0001410368-18-000792.txt : 20180525
0001410368-18-000792.hdr.sgml : 20180525
20180525105301
ACCESSION NUMBER: 0001410368-18-000792
CONFORMED SUBMISSION TYPE: NSAR-A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180331
FILED AS OF DATE: 20180525
DATE AS OF CHANGE: 20180525
EFFECTIVENESS DATE: 20180525
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-A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-06279
FILM NUMBER: 18860114
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
Investor Class
OAKMX
C000007555
Service Class
OARMX
C000174795
Advisor Class
OAYMX
C000174796
Institutional Class
OANMX
0000872323
S000002759
Oakmark Select Fund
C000007556
Investor Class
OAKLX
C000007557
Service Class
OARLX
C000174797
Advisor Class
OAYLX
C000174798
Institutional Class
OANLX
0000872323
S000002760
Oakmark Equity and Income Fund
C000007558
Investor Class
OAKBX
C000007559
Service Class
OARBX
C000174799
Advisor Class
OAYBX
C000174800
Institutional Class
OANBX
0000872323
S000002761
Oakmark Global Fund
C000007560
Investor Class
OAKGX
C000007561
Service Class
OARGX
C000174801
Advisor Class
OAYGX
C000174802
Institutional Class
OANGX
0000872323
S000002762
Oakmark International Fund
C000007562
Investor Class
OAKIX
C000007563
Service Class
OARIX
C000174803
Institutional Class
OANIX
C000174804
Advisor Class
OAYIX
0000872323
S000002763
Oakmark International Small Cap Fund
C000007564
Investor Class
OAKEX
C000007565
Service Class
OAREX
C000174805
Advisor Class
OAYEX
C000174806
Institutional Class
OANEX
0000872323
S000013607
Oakmark Global Select Fund
C000036890
Investor Class
OAKWX
C000036891
Service Class
OARWX
C000174807
Advisor Class
OAYWX
C000174808
Institutional Class
OANWX
NSAR-A
1
answer.fil
PAGE 1
000 A000000 03/31/2018
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 3126463600
002 A000000 111 SOUTH WACKER DRIVE
002 B000000 CHICAGO
002 C000000 IL
002 D010000 60606
002 D020000 4319
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 60606
008 D04AA01 4319
PAGE 2
012 A00AA01 DST ASSET MANAGER SOLUTIONS, INC.
012 B00AA01 84-00896
012 C01AA01 Quincy
012 C02AA01 MA
012 C03AA01 02169
013 A00AA01 DELOITTE & TOUCHE LLP
013 B01AA01 CHICAGO
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013 B03AA01 60606
013 B04AA01 4301
014 A00AA01 AEW EUROPE SARL
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014 B00AA02 8-19988
014 A00AA03 LOOMIS, SAYLES DISTRIBUTORS, L.P.
014 B00AA03 8-49575
014 A00AA04 NATIXIS
014 B00AA04 8-12482
014 A00AA05 NATIXIS ASSET MANAGEMENT
014 B00AA05 8-10092
014 A00AA06 NATIXIS CORPORATE SOLUTIONS LIMITED
014 B00AA06 8-0000
014 A00AA07 NATIXIS FUNDING CORP.
014 B00AA07 8-0000
014 A00AA08 NATIXIS SECURITIES AMERICAS, LLC
014 B00AA08 8-0000
014 A00AA09 NEXGEN CAPITAL LTD
014 B00AA09 8-0000
014 A00AA10 CREDIT FONCIER DE FRANCE
014 B00AA10 8-0000
014 A00AA11 NATIXIS FINANCIAL PRODUCTS LLC.
014 B00AA11 8-0000
014 A00AA12 NGAM DISTRIBUTION, L.P.
014 B00AA12 8-0000
014 A00AA13 NATIXIS JAPAN SECURITIES CO., LTD.
014 B00AA13 8-0000
014 A00AA14 NATIXIS PFANDBRIEFBANK AG
014 B00AA14 8-0000
014 A00AA15 NATIXIS ASIA LIMITED (HONG KONG)
014 B00AA15 8-0000
014 A00AA16 NGAM SWITZERLAND SARL
014 B00AA16 8-0000
014 A00AA17 NATIXIS ASSET MANAGEMENT FINANCE
014 B00AA17 8-0000
014 A00AA18 NATIXIS FUNDING S.A.
014 B00AA18 8-00000
014 A00AA19 DNCA COURTAGE
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014 A00AA20 NATIXIS STRUCTURED ISSUANCE
014 B00AA20 8-0000
015 A00AA01 STATE STREET BANK & TRUST COMPANY
PAGE 3
015 B00AA01 C
015 C01AA01 BOSTON
015 C02AA01 MA
015 C03AA01 02116
015 C04AA01 9130
015 E01AA01 X
015 A00AA02 UNICREDIT BANK AUSTRIA AG
015 B00AA02 S
015 C01AA02 VIENNA
015 D01AA02 AUSTRIA
015 D02AA02 A -1090
015 E04AA02 X
015 A00AA03 HONGKONG AND SHANGHAI BANKING CORP LTD.
015 B00AA03 S
015 C01AA03 SYDNEY
015 D01AA03 AUSTRALIA
015 D02AA03 NSW 2000
015 E04AA03 X
015 A00AA04 DEUTSCHE BANK AG, NETHERLANDS
015 B00AA04 S
015 C01AA04 BRUSSELS
015 D01AA04 BELGIUM
015 D02AA04 1101 HE
015 E04AA04 X
015 A00AA05 CITIBANK N.A.
015 B00AA05 S
015 C01AA05 SAO PAULO
015 D01AA05 BRAZIL
015 D02AA05 01311-90
015 E04AA05 X
015 A00AA06 STATE STREET TRUST COMPANY CANADA
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015 C01AA06 TORONTO
015 D01AA06 CANADA
015 D02AA06 M5C 3G6
015 E04AA06 X
015 A00AA07 RBC INVESTOR SERVICES SECURITIES CAGE
015 B00AA07 S
015 C01AA07 TORONTO
015 D01AA07 CANADA
015 E04AA07 X
015 A00AA08 CLEARSTREAM BANKING SA
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015 C01AA08 LUXEMBOURG
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PAGE 4
015 D02AA09 8048
015 E04AA09 X
015 A00AA10 ITAU CORPBANCA S.A.
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015 C01AA10 SANTIAGO
015 D01AA10 CHILE
015 E04AA10 X
015 A00AA11 HSBC BANK (CHINA) COMPANY LIMITED
015 B00AA11 S
015 C01AA11 SHANGHAI
015 D01AA11 CHINA
015 D02AA11 200120
015 E04AA11 X
015 A00AA12 HSBC BANK (CHINA) COMPANY LIMITED
015 B00AA12 S
015 C01AA12 SHENZHEN
015 D01AA12 CHINA
015 E04AA12 X
015 A00AA13 UNICREDIT BANK CZECH REPUBLIC & SLOVAKIA
015 B00AA13 S
015 C01AA13 PRAHA
015 D01AA13 CZECH REPUBLIC
015 E04AA13 X
015 A00AA14 SKANDINAVISKA ENSKILDA BANKEN AB
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015 C01AA14 COPENHAGEN
015 D01AA14 DENMARK
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015 E04AA14 X
015 A00AA15 AS SEB PANK
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015 C01AA15 TALLINN
015 D01AA15 ESTONIA
015 D02AA15 15010
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015 A00AA16 DEUTSCHE BANK SAE
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015 D01AA16 SPAIN
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PAGE 5
015 E04AA18 X
015 A00AA19 DEUTSCHE BANK AG, NETHERLANDS
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015 D01AA19 NETHERLANDS
015 D02AA19 1101 HE
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015 A00AA20 STATE STREET BANK & TRUST COMPANY
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015 C01AA20 EDINBURGH
015 D01AA20 SCOTLAND
015 D02AA20 EH5 2AW
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015 A00AA21 BNP PARIBAS SECURITIES SERVICES, S.C.A.
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015 A00AA22 STANDARD CHARTERED BANK (HONG KONG) LTD.
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015 A00AA23 UNICREDIT BANK HUNGARY ZRT.
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015 C01AA23 BUDAPEST
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015 D02AA23 H-1054
015 E04AA23 X
015 A00AA24 DEUTSCHE BANK AG
015 B00AA24 S
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015 D01AA25 ISRAEL
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PAGE 6
015 C01AA27 MILAN
015 D01AA27 ITALY
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015 A00AA28 MIZUHO BANK, LTD.
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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 13
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PAGE 14
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PAGE 15
028 A030700 0
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PAGE 16
028 G010800 539946
028 G020800 138556
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031 A00AA00 0
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032 00AA00 0
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034 000100 N
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PAGE 17
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
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040 000800 N
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PAGE 18
042 A000700 0
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PAGE 19
048 000100 0.000
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PAGE 20
048 C010400 2500000
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PAGE 21
048 E020600 0.800
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PAGE 22
048 H010800 0
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049 000100 N
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PAGE 23
053 C000700 N
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054 L000100 N
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054 F000200 N
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054 J000400 Y
054 K000400 N
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054 A000500 Y
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PAGE 24
054 C000500 Y
054 D000500 N
054 E000500 N
054 F000500 N
054 G000500 Y
054 H000500 Y
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054 J000500 Y
054 K000500 N
054 L000500 N
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054 N000500 N
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054 F000600 N
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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
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054 E000700 N
054 F000700 N
054 G000700 Y
054 H000700 Y
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054 J000700 Y
054 K000700 N
054 L000700 N
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PAGE 25
054 I000800 N
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PAGE 26
060 A000200 Y
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PAGE 27
062 O000200 0.0
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PAGE 28
062 L000600 0.0
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PAGE 29
063 A000600 0
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066 A000100 Y
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066 F000100 N
066 G000100 N
066 A000200 Y
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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
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066 F000600 N
066 G000600 N
066 A000700 Y
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066 D000700 N
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066 G000700 N
066 A000800 Y
066 B000800 N
066 C000800 Y
PAGE 30
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
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068 A000200 N
068 B000200 Y
068 A000400 N
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068 A000500 N
068 B000500 Y
068 A000600 N
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068 B000700 Y
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069 000100 N
069 000200 N
069 000400 N
069 000500 N
069 000600 N
069 000700 N
069 000800 N
070 A010100 Y
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070 F020100 N
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070 G020100 N
070 H010100 Y
070 H020100 N
070 I010100 Y
070 I020100 N
070 J010100 Y
PAGE 31
070 J020100 N
070 K010100 Y
070 K020100 N
070 L010100 Y
070 L020100 Y
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070 O010100 Y
070 O020100 N
070 P010100 Y
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070 A010200 Y
070 A020200 Y
070 B010200 Y
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070 C020200 N
070 D010200 Y
070 D020200 N
070 E010200 Y
070 E020200 N
070 F010200 Y
070 F020200 N
070 G010200 Y
070 G020200 N
070 H010200 Y
070 H020200 N
070 I010200 Y
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
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070 Q020200 N
PAGE 32
070 R010200 Y
070 R020200 N
070 A010400 Y
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070 B010400 Y
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070 C020400 N
070 D010400 Y
070 D020400 N
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070 E020400 N
070 F010400 Y
070 F020400 N
070 G010400 Y
070 G020400 N
070 H010400 Y
070 H020400 N
070 I010400 Y
070 I020400 N
070 J010400 Y
070 J020400 Y
070 K010400 Y
070 K020400 N
070 L010400 Y
070 L020400 Y
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070 M020400 N
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070 N020400 N
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070 O020400 N
070 P010400 Y
070 P020400 N
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070 Q020400 N
070 R010400 Y
070 R020400 N
070 A010500 Y
070 A020500 Y
070 B010500 Y
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070 C010500 Y
070 C020500 N
070 D010500 Y
070 D020500 N
070 E010500 Y
070 E020500 N
070 F010500 Y
070 F020500 N
070 G010500 Y
PAGE 33
070 G020500 N
070 H010500 Y
070 H020500 N
070 I010500 Y
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 Y
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070 D020600 N
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070 E020600 N
070 F010600 Y
070 F020600 N
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070 G020600 N
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070 H020600 N
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070 I020600 N
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070 J020600 N
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070 K020600 N
070 L010600 Y
070 L020600 Y
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070 M020600 N
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070 N020600 N
PAGE 34
070 O010600 Y
070 O020600 N
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070 P020600 N
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070 D020700 N
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070 E020700 N
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070 F020700 N
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070 H010700 Y
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070 I020700 N
070 J010700 Y
070 J020700 N
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070 K020700 N
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070 L020700 Y
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070 Q020700 N
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070 A020800 Y
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PAGE 35
070 D020800 N
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070 E020800 N
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070 F020800 N
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070 G020800 N
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070 H020800 N
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070 I020800 N
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070 J020800 N
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070 L020800 Y
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070 O020800 N
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070 Q020800 N
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070 R020800 N
071 A000100 2786486
071 B000100 2937852
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071 B000500 803032
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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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PAGE 46
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SIGNATURE JOHN KANE
TITLE TREASURER
EX-99.77O RULE 10F-3
2
10f3.txt
10f-3 Exhibit
Compliance Detail
Issuer Name + CUSIP
Goldman Sachs 3.20% Notes due 2023 - 38141GWT7
Trade Date
18-Jan-18
List of Underwriters
Sole Manager:
Goldman, Sachs & Co
Co-Managers:
ANZ Securities
BB&T Capital Markets
BBVA Securities
BMO Capital Markets
BNY Mellon Capital Markets, LLC
Capital One Securities
Commonwealth Bank of Australia
Fifth Third Securities
FTN Financial Securities Corp.
Huntington Capital Markets
ING
KeyBanc Capital Markets
Lloyds Securities
Mizuho Securities
Natixis
PNC Capital Markets LLC
RBC Capital Markets
Regions Securities LLC
Santander
Scotiabank
SMBC Nikko
Standard Chartered Bank
SunTrust Robinson Humphrey
TD Securities
UniCredit Capital Markets
US Bancorp
Westpac Capital Markets, LLC
CastleOak Securities, L.P.
Loop Capital Markets
Ramirez & Co., Inc.
The Williams Capital Group, L.P.
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 Americas LLC.
Underwriter (s) or Dealer(s) from Whom Purchased (Non-
affiliates):
Goldman Sachs
Sector or Industry:
Sector: Financials
Date of First Offering:
1/23/2018
Ratings:
S&P: BBB+, Fitch: A, Moodys: A3
Maturity Date:
23-Feb-23
Coupon:
3.20%
Unit Price:
99.951% of the principal amount
Gross Underwriting Spread
$6,125,000
Gross Spread as a % of Price:
0.350% of the principal amount
Yield:
3.251 as of 03/12/18
Yield to Maturity
3.551 as of 03/12/18
Principal Amount of Offering:
$ $1,750,000,000
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
0.40%
LIST EACH PARTICIPATING FUND
Percent of Offering
Dollar Value of Offering
Purchased by Fund
Purchased by Fund
Oakmark Equity & Income Fund
0.40%
$6,996,570.00
Total Purchased for Oakmark Funds which Harris Associates L.P. manages
0.40%
$6,996,570.00
Total Percent Purchased by all Funds and private advisory accounts over which
Harris Associates L.P. has investment discretion.
0.40%
$6,996,570.00