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 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0 042 C000600 0 042 D000600 0 042 E000600 0 042 F000600 0 042 G000600 0 042 H000600 0 PAGE 18 042 A000700 0 042 B000700 0 042 C000700 0 042 D000700 0 042 E000700 0 042 F000700 0 042 G000700 0 042 H000700 0 042 A000800 0 042 B000800 0 042 C000800 0 042 D000800 0 042 E000800 0 042 F000800 0 042 G000800 0 042 H000800 0 043 000100 0 043 000200 0 043 000400 0 043 000500 0 043 000600 0 043 000700 0 043 000800 0 044 000100 0 044 000200 0 044 000400 0 044 000500 0 044 000600 0 044 000700 0 044 000800 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 PAGE 19 048 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 2500000 048 F020100 0.625 048 G010100 12500000 048 G020100 0.620 048 H010100 10000000 048 H020100 0.615 048 I010100 0 048 I020100 0.000 048 J010100 0 048 J020100 0.000 048 K010100 35000000 048 K020100 0.610 048 000200 0.000 048 A010200 2000000 048 A020200 1.000 048 B010200 1000000 048 B020200 0.950 048 C010200 2000000 048 C020200 0.850 048 D010200 2500000 048 D020200 0.825 048 E010200 3500000 048 E020200 0.815 048 F010200 5500000 048 F020200 0.805 048 G010200 6500000 048 G020200 0.800 048 H010200 7000000 048 H020200 0.795 048 I010200 5000000 048 I020200 0.790 048 J010200 10000000 048 J020200 0.785 048 K010200 50000000 048 K020200 0.770 048 000400 0.000 048 A010400 5000000 048 A020400 0.750 048 B010400 2500000 048 B020400 0.700 PAGE 20 048 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 0.000 048 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 PAGE 21 048 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 1.000 048 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 PAGE 22 048 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 Y 053 B000100 Y 053 C000100 N 053 A000200 Y 053 B000200 Y 053 C000200 N 053 A000400 Y 053 B000400 Y 053 C000400 N 053 A000500 N 053 A000600 Y 053 B000600 Y 053 C000600 N 053 A000700 Y 053 B000700 Y PAGE 23 053 C000700 N 053 A000800 Y 053 B000800 Y 053 C000800 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 24 054 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 25 054 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 N 055 B000400 N 055 A000500 N 055 B000500 N 055 A000600 N 055 B000600 N 055 A000700 N 055 B000700 N 055 A000800 N 055 B000800 N 056 000100 Y 056 000200 Y 056 000400 Y 056 000500 Y 056 000600 Y 056 000700 Y 056 000800 Y 057 000100 N 057 000200 N 057 000400 N 057 000500 N 057 000600 N 057 000700 N 057 000800 N 058 A000100 N 058 A000200 N 058 A000400 N 058 A000500 N 058 A000600 N 058 A000700 N 058 A000800 N 059 000100 Y 059 000200 Y 059 000400 Y 059 000500 Y 059 000600 Y 059 000700 Y 059 000800 Y 060 A000100 Y 060 B000100 Y PAGE 26 060 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 A000100 N 062 B000100 0.0 062 C000100 0.0 062 D000100 0.0 062 E000100 0.0 062 F000100 0.0 062 G000100 0.0 062 H000100 0.0 062 I000100 0.0 062 J000100 0.0 062 K000100 0.0 062 L000100 0.0 062 M000100 0.0 062 N000100 0.0 062 O000100 0.0 062 P000100 0.0 062 Q000100 0.0 062 R000100 0.0 062 A000200 N 062 B000200 0.0 062 C000200 0.0 062 D000200 0.0 062 E000200 0.0 062 F000200 0.0 062 G000200 0.0 062 H000200 0.0 062 I000200 0.0 062 J000200 0.0 062 K000200 0.0 062 L000200 0.0 062 M000200 0.0 062 N000200 0.0 PAGE 27 062 O000200 0.0 062 P000200 0.0 062 Q000200 0.0 062 R000200 0.0 062 A000400 N 062 B000400 0.0 062 C000400 0.0 062 D000400 0.0 062 E000400 0.0 062 F000400 0.0 062 G000400 0.0 062 H000400 0.0 062 I000400 0.0 062 J000400 0.0 062 K000400 0.0 062 L000400 0.0 062 M000400 0.0 062 N000400 0.0 062 O000400 0.0 062 P000400 0.0 062 Q000400 0.0 062 R000400 0.0 062 A000500 N 062 B000500 0.0 062 C000500 0.0 062 D000500 0.0 062 E000500 0.0 062 F000500 0.0 062 G000500 0.0 062 H000500 0.0 062 I000500 0.0 062 J000500 0.0 062 K000500 0.0 062 L000500 0.0 062 M000500 0.0 062 N000500 0.0 062 O000500 0.0 062 P000500 0.0 062 Q000500 0.0 062 R000500 0.0 062 A000600 N 062 B000600 0.0 062 C000600 0.0 062 D000600 0.0 062 E000600 0.0 062 F000600 0.0 062 G000600 0.0 062 H000600 0.0 062 I000600 0.0 062 J000600 0.0 062 K000600 0.0 PAGE 28 062 L000600 0.0 062 M000600 0.0 062 N000600 0.0 062 O000600 0.0 062 P000600 0.0 062 Q000600 0.0 062 R000600 0.0 062 A000700 N 062 B000700 0.0 062 C000700 0.0 062 D000700 0.0 062 E000700 0.0 062 F000700 0.0 062 G000700 0.0 062 H000700 0.0 062 I000700 0.0 062 J000700 0.0 062 K000700 0.0 062 L000700 0.0 062 M000700 0.0 062 N000700 0.0 062 O000700 0.0 062 P000700 0.0 062 Q000700 0.0 062 R000700 0.0 062 A000800 N 062 B000800 0.0 062 C000800 0.0 062 D000800 0.0 062 E000800 0.0 062 F000800 0.0 062 G000800 0.0 062 H000800 0.0 062 I000800 0.0 062 J000800 0.0 062 K000800 0.0 062 L000800 0.0 062 M000800 0.0 062 N000800 0.0 062 O000800 0.0 062 P000800 0.0 062 Q000800 0.0 062 R000800 0.0 063 A000100 0 063 B000100 0.0 063 A000200 0 063 B000200 0.0 063 A000400 0 063 B000400 0.0 063 A000500 0 063 B000500 0.0 PAGE 29 063 A000600 0 063 B000600 0.0 063 A000700 0 063 B000700 0.0 063 A000800 0 063 B000800 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 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 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 Y 070 C010100 Y 070 C020100 N 070 D010100 Y 070 D020100 N 070 E010100 Y 070 E020100 N 070 F010100 Y 070 F020100 N 070 G010100 Y 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 070 M010100 Y 070 M020100 N 070 N010100 Y 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 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 070 Q010200 N 070 Q020200 N PAGE 32 070 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 Y 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 070 M010400 Y 070 M020400 N 070 N010400 Y 070 N020400 N 070 O010400 Y 070 O020400 N 070 P010400 Y 070 P020400 N 070 Q010400 N 070 Q020400 N 070 R010400 Y 070 R020400 N 070 A010500 Y 070 A020500 Y 070 B010500 Y 070 B020500 N 070 C010500 Y 070 C020500 N 070 D010500 Y 070 D020500 N 070 E010500 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 070 C010600 Y 070 C020600 N 070 D010600 Y 070 D020600 N 070 E010600 Y 070 E020600 N 070 F010600 Y 070 F020600 N 070 G010600 Y 070 G020600 N 070 H010600 Y 070 H020600 N 070 I010600 Y 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 N 070 N010600 Y 070 N020600 N PAGE 34 070 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 Y 070 E020700 N 070 F010700 Y 070 F020700 N 070 G010700 Y 070 G020700 N 070 H010700 Y 070 H020700 N 070 I010700 Y 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 N 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 35 070 D020800 N 070 E010800 Y 070 E020800 N 070 F010800 Y 070 F020800 N 070 G010800 Y 070 G020800 N 070 H010800 Y 070 H020800 N 070 I010800 Y 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 N 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 2786486 071 B000100 2937852 071 C000100 18566950 071 D000100 15 071 A000200 11617932 071 B000200 5947461 071 C000200 41531020 071 D000200 14 071 A000400 1609815 071 B000400 2179823 071 C000400 14136931 071 D000400 11 071 A000500 758445 071 B000500 803032 071 C000500 2904466 071 D000500 26 071 A000600 1260259 071 B000600 1455188 071 C000600 6078249 071 D000600 21 071 A000700 325246 071 B000700 434970 PAGE 36 071 C000700 2636275 071 D000700 12 071 A000800 160088 071 B000800 119673 071 C000800 2759310 071 D000800 4 072 A000100 6 072 B000100 5247 072 C000100 136562 072 D000100 0 072 E000100 0 072 F000100 70484 072 G000100 0 072 H000100 0 072 I000100 12035 072 J000100 253 072 K000100 0 072 L000100 274 072 M000100 179 072 N000100 19 072 O000100 0 072 P000100 0 072 Q000100 0 072 R000100 28 072 S000100 117 072 T000100 0 072 U000100 0 072 V000100 0 072 W000100 161 072 X000100 83550 072 Y000100 4214 072 Z000100 62473 072AA000100 996747 072BB000100 0 072CC010100 0 072CC020100 112908 072DD010100 63708 072DD020100 34079 072EE000100 679188 072 A000200 6 072 B000200 14659 072 C000200 179001 072 D000200 0 072 E000200 3972 072 F000200 178607 072 G000200 0 072 H000200 0 072 I000200 28118 072 J000200 2073 072 K000200 0 072 L000200 1088 PAGE 37 072 M000200 250 072 N000200 1982 072 O000200 0 072 P000200 0 072 Q000200 0 072 R000200 113 072 S000200 193 072 T000200 0 072 U000200 0 072 V000200 0 072 W000200 278 072 X000200 212702 072 Y000200 11510 072 Z000200 -3560 072AA000200 1626727 072BB000200 0 072CC010200 0 072CC020200 2068379 072DD010200 408227 072DD020200 171975 072EE000200 706153 072 A000400 6 072 B000400 80605 072 C000400 87875 072 D000400 0 072 E000400 0 072 F000400 56072 072 G000400 0 072 H000400 0 072 I000400 14407 072 J000400 237 072 K000400 0 072 L000400 264 072 M000400 163 072 N000400 -265 072 O000400 0 072 P000400 0 072 Q000400 0 072 R000400 27 072 S000400 114 072 T000400 0 072 U000400 0 072 V000400 0 072 W000400 137 072 X000400 71156 072 Y000400 8095 072 Z000400 105419 072AA000400 914592 072BB000400 0 072CC010400 0 072CC020400 599509 PAGE 38 072DD010400 171186 072DD020400 37756 072EE000400 1033938 072 A000500 6 072 B000500 354 072 C000500 26822 072 D000500 0 072 E000500 739 072 F000500 16924 072 G000500 0 072 H000500 0 072 I000500 1713 072 J000500 269 072 K000500 0 072 L000500 156 072 M000500 82 072 N000500 54 072 O000500 0 072 P000500 0 072 Q000500 0 072 R000500 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073 B000400 2.1547 073 C000400 0.0000 073 A010500 0.0000 073 A020500 0.0000 073 B000500 0.5024 073 C000500 0.0000 073 A010600 0.0000 073 A020600 0.0000 PAGE 41 073 B000600 1.8699 073 C000600 0.0000 073 A010700 0.0000 073 A020700 0.0000 073 B000700 2.1806 073 C000700 0.0000 073 A010800 0.0000 073 A020800 0.0000 073 B000800 0.8851 073 C000800 0.0000 074 A000100 4003 074 B000100 57432 074 C000100 799273 074 D000100 0 074 E000100 0 074 F000100 18568748 074 G000100 0 074 H000100 0 074 I000100 0 074 J000100 30405 074 K000100 0 074 L000100 40227 074 M000100 76 074 N000100 19500164 074 O000100 124667 074 P000100 1804 074 Q000100 0 074 R010100 0 074 R020100 0 074 R030100 1720 074 R040100 10667 074 S000100 0 074 T000100 19361306 074 U010100 165172 074 U020100 66445 074 V010100 0.00 074 V020100 0.00 074 W000100 0.0000 074 X000100 41745 074 Y000100 0 074 A000200 17007 074 B000200 228036 074 C000200 2646862 074 D000200 0 074 E000200 0 074 F000200 43554136 074 G000200 0 074 H000200 0 074 I000200 0 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0 074 H000500 0 074 I000500 0 074 J000500 4168 074 K000500 2158 074 L000500 31214 074 M000500 39 074 N000500 2954369 074 O000500 6440 074 P000500 440 074 Q000500 0 074 R010500 0 074 R020500 0 074 R030500 0 074 R040500 13279 074 S000500 0 074 T000500 2934210 074 U010500 94139 074 U020500 77099 074 V010500 0.00 074 V020500 0.00 074 W000500 0.0000 074 X000500 4779 074 Y000500 0 074 A000600 984 074 B000600 65091 074 C000600 549978 074 D000600 0 074 E000600 0 074 F000600 5753695 074 G000600 0 074 H000600 0 074 I000600 0 074 J000600 3043 074 K000600 0 074 L000600 7718 074 M000600 46 074 N000600 6380555 074 O000600 249990 074 P000600 665 074 Q000600 0 074 R010600 0 074 R020600 0 074 R030600 0 074 R040600 4193 074 S000600 0 074 T000600 6125707 PAGE 44 074 U010600 100881 074 U020600 32557 074 V010600 0.00 074 V020600 0.00 074 W000600 0.0000 074 X000600 23172 074 Y000600 0 074 A000700 313 074 B000700 74043 074 C000700 0 074 D000700 0 074 E000700 0 074 F000700 2535875 074 G000700 0 074 H000700 0 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075 B000600 6352172 075 A000700 0 075 B000700 2722297 075 A000800 0 075 B000800 2891584 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 N 077 C000000 N 077 D000000 N 077 E000000 N 077 F000000 N 077 G000000 N 077 H000000 N 077 I000000 N 077 J000000 N 077 K000000 N 077 L000000 N 077 M000000 N 077 N000000 N PAGE 46 077 O000000 Y 077 P000000 N 077 Q010000 N 077 Q020000 N 077 Q030000 N 078 000000 N 080 C00AA00 0 081 B00AA00 0 082 B00AA00 0 083 B00AA00 0 084 B00AA00 0 086 A010000 0 086 A020000 0 086 B010000 0 086 B020000 0 086 C010000 0 086 C020000 0 086 D010000 0 086 D020000 0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 SIGNATURE 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