0001410368-15-001390.txt : 20151125
0001410368-15-001390.hdr.sgml : 20151125
20151125120243
ACCESSION NUMBER: 0001410368-15-001390
CONFORMED SUBMISSION TYPE: NSAR-B
PUBLIC DOCUMENT COUNT: 4
CONFORMED PERIOD OF REPORT: 20150930
FILED AS OF DATE: 20151125
DATE AS OF CHANGE: 20151125
EFFECTIVENESS DATE: 20151125
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: HARRIS ASSOCIATES INVESTMENT TRUST
CENTRAL INDEX KEY: 0000872323
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FISCAL YEAR END: 0930
FILING VALUES:
FORM TYPE: NSAR-B
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-06279
FILM NUMBER: 151255103
BUSINESS ADDRESS:
STREET 1: HARRIS ASSOCIATES LP
STREET 2: 111 S. WACKER DRIVE, SUITE 4600
CITY: CHICAGO
STATE: IL
ZIP: 60606
BUSINESS PHONE: 8004769625
MAIL ADDRESS:
STREET 1: HARRIS ASSOCIATES LP
STREET 2: 111 S. WACKER DRIVE, SUITE 4600
CITY: CHICAGO
STATE: IL
ZIP: 60606
0000872323
S000002758
Oakmark Fund
C000007554
Class I
OAKMX
C000007555
Class II
OARMX
0000872323
S000002759
Oakmark Select Fund
C000007556
Class I
OAKLX
C000007557
Class II
OARLX
0000872323
S000002760
Oakmark Equity and Income Fund
C000007558
Class I
OAKBX
C000007559
Class II
OARBX
0000872323
S000002761
Oakmark Global Fund
C000007560
Class I
OAKGX
C000007561
Class II
OARGX
0000872323
S000002762
Oakmark International Fund
C000007562
Class I
OAKIX
C000007563
Class II
OARIX
0000872323
S000002763
Oakmark International Small Cap Fund
C000007564
Class I
OAKEX
C000007565
Class II
OAREX
0000872323
S000013607
Oakmark Global Select Fund
C000036890
Class I
OAKWX
C000036891
Class II
OARWX
NSAR-B
1
oakmarkfund.fil
PAGE 1
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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
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PAGE 2
012 A00AA01 BOSTON FINANCIAL DATA SERVICES, INC.
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012 C01AA01 QUINCY
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PAGE 3
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PAGE 4
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PAGE 5
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PAGE 6
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PAGE 7
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PAGE 8
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PAGE 9
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PAGE 10
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PAGE 11
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PAGE 12
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PAGE 14
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030 A00AA00 0
030 B00AA00 0.00
030 C00AA00 0.00
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PAGE 16
036 B00AA00 0
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037 000200 N
037 000400 N
037 000500 Y
037 000600 N
037 000700 N
037 000800 N
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038 000600 0
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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
042 B00AA00 0
042 C00AA00 0
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045 000100 Y
045 000200 Y
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045 000500 Y
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045 000700 Y
045 000800 Y
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046 000200 N
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046 000500 N
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PAGE 17
046 000700 N
046 000800 N
047 000100 Y
047 000200 Y
047 000400 Y
047 000500 Y
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PAGE 18
048 J010200 0
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PAGE 19
048 A010600 1000000
048 A020600 1.000
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PAGE 20
048 C020800 0.875
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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
053 A000500 N
053 A000600 N
053 A000700 N
PAGE 21
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
054 C000500 Y
054 D000500 N
054 E000500 N
PAGE 22
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
054 I000800 N
054 J000800 Y
054 K000800 N
PAGE 23
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 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
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060 A000200 Y
060 B000200 Y
060 A000400 Y
PAGE 24
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
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062 E00AA00 0.0
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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
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062 O00AA00 0.0
062 P00AA00 0.0
062 Q00AA00 0.0
062 R00AA00 0.0
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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
PAGE 25
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
068 B000500 Y
068 A000600 N
068 B000600 N
PAGE 26
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
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070 D010100 Y
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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
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070 A020200 Y
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PAGE 27
070 C010200 Y
070 C020200 N
070 D010200 Y
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070 E010200 N
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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
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070 O020200 N
070 P010200 Y
070 P020200 N
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070 Q020200 N
070 R010200 Y
070 R020200 N
070 A010400 Y
070 A020400 Y
070 B010400 Y
070 B020400 N
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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
PAGE 28
070 J020400 Y
070 K010400 Y
070 K020400 N
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070 L020400 Y
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070 P010400 Y
070 P020400 N
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070 Q020400 N
070 R010400 Y
070 R020400 N
070 A010500 Y
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070 D020500 N
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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
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070 P020500 N
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070 Q020500 N
PAGE 29
070 R010500 Y
070 R020500 N
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070 B010600 Y
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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
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070 J020600 N
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070 K020600 N
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PAGE 30
070 G020700 N
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PAGE 31
070 O010800 Y
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PAGE 32
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PAGE 33
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PAGE 34
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PAGE 35
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PAGE 36
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PAGE 37
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PAGE 38
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PAGE 39
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PAGE 40
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PAGE 41
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SIGNATURE JOHN KANE
TITLE TREASURER
EX-99.77B ACCT LTTR
2
ex77b.txt
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, 2015, 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 a 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, 2015.
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
November 17, 2015
EX-99.77O RULE 10F-3
3
ex77o.txt
10f-3 Exhibit
Compliance Detail
Issuer Name + CUSIP
Goldman Sachs Floating Rate Notes due 2017 -
38148LAD8
Trade Date
May 22, 2015
List of Underwriters
Sole Manager:
Goldman, Sachs & Co
Co-Managers:
ABN AMRO Securities (USA) LLC
Banca IMI SpA
BB&T Capital Markets, a division of BB&T Securities,
LLC
BBVA Securities Inc
BNY Mellon Capital Markets, LLC
Capital One Securities, Inc
Fifth Third Securities, Inc
ING Financial Markets LLC
KeyBanc Capital Markets Inc
Lloyds Securities Inc
Mizuho Securities USA Inc
Natixis Securities Americas LLC
PNC Capital Markets LLC
RBC Capital Markets, LLC
Santander Investment Securities Inc
Scotia Capital (USA) Inc
SMBC Nikko Securities America, Inc
SunTrust Robinson Humphrey, Inc
TD Securities (USA) LLC
UniCredit Capital Markets LLC
US Bancorp Investments, Inc
Drexel Hamilton, LLC
Loop Capital Markets, LLC
Mischler Financial Group, Inc
Samuel A Ramirez & Company, Inc.
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 LLC
Underwriter (s) or Dealer(s) from Whom
Purchased (Non-affiliates):
Goldman Sachs
Sector or Industry:
Sector: Financials, Industry: Diversified Financials
Date of First Offering:
05-22-2015
Ratings:
S&P: A-, Fitch: Ae, Moodys: A3
Maturity Date:
May 22, 2017
Coupon:
6.25%
Unit Price:
100.000% of the principal amount
Gross Underwriting Spread
0.67% per annum
Gross Spread as a % of Price:
..9535
Yield:
1.087
Yield to Maturity
1.0865 as of 05/28/15
Principal Amount of Offering:
$750,000,000
Subordination Features:
None
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
0.67%
LIST EACH PARTICIPATING FUND
Percent of Offering
Purchased by Fund
Dollar Value of Offering
Purchased by Fund
Oakmark Equity & Income
Fund
0.67%
$5,000,000.00
Total Purchased for Oakmark Funds
which Harris Associates L.P. manages
0.67%
$5,000,000.00
Total Percent Purchased by all Funds and
private advisory accounts over which
Harris Associates L.P. has investment
discretion.
0.67%
$5,000,000.00
EX-99.77O RULE 10F-3
4
ex77o2.txt
Date: May 29, 2015
To: D. J. Gorman, HAIT CCO
From: Colin P. McFarland and Robert
Reey
Subject: Acquisition of Goldman Sachs
Floating Rate 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 May 22, 2015, the Oakmark Equity & Income
Fund purchased $5,000,000 of Goldman Sachs 2
Year Floating Rate Notes due May 22, 2017,
representing 0.67% of the $750,000,000
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
? 312.646.3600 ? harrisassoc.com