plus accrued but unpaid interest thereon, if the event described in paragraph (a) of the definition of Capital Event occurs; or
(ii) at the Capital Event (b) Redemption Amount (being 103% per cent. of their principal amount) plus accrued but unpaid interest thereon, if the event described in paragraph (b) of the definition of Capital Event occurs
Interest Payment Dates:
18 June and 18 December in each year beginning on 18 December 2014, subject to provisions on redemption, purchase and cancellation or write-down and cancellation
Distribution:
Rule 144A / Regulation S
Expected Listing:
SIX Swiss Exchange
Governing Law:
Swiss Law
Denominations:
U.S.$200,000 and integral multiples of U.S.$1,000 in excess thereof
Form of Notes:
Registered
ISIN / CUSIP:
Regulation S: ISIN: XS1076957700
CUSIP: H3698D AL8
Rule 144A: ISIN: US225436AA21
CUSIP: 225436 AA2
Registrar:
Citigroup Global Markets Deutschland AG
Sole Book-Running Manager:
Credit Suisse Securities (Europe) Limited
Joint Lead Managers:
Banca IMI S.p.A., Banco Bilbao Vizcaya Argentaria S.A., Credit Agricole Securities (USA) Inc., HSBC Securities (USA) Inc., ING Financial Markets LLC, RBC Capital Markets, LLC, Santander Investments Securities Inc., UniCredit Bank AG and Wells Fargo Securities, LLC
Co-Managers
Australia and New Zealand Banking Group Limited, Banco Bradesco BBI S.A., Banco Comercial Portugues, S.A., Banco Espírito Santo de Investimento, S.A., Barclays Capital Inc., BB Securities Limited, BMO Capital Markets Corp., BNP Paribas Securities Corp., BNY Mellon Capital Markets, LLC, Capital One Securities, Inc., Citigroup Global Markets Limited, Commerz Markets LLC, Commonwealth Bank of Australia, Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A. (trading as Rabobank International), Danske Bank A/S, DBS Bank Ltd., Fifth Third Securities, Inc., Lloyds Bank PLC, Morgan Stanley & Co. LLC, nabSecurities, LLC, Natixis Securities Americas LLC, Skandinaviska Enskilda Banken AB (publ.), Standard Chartered Bank, SunTrust Robinson Humphrey, Inc., Swedbank AB (publ), TD Securities (USA) LLC, United Overseas Bank Limited and U.S. Bancorp Investments, Inc.