0001752724-20-256348.txt : 20201211
0001752724-20-256348.hdr.sgml : 20201211
20201211163725
ACCESSION NUMBER: 0001752724-20-256348
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200930
FILED AS OF DATE: 20201211
DATE AS OF CHANGE: 20201211
EFFECTIVENESS DATE: 20201211
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: N-CEN
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-06279
FILM NUMBER: 201383920
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
0000872323
S000068760
Oakmark Bond Fund
C000219731
Advisor Class
OAYCX
C000219732
Institutional Class
OANCX
N-CEN
1
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HARRIS ASSOCIATES INVESTMENT TRUST
811-06279
0000872323
54930037R1JTV3ZYFY28
HARRIS ASSOCIATES LP
111 S. WACKER DRIVE, SUITE 4600
CHICAGO
60606
US-IL
US
312-646-3600
State Street Bank and Trust Company
1 Lincoln Street
Boston
02111
617-786-3000
Custody and Accounting Records.
N
N
N
N-1A
8
Y
Thomas H. Hayden
000000000
N
Hugh T. Hurley, III
000000000
N
Patricia Louie
000000000
N
Christine M. Maki
000000000
N
Kristi L. Rowsell
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Y
Steven S. Rogers
000000000
N
Mindy M. Posoff
000000000
N
Laurence C. Morse, Ph.D.
000000000
N
Allan J. Reich
000000000
N
John J. Kane
000000000
111 South Wacker Drive
Chicago
60606
XXXXXX
Y
N
N
N
N
N
N
Harris Associates Securities L.P.
8-19988
000006959
0000000000
Y
N
Deloitte & Touche LLP
34
00000000000000000000
N
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N
N
N
N
N
Oakmark International Fund
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N
4
0
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Inverse of a benchmark
N
N
Y
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Revenue sharing split
N/A
1070000.00000000
Rule 17a-7 (17 CFR 270.17a-7)
Y
Y
N
N
Harris Associates L.P.
801-50333
000106960
YVC19L6NOWRA51XIKW06
N
State Street Bank and Trust Company
85-05003
571474TGEMMWANRLN572
N
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
N
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
Bloomberg L.P.
549300B56MD0ZC402L06
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
Y
Skandinaviska Enskilda Banken A/S
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Thai) Public Company Limited
549300O1LQYCQ7G1IM57
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Jakarta, Jakarta, ID, Branch)
7LTWFZYICNSX8D621K86
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch)
7LTWFZYICNSX8D621K86
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Societa per Azioni
529900SS7ZWCX82U3W60
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UBS Switzerland AG
549300WOIFUSNYH0FL22
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Hapoalim B.M.
B6ARUI4946ST4S7WOU88
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Handlowy w Warszawie Spolka Akcyjna
XLEZHWWOI4HFQDGL4793
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch)
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch)
F3JS33DEI6XQ4ZBPTN86
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch)
RB0PEZSDGCO3JS6CEU02
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Taiwan) Limited
549300QJEO1B92LSHZ06
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Bank
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
State Street Trust Company Canada
549300L71XG2CTQ2V827
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank, Sociedad Anonima Espanola
529900SICIK5OVMVY186
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch)
7LTWFZYICNSX8D621K86
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Itau CorpBanca
549300DDPTTIZ06NIV06
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch)
2HI3YI5320L3RW6NJ957
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Singapore, SG, Branch)
E57ODZWZ7FF32TWEFA76
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Mumbai, Maharashtra, IN, Branch)
7LTWFZYICNSX8D621K86
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company (Edinburgh, GB, Branch)
571474TGEMMWANRLN572
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch)
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco de Chile
8B4EZFY8IHJC44TT2K84
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Standard Bank of South Africa Limited
QFC8ZCW3Q5PRXU1XTM60
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch)
E57ODZWZ7FF32TWEFA76
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Czech Republic and Slovakia, a.s.
KR6LSKV3BTSJRD41IF75
CZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Anonim Sirketi
789000N5SE3LWDK7OI11
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Colombo, Western, LK, Branch)
2HI3YI5320L3RW6NJ957
LK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Hungary Zrt.
Y28RT6GGYJ696PMW8T44
HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch)
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Royal Bank of Canada
ES7IP3U3RHIGC71XBU11
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Nacional de Mexico, S.A., Integrante del Grupo Financiero Banamex
2SFFM4FUIE05S37WFU55
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank International GmbH
ZMHGNT7ZPKZ3UFZ8EO46
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services (Athens, Attica, GR, Branch)
549300WCGB70D06XZS54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank (Malaysia) Berhad
529900DLWFR8HK7DR278
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
HSBC Bank (China) Company Limited
2CZOJRADNJXBLT55G526
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N
Loomis Sayles Distributors, L.P.
8-49575
000041795
00000000000000000000
0.00000000
Natixis Investment Managers Securities Investment Consulting (Taipei) Co., Ltd.
N/A
000000000
00000000000000000000
TW
0.00000000
Natixis Asia Limited
N/A
000000000
549300FLVWNBJU1GUG93
HK
0.00000000
Natixis Investment Managers International
N/A
000000000
969500WCY7P9HOJNP063
FR
0.00000000
Natixis Tradex Solutions
N/A
000000000
969500OCY8KZTP2CB380
FR
0.00000000
Natixis Distribution, L.P.
8-46325
000034754
0000000000
0.00000000
Clipperton Finance Limited
N/A
000000000
00000000000000000000
GB
0.00000000
Natixis Securities Americas LLC
8-719
000001101
549300L8G1E7ZHVEOG75
0.00000000
Natixis Japan Securities Co., Ltd.
N/A
000000000
549300JX7L6CKP0SZF78
JP
0.00000000
Harris Associates Securities L.P.
8-19988
000006959
0000000000
0.00000000
Natixis Investment Managers Australia Pty Limited
N/A
000000000
00000000000000000000
AU
0.00000000
Natixis Investment Managers S.A.
N/A
000000000
5493004FNBJP406R4B02
LU
0.00000000
Natixis Investment Managers UK Ltd
N/A
000000000
00000000000000000000
GB
0.00000000
DNCA Courtage
N/A
000000000
00000000000000000000
FR
0.00000000
Natixis Investment Managers Hong Kong Limited
N/A
000000000
00000000000000000000
HK
0.00000000
Natixis
N/A
000000000
00000000000000000000
KY
0.00000000
Natixis Investment Managers Switzerland Sarl
N/A
000000000
00000000000000000000
CH
0.00000000
PJ Solomon Securities, LLC
8-43369
000028041
00000000000000000000
0.00000000
Fenchurch Securities, Inc.
N/A
000000000
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0.00000000
Natixis Investment Managers Japan Co., Ltd.
N/A
000000000
00000000000000000000
JP
0.00000000
Virtu Itg LLC
8-44218
000029299
549300S41SMIODVIT266
306785.95000000
Exane, Inc.
8-49569
000041784
6SDWK6FV8H98XAGSYS75
303789.55000000
Liquidnet, Inc.
8-52461
000103987
213800HSKBBO1GCVRG79
517304.88000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
646104.81000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
359525.77000000
Credit Suisse Securities (USA) LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
435023.68000000
Barclays Capital Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
303613.61000000
Citigroup Global Markets Inc.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
406264.08000000
Bofa Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
486222.38000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
1010781.56000000
7203041.81000000
Citigroup Global Markets Inc.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
266323031.81000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
15086367290.01000000
Mizuho Securities USA LLC
8-37710
000019647
7TK5RJIZDFROZCA6XF66
369313290.26000000
State Street Bank and Trust Company
N/A
000000000
571474TGEMMWANRLN572
120360654786.75000000
Barclays Capital Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
231291863.78000000
Bofa Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
736167175.98000000
Nomura Securities International, Inc.
8-15255
000004297
OXTKY6Q8X53C9ILVV871
184991777.78000000
Credit Suisse Securities (USA) LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
187872819.72000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
357712695.89000000
Truist Securities, Inc.
8-17212
000006271
CSVTK36R0PNGXEM7NS14
194401374.31000000
138224424785.10000000
Y
25882772718.17000000
Committed
200000000.00000000
N
Uncommitted
300000000.00000000
N
N
N
N
Oakmark International Small Cap Fund
S000002763
1VCV5Q1DN930U5ARTY17
N
4
0
0
Inverse of a benchmark
N
N
Y
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Revenue sharing split
1116501.62000000
15000.00000000
N/A
Y
N
N
N
Harris Associates L.P.
801-50333
000106960
YVC19L6NOWRA51XIKW06
N
State Street Bank and Trust Company
85-05003
571474TGEMMWANRLN572
N
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
N
N
Bloomberg L.P.
549300B56MD0ZC402L06
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
Y
The Hongkong and Shanghai Banking Corporation Limited (Colombo, Western, LK, Branch)
2HI3YI5320L3RW6NJ957
LK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Hungary Zrt.
Y28RT6GGYJ696PMW8T44
HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Jakarta, Jakarta, ID, Branch)
7LTWFZYICNSX8D621K86
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Standard Bank of South Africa Limited
QFC8ZCW3Q5PRXU1XTM60
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Anonim Sirketi
789000N5SE3LWDK7OI11
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch)
E57ODZWZ7FF32TWEFA76
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Czech Republic and Slovakia, a.s.
KR6LSKV3BTSJRD41IF75
CZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Royal Bank of Canada
ES7IP3U3RHIGC71XBU11
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco de Chile
8B4EZFY8IHJC44TT2K84
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank, Sociedad Anonima Espanola
529900SICIK5OVMVY186
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch)
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Handlowy w Warszawie Spolka Akcyjna
XLEZHWWOI4HFQDGL4793
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch)
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch)
F3JS33DEI6XQ4ZBPTN86
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank International GmbH
ZMHGNT7ZPKZ3UFZ8EO46
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Singapore, SG, Branch)
E57ODZWZ7FF32TWEFA76
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services (Athens, Attica, GR, Branch)
549300WCGB70D06XZS54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Deutsche Bank Societa per Azioni
529900SS7ZWCX82U3W60
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch)
7LTWFZYICNSX8D621K86
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch)
7LTWFZYICNSX8D621K86
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Hapoalim B.M.
B6ARUI4946ST4S7WOU88
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Taiwan) Limited
549300QJEO1B92LSHZ06
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company (Edinburgh, GB, Branch)
571474TGEMMWANRLN572
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank del Peru S.A.
MYTK5NHHP1G8TVFGT193
PE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UBS Switzerland AG
549300WOIFUSNYH0FL22
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Mumbai, Maharashtra, IN, Branch)
7LTWFZYICNSX8D621K86
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank (Malaysia) Berhad
529900DLWFR8HK7DR278
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Bank
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch)
2HI3YI5320L3RW6NJ957
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Thai) Public Company Limited
549300O1LQYCQ7G1IM57
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Nacional de Mexico, S.A., Integrante del Grupo Financiero Banamex
2SFFM4FUIE05S37WFU55
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank (China) Company Limited
2CZOJRADNJXBLT55G526
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch)
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Itau CorpBanca
549300DDPTTIZ06NIV06
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Trust Company Canada
549300L71XG2CTQ2V827
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch)
RB0PEZSDGCO3JS6CEU02
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken A/S
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N
Natixis Investment Managers Hong Kong Limited
N/A
000000000
00000000000000000000
HK
0.00000000
Natixis
N/A
000000000
00000000000000000000
KY
0.00000000
Natixis Investment Managers UK Ltd
N/A
000000000
00000000000000000000
GB
0.00000000
PJ Solomon Securities, LLC
8-43369
000028041
00000000000000000000
0.00000000
Natixis Investment Managers Japan Co., Ltd.
N/A
000000000
00000000000000000000
JP
0.00000000
Natixis Securities Americas LLC
8-719
000001101
549300L8G1E7ZHVEOG75
0.00000000
DNCA Courtage
N/A
000000000
00000000000000000000
FR
0.00000000
Natixis Investment Managers Switzerland Sarl
N/A
000000000
00000000000000000000
CH
0.00000000
Natixis Investment Managers Australia Pty Limited
N/A
000000000
00000000000000000000
AU
0.00000000
Harris Associates Securities L.P.
8-19988
000006959
0000000000
0.00000000
Fenchurch Securities, Inc.
N/A
000000000
00000000000000000000
0.00000000
Loomis Sayles Distributors, L.P.
8-49575
000041795
00000000000000000000
0.00000000
Natixis Distribution, L.P.
8-46325
000034754
0000000000
0.00000000
Clipperton Finance Limited
N/A
000000000
00000000000000000000
GB
0.00000000
Natixis Investment Managers S.A.
N/A
000000000
5493004FNBJP406R4B02
LU
0.00000000
Natixis Investment Managers Securities Investment Consulting (Taipei) Co., Ltd.
N/A
000000000
00000000000000000000
TW
0.00000000
Natixis Asia Limited
N/A
000000000
549300FLVWNBJU1GUG93
HK
0.00000000
Natixis Investment Managers International
N/A
000000000
969500WCY7P9HOJNP063
FR
0.00000000
Natixis Tradex Solutions
N/A
000000000
969500OCY8KZTP2CB380
FR
0.00000000
Natixis Japan Securities Co., Ltd.
N/A
000000000
549300JX7L6CKP0SZF78
JP
0.00000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
19825.18000000
Credit Suisse Securities (USA) LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
43021.05000000
Liquidnet, Inc.
8-52461
000103987
213800HSKBBO1GCVRG79
37803.03000000
Virtu Itg LLC
8-44218
000029299
549300S41SMIODVIT266
17996.02000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
24240.00000000
BMO Capital Markets Corp.
8-34344
000016686
RUC0QBLBRPRCU4W1NE59
44626.36000000
Bofa Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
22451.32000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
57758.52000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
17917.93000000
Jefferies LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
31001.43000000
442616.12000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
449968587.61000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
9999888.89000000
State Street Bank and Trust Company
N/A
000000000
571474TGEMMWANRLN572
11103549613.64000000
Nomura Securities International, Inc.
8-15255
000004297
OXTKY6Q8X53C9ILVV871
4999777.78000000
Jefferies LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
1731101.06000000
Macquarie Capital (USA) Inc.
8-47198
000036368
549300670K07JRB5UQ40
8605978.29000000
11578854947.27000000
Y
1277770585.99000000
Uncommitted
300000000.00000000
N
Committed
200000000.00000000
N
N
N
N
Oakmark Equity and Income Fund
S000002760
549300BVN2C0BQ0OBX87
N
4
0
0
Inverse of a benchmark
N
N
Y
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N/A
N/A
N/A
Rule 17a-7 (17 CFR 270.17a-7)
Rule 10f-3 (17 CFR 270.10f-3)
Y
Y
N
N
Harris Associates L.P.
801-50333
000106960
YVC19L6NOWRA51XIKW06
N
State Street Bank and Trust Company
85-05003
571474TGEMMWANRLN572
N
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
N
N
Bloomberg L.P.
549300B56MD0ZC402L06
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
IHS Markit Ltd.
549300HLPTRASHS0E726
GB
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
JPMorgan Chase & Co.
8I5DZWZKVSZI1NUHU748
N
Y
Standard Chartered Bank (Thai) Public Company Limited
549300O1LQYCQ7G1IM57
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch)
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Bank
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
State Street Trust Company Canada
549300L71XG2CTQ2V827
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch)
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Societa per Azioni
529900SS7ZWCX82U3W60
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Royal Bank of Canada
ES7IP3U3RHIGC71XBU11
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch)
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken A/S
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch)
RB0PEZSDGCO3JS6CEU02
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company (Edinburgh, GB, Branch)
571474TGEMMWANRLN572
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UBS Switzerland AG
549300WOIFUSNYH0FL22
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch)
7LTWFZYICNSX8D621K86
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank, Sociedad Anonima Espanola
529900SICIK5OVMVY186
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Singapore, SG, Branch)
E57ODZWZ7FF32TWEFA76
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Nacional de Mexico, S.A., Integrante del Grupo Financiero Banamex
2SFFM4FUIE05S37WFU55
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch)
E57ODZWZ7FF32TWEFA76
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N
Natixis Investment Managers Securities Investment Consulting (Taipei) Co., Ltd.
N/A
000000000
00000000000000000000
TW
0.00000000
Natixis Investment Managers UK Ltd
N/A
000000000
00000000000000000000
GB
0.00000000
Natixis Investment Managers Japan Co., Ltd.
N/A
000000000
00000000000000000000
JP
0.00000000
PJ Solomon Securities, LLC
8-43369
000028041
00000000000000000000
0.00000000
Fenchurch Securities, Inc.
N/A
000000000
00000000000000000000
0.00000000
Natixis Investment Managers Australia Pty Limited
N/A
000000000
00000000000000000000
AU
0.00000000
Natixis Investment Managers International
N/A
000000000
969500WCY7P9HOJNP063
FR
0.00000000
Harris Associates Securities L.P.
8-19988
000006959
0000000000
0.00000000
DNCA Courtage
N/A
000000000
00000000000000000000
FR
0.00000000
Loomis Sayles Distributors, L.P.
8-49575
000041795
00000000000000000000
0.00000000
Natixis Securities Americas LLC
8-719
000001101
549300L8G1E7ZHVEOG75
0.00000000
Natixis Investment Managers Switzerland Sarl
N/A
000000000
00000000000000000000
CH
0.00000000
Natixis Distribution, L.P.
8-46325
000034754
0000000000
0.00000000
Natixis Japan Securities Co., Ltd.
N/A
000000000
549300JX7L6CKP0SZF78
JP
0.00000000
Natixis Investment Managers S.A.
N/A
000000000
5493004FNBJP406R4B02
LU
0.00000000
Natixis Investment Managers Hong Kong Limited
N/A
000000000
00000000000000000000
HK
0.00000000
Clipperton Finance Limited
N/A
000000000
00000000000000000000
GB
0.00000000
Natixis Tradex Solutions
N/A
000000000
969500OCY8KZTP2CB380
FR
0.00000000
Natixis Asia Limited
N/A
000000000
549300FLVWNBJU1GUG93
HK
0.00000000
Natixis
N/A
000000000
00000000000000000000
KY
0.00000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
70517.81000000
Robert W. Baird & Co. Incorporated
8-497
000008158
549300772UJAHRD6LO53
48647.70000000
Jefferies LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
200656.64000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
87546.05000000
Sanford C. Bernstein & Co., LLC
8-52942
000104474
549300I7JYZHT7D5CO04
105756.89000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
240080.90000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
106913.55000000
Barclays Capital Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
55657.70000000
Citigroup Global Markets Inc.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
72482.26000000
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
58528.69000000
1241976.81000000
Truist Securities, Inc.
8-17212
000006271
CSVTK36R0PNGXEM7NS14
247643285.38000000
State Street Bank and Trust Company
N/A
000000000
571474TGEMMWANRLN572
49841929379.37000000
Barclays Capital Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
366728102.66000000
Citigroup Global Markets Inc.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
397328904.57000000
Credit Suisse Securities (USA) LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
116030106.85000000
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
734881982.66000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
678666730.63000000
Bofa Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
989073594.25000000
Mizuho Securities USA LLC
8-37710
000019647
7TK5RJIZDFROZCA6XF66
347001631.38000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
9020153557.92000000
63417520073.83000000
Y
9640112457.73000000
Uncommitted
300000000.00000000
N
Committed
200000000.00000000
N
N
N
N
Oakmark Bond Fund
S000068760
549300L1TDIYWQTQF247
Y
2
2
0
Inverse of a benchmark
N
N
Y
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N/A
N/A
N/A
N/A
Y
Y
Y
N
Harris Associates L.P.
801-50333
000106960
YVC19L6NOWRA51XIKW06
N
State Street Bank and Trust Company
85-05003
571474TGEMMWANRLN572
N
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
N
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
Bloomberg L.P.
549300B56MD0ZC402L06
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
IHS Markit Ltd.
549300HLPTRASHS0E726
GB
N
JPMorgan Chase & Co.
8I5DZWZKVSZI1NUHU748
N
Y
Deutsche Bank, Sociedad Anonima Espanola
529900SICIK5OVMVY186
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Societa per Azioni
529900SS7ZWCX82U3W60
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Nacional de Mexico, S.A., Integrante del Grupo Financiero Banamex
2SFFM4FUIE05S37WFU55
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Singapore, SG, Branch)
E57ODZWZ7FF32TWEFA76
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Bank
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch)
7LTWFZYICNSX8D621K86
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Trust Company Canada
549300L71XG2CTQ2V827
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch)
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch)
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch)
RB0PEZSDGCO3JS6CEU02
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken A/S
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch)
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Royal Bank of Canada
ES7IP3U3RHIGC71XBU11
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
UBS Switzerland AG
549300WOIFUSNYH0FL22
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company (Edinburgh, GB, Branch)
571474TGEMMWANRLN572
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N
Natixis Investment Managers S.A.
N/A
000000000
5493004FNBJP406R4B02
LU
0.00000000
Natixis Securities Americas LLC
8-719
000001101
549300L8G1E7ZHVEOG75
0.00000000
Natixis Investment Managers Securities Investment Consulting (Taipei) Co., Ltd.
N/A
000000000
00000000000000000000
TW
0.00000000
Natixis Investment Managers Hong Kong Limited
N/A
000000000
00000000000000000000
HK
0.00000000
DNCA Courtage
N/A
000000000
00000000000000000000
FR
0.00000000
Natixis Investment Managers International
N/A
000000000
969500WCY7P9HOJNP063
FR
0.00000000
Natixis Japan Securities Co., Ltd.
N/A
000000000
549300JX7L6CKP0SZF78
JP
0.00000000
Natixis Asia Limited
N/A
000000000
549300FLVWNBJU1GUG93
HK
0.00000000
Natixis Distribution, L.P.
8-46325
000034754
0000000000
0.00000000
Natixis
N/A
000000000
00000000000000000000
KY
0.00000000
Clipperton Finance Limited
N/A
000000000
00000000000000000000
GB
0.00000000
Loomis Sayles Distributors, L.P.
8-49575
000041795
00000000000000000000
0.00000000
Harris Associates Securities L.P.
8-19988
000006959
0000000000
0.00000000
Natixis Investment Managers Australia Pty Limited
N/A
000000000
00000000000000000000
AU
0.00000000
Fenchurch Securities, Inc.
N/A
000000000
00000000000000000000
0.00000000
PJ Solomon Securities, LLC
8-43369
000028041
00000000000000000000
0.00000000
Natixis Tradex Solutions
N/A
000000000
969500OCY8KZTP2CB380
FR
0.00000000
Natixis Investment Managers UK Ltd
N/A
000000000
00000000000000000000
GB
0.00000000
Natixis Investment Managers Switzerland Sarl
N/A
000000000
00000000000000000000
CH
0.00000000
Natixis Investment Managers Japan Co., Ltd.
N/A
000000000
00000000000000000000
JP
0.00000000
Cowen and Company, LLC
8-22522
000007616
549300WR155U7DVMIW58
531.90000000
Cantor Fitzgerald & Co.
8-201
000000134
5493004J7H4GCPG6OB62
570.00000000
1101.90000000
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
7656835.90000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
6907155.97000000
Nomura Securities International, Inc.
8-15255
000004297
OXTKY6Q8X53C9ILVV871
4996500.00000000
State Street Bank and Trust Company
N/A
000000000
571474TGEMMWANRLN572
247975241.67000000
Barclays Capital Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
7608511.11000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
13714887.08000000
Deutsche Bank Securities Inc.
8-17822
000002525
9J6MBOOO7BECTDTUZW19
8003123.85000000
Citigroup Global Markets Inc.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
8821559.70000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
6049925.00000000
Bofa Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
16352079.39000000
363044054.65000000
Y
73783406.94000000
N
N
N
N
Oakmark Global Select Fund
S000013607
SA2R8HK6I03198CYJ508
N
4
0
0
Inverse of a benchmark
Y
N
Y
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N/A
N/A
N/A
N/A
Y
Y
N
N
Harris Associates L.P.
801-50333
000106960
YVC19L6NOWRA51XIKW06
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
N
State Street Bank and Trust Company
85-05003
571474TGEMMWANRLN572
N
N
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
Bloomberg L.P.
549300B56MD0ZC402L06
N
Y
The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch)
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Societa per Azioni
529900SS7ZWCX82U3W60
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services (Athens, Attica, GR, Branch)
549300WCGB70D06XZS54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank (Malaysia) Berhad
529900DLWFR8HK7DR278
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Singapore, SG, Branch)
E57ODZWZ7FF32TWEFA76
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Jakarta, Jakarta, ID, Branch)
7LTWFZYICNSX8D621K86
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch)
7LTWFZYICNSX8D621K86
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Standard Bank of South Africa Limited
QFC8ZCW3Q5PRXU1XTM60
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Hapoalim B.M.
B6ARUI4946ST4S7WOU88
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Itau CorpBanca
549300DDPTTIZ06NIV06
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UBS Switzerland AG
549300WOIFUSNYH0FL22
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Czech Republic and Slovakia, a.s.
KR6LSKV3BTSJRD41IF75
CZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank, Sociedad Anonima Espanola
529900SICIK5OVMVY186
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Thai) Public Company Limited
549300O1LQYCQ7G1IM57
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch)
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch)
E57ODZWZ7FF32TWEFA76
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company (Edinburgh, GB, Branch)
571474TGEMMWANRLN572
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch)
2HI3YI5320L3RW6NJ957
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Colombo, Western, LK, Branch)
2HI3YI5320L3RW6NJ957
LK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Hungary Zrt.
Y28RT6GGYJ696PMW8T44
HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Taiwan) Limited
549300QJEO1B92LSHZ06
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Mumbai, Maharashtra, IN, Branch)
7LTWFZYICNSX8D621K86
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Anonim Sirketi
789000N5SE3LWDK7OI11
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
AS SEB Pank
549300ND1MQ8SNNYMJ22
EE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
State Street Bank International GmbH
ZMHGNT7ZPKZ3UFZ8EO46
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Nacional de Mexico, S.A., Integrante del Grupo Financiero Banamex
2SFFM4FUIE05S37WFU55
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch)
F3JS33DEI6XQ4ZBPTN86
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco de Chile
8B4EZFY8IHJC44TT2K84
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Handlowy w Warszawie Spolka Akcyjna
XLEZHWWOI4HFQDGL4793
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken A/S
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Bank
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch)
7LTWFZYICNSX8D621K86
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch)
RB0PEZSDGCO3JS6CEU02
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Royal Bank of Canada
ES7IP3U3RHIGC71XBU11
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Trust Company Canada
549300L71XG2CTQ2V827
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank (China) Company Limited
2CZOJRADNJXBLT55G526
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch)
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N
Natixis Investment Managers Securities Investment Consulting (Taipei) Co., Ltd.
N/A
000000000
00000000000000000000
TW
0.00000000
Natixis Investment Managers Australia Pty Limited
N/A
000000000
00000000000000000000
AU
0.00000000
Natixis Securities Americas LLC
8-719
000001101
549300L8G1E7ZHVEOG75
0.00000000
Natixis Asia Limited
N/A
000000000
549300FLVWNBJU1GUG93
HK
0.00000000
Natixis Investment Managers Switzerland Sarl
N/A
000000000
00000000000000000000
CH
0.00000000
Natixis Investment Managers S.A.
N/A
000000000
5493004FNBJP406R4B02
LU
0.00000000
Natixis Investment Managers Japan Co., Ltd.
N/A
000000000
00000000000000000000
JP
0.00000000
Natixis
N/A
000000000
00000000000000000000
KY
0.00000000
Natixis Investment Managers UK Ltd
N/A
000000000
00000000000000000000
GB
0.00000000
Harris Associates Securities L.P.
8-19988
000006959
0000000000
0.00000000
Natixis Investment Managers International
N/A
000000000
969500WCY7P9HOJNP063
FR
0.00000000
Natixis Distribution, L.P.
8-46325
000034754
0000000000
0.00000000
Natixis Tradex Solutions
N/A
000000000
969500OCY8KZTP2CB380
FR
0.00000000
DNCA Courtage
N/A
000000000
00000000000000000000
FR
0.00000000
PJ Solomon Securities, LLC
8-43369
000028041
00000000000000000000
0.00000000
Loomis Sayles Distributors, L.P.
8-49575
000041795
00000000000000000000
0.00000000
Clipperton Finance Limited
N/A
000000000
00000000000000000000
GB
0.00000000
Fenchurch Securities, Inc.
N/A
000000000
00000000000000000000
0.00000000
Natixis Japan Securities Co., Ltd.
N/A
000000000
549300JX7L6CKP0SZF78
JP
0.00000000
Natixis Investment Managers Hong Kong Limited
N/A
000000000
00000000000000000000
HK
0.00000000
Credit Suisse Securities (USA) LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
46523.17000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
51849.10000000
Barclays Capital Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
46158.50000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
20917.39000000
Pershing LLC
8-17574
000007560
ZI8Q1A8EI8LQFJNM0D94
75396.38000000
Jefferies LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
38245.94000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
47720.18000000
Sanford C. Bernstein & Co., LLC
8-52942
000104474
549300I7JYZHT7D5CO04
30455.54000000
Liquidnet, Inc.
8-52461
000103987
213800HSKBBO1GCVRG79
16856.67000000
Bofa Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
113536.64000000
610045.63000000
Nomura Securities International, Inc.
8-15255
000004297
OXTKY6Q8X53C9ILVV871
9999555.56000000
Truist Securities, Inc.
8-17212
000006271
CSVTK36R0PNGXEM7NS14
249930.00000000
State Street Bank and Trust Company
N/A
000000000
571474TGEMMWANRLN572
13199163614.54000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
643955519.53000000
Jefferies LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
36476250.00000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
9999888.89000000
13899844758.52000000
Y
1571338977.13000000
Committed
200000000.00000000
N
Uncommitted
300000000.00000000
N
N
N
N
Oakmark Fund
S000002758
5493006VRMTE725JFU24
N
4
0
0
Inverse of a benchmark
N
N
Y
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N/A
N/A
N/A
Rule 17a-7 (17 CFR 270.17a-7)
Y
Y
N
N
Harris Associates L.P.
801-50333
000106960
YVC19L6NOWRA51XIKW06
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
N
State Street Bank and Trust Company
85-05003
571474TGEMMWANRLN572
N
N
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
Bloomberg L.P.
549300B56MD0ZC402L06
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
PricingDirect Inc.
549300WIC0TOJ7N7GD54
N
Y
Skandinaviska Enskilda Banken A/S
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch)
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Nacional de Mexico, S.A., Integrante del Grupo Financiero Banamex
2SFFM4FUIE05S37WFU55
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Societa per Azioni
529900SS7ZWCX82U3W60
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch)
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Royal Bank of Canada
ES7IP3U3RHIGC71XBU11
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank, Sociedad Anonima Espanola
529900SICIK5OVMVY186
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Bank
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch)
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Thai) Public Company Limited
549300O1LQYCQ7G1IM57
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Trust Company Canada
549300L71XG2CTQ2V827
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch)
RB0PEZSDGCO3JS6CEU02
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UBS Switzerland AG
549300WOIFUSNYH0FL22
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company (Edinburgh, GB, Branch)
571474TGEMMWANRLN572
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Singapore, SG, Branch)
E57ODZWZ7FF32TWEFA76
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch)
7LTWFZYICNSX8D621K86
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch)
E57ODZWZ7FF32TWEFA76
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N
DNCA Courtage
N/A
000000000
00000000000000000000
FR
0.00000000
Clipperton Finance Limited
N/A
000000000
00000000000000000000
GB
0.00000000
Harris Associates Securities L.P.
8-19988
000006959
0000000000
0.00000000
Natixis
N/A
000000000
00000000000000000000
KY
0.00000000
Natixis Investment Managers Japan Co., Ltd.
N/A
000000000
00000000000000000000
JP
0.00000000
Natixis Investment Managers Switzerland Sarl
N/A
000000000
00000000000000000000
CH
0.00000000
Natixis Investment Managers Hong Kong Limited
N/A
000000000
00000000000000000000
HK
0.00000000
Natixis Distribution, L.P.
8-46325
000034754
0000000000
0.00000000
Natixis Investment Managers Australia Pty Limited
N/A
000000000
00000000000000000000
AU
0.00000000
Natixis Securities Americas LLC
8-719
000001101
549300L8G1E7ZHVEOG75
0.00000000
Natixis Investment Managers UK Ltd
N/A
000000000
00000000000000000000
GB
0.00000000
PJ Solomon Securities, LLC
8-43369
000028041
00000000000000000000
0.00000000
Fenchurch Securities, Inc.
N/A
000000000
00000000000000000000
0.00000000
Natixis Japan Securities Co., Ltd.
N/A
000000000
549300JX7L6CKP0SZF78
JP
0.00000000
Natixis Investment Managers Securities Investment Consulting (Taipei) Co., Ltd.
N/A
000000000
00000000000000000000
TW
0.00000000
Natixis Asia Limited
N/A
000000000
549300FLVWNBJU1GUG93
HK
0.00000000
Natixis Investment Managers International
N/A
000000000
969500WCY7P9HOJNP063
FR
0.00000000
Natixis Investment Managers S.A.
N/A
000000000
5493004FNBJP406R4B02
LU
0.00000000
Loomis Sayles Distributors, L.P.
8-49575
000041795
00000000000000000000
0.00000000
Natixis Tradex Solutions
N/A
000000000
969500OCY8KZTP2CB380
FR
0.00000000
Jefferies LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
427608.06000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
2730953.49000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
405151.88000000
Pershing LLC
8-17574
000007560
ZI8Q1A8EI8LQFJNM0D94
1420806.12000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
426843.33000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
316321.74000000
Credit Suisse Securities (USA) LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
438539.08000000
Barclays Capital Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
188525.11000000
Citadel Securities LLC
8-53574
000116797
12UUJYTN7D3SW8KCSG25
158709.00000000
Bofa Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
406194.90000000
7682758.99000000
Nomura Securities International, Inc.
8-15255
000004297
OXTKY6Q8X53C9ILVV871
318474091.11000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
103000000.00000000
Seaport Global Securities LLC
8-53535
000116270
54930028D6D0G5RZJ888
109490958.06000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
556799707.12000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
29836649.28000000
State Street Bank and Trust Company
N/A
000000000
571474TGEMMWANRLN572
158273208671.39000000
Barclays Capital Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
81834445.49000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
13273990973.51000000
Bofa Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
769003769.67000000
Pershing LLC
8-17574
000007560
ZI8Q1A8EI8LQFJNM0D94
45900006.50000000
173561539272.13000000
Y
13487655561.76000000
Committed
200000000.00000000
N
Uncommitted
300000000.00000000
N
N
N
N
Oakmark Global Fund
S000002761
QNDK8WFUKFRB86016C63
N
4
0
0
Inverse of a benchmark
N
N
Y
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N/A
N/A
N/A
Rule 17a-7 (17 CFR 270.17a-7)
Y
Y
N
N
Harris Associates L.P.
801-50333
000106960
YVC19L6NOWRA51XIKW06
N
State Street Bank and Trust Company
85-05003
571474TGEMMWANRLN572
N
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
N
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
Bloomberg L.P.
549300B56MD0ZC402L06
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
Y
BNP Paribas Securities Services (Athens, Attica, GR, Branch)
549300WCGB70D06XZS54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UBS Switzerland AG
549300WOIFUSNYH0FL22
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank (Malaysia) Berhad
529900DLWFR8HK7DR278
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Hapoalim B.M.
B6ARUI4946ST4S7WOU88
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch)
7LTWFZYICNSX8D621K86
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank (China) Company Limited
2CZOJRADNJXBLT55G526
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Standard Bank of South Africa Limited
QFC8ZCW3Q5PRXU1XTM60
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Royal Bank of Canada
ES7IP3U3RHIGC71XBU11
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch)
RB0PEZSDGCO3JS6CEU02
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Handlowy w Warszawie Spolka Akcyjna
XLEZHWWOI4HFQDGL4793
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch)
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken A/S
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco de Chile
8B4EZFY8IHJC44TT2K84
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Jakarta, Jakarta, ID, Branch)
7LTWFZYICNSX8D621K86
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Itau CorpBanca
549300DDPTTIZ06NIV06
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Hungary Zrt.
Y28RT6GGYJ696PMW8T44
HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Societa per Azioni
529900SS7ZWCX82U3W60
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch)
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Mumbai, Maharashtra, IN, Branch)
7LTWFZYICNSX8D621K86
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Standard Chartered Bank (Taiwan) Limited
549300QJEO1B92LSHZ06
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Anonim Sirketi
789000N5SE3LWDK7OI11
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company (Edinburgh, GB, Branch)
571474TGEMMWANRLN572
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch)
7LTWFZYICNSX8D621K86
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Czech Republic and Slovakia, a.s.
KR6LSKV3BTSJRD41IF75
CZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Trust Company Canada
549300L71XG2CTQ2V827
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank International GmbH
ZMHGNT7ZPKZ3UFZ8EO46
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch)
F3JS33DEI6XQ4ZBPTN86
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank, Sociedad Anonima Espanola
529900SICIK5OVMVY186
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Nacional de Mexico, S.A., Integrante del Grupo Financiero Banamex
2SFFM4FUIE05S37WFU55
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Thai) Public Company Limited
549300O1LQYCQ7G1IM57
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch)
2HI3YI5320L3RW6NJ957
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Bank
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch)
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Singapore, SG, Branch)
E57ODZWZ7FF32TWEFA76
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch)
E57ODZWZ7FF32TWEFA76
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N
PJ Solomon Securities, LLC
8-43369
000028041
00000000000000000000
0.00000000
Natixis Tradex Solutions
N/A
000000000
969500OCY8KZTP2CB380
FR
0.00000000
DNCA Courtage
N/A
000000000
00000000000000000000
FR
0.00000000
Natixis
N/A
000000000
00000000000000000000
KY
0.00000000
Loomis Sayles Distributors, L.P.
8-49575
000041795
00000000000000000000
0.00000000
Natixis Japan Securities Co., Ltd.
N/A
000000000
549300JX7L6CKP0SZF78
JP
0.00000000
Natixis Investment Managers Hong Kong Limited
N/A
000000000
00000000000000000000
HK
0.00000000
Clipperton Finance Limited
N/A
000000000
00000000000000000000
GB
0.00000000
Natixis Investment Managers Securities Investment Consulting (Taipei) Co., Ltd.
N/A
000000000
00000000000000000000
TW
0.00000000
Natixis Investment Managers Switzerland Sarl
N/A
000000000
00000000000000000000
CH
0.00000000
Natixis Investment Managers Japan Co., Ltd.
N/A
000000000
00000000000000000000
JP
0.00000000
Natixis Distribution, L.P.
8-46325
000034754
0000000000
0.00000000
Natixis Investment Managers S.A.
N/A
000000000
5493004FNBJP406R4B02
LU
0.00000000
Natixis Securities Americas LLC
8-719
000001101
549300L8G1E7ZHVEOG75
0.00000000
Fenchurch Securities, Inc.
N/A
000000000
00000000000000000000
0.00000000
Natixis Investment Managers UK Ltd
N/A
000000000
00000000000000000000
GB
0.00000000
Natixis Asia Limited
N/A
000000000
549300FLVWNBJU1GUG93
HK
0.00000000
Harris Associates Securities L.P.
8-19988
000006959
0000000000
0.00000000
Natixis Investment Managers Australia Pty Limited
N/A
000000000
00000000000000000000
AU
0.00000000
Natixis Investment Managers International
N/A
000000000
969500WCY7P9HOJNP063
FR
0.00000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
60883.81000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
45130.50000000
Barclays Capital Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
21090.10000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
25850.66000000
Sanford C. Bernstein & Co., LLC
8-52942
000104474
549300I7JYZHT7D5CO04
13957.85000000
Citigroup Global Markets Inc.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
24588.36000000
Credit Suisse Securities (USA) LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
25561.51000000
Jefferies LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
50389.99000000
Bofa Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
17530.82000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
14398.25000000
397660.51000000
Macquarie Capital (USA) Inc.
8-47198
000036368
549300670K07JRB5UQ40
4145798.69000000
Nomura Securities International, Inc.
8-15255
000004297
OXTKY6Q8X53C9ILVV871
4999777.78000000
State Street Bank and Trust Company
N/A
000000000
571474TGEMMWANRLN572
8915263347.61000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
3037434.84000000
Davy Securities
8-66522
000131901
635400XFL6O4CHQ88A56
IE
837531.71000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
452967890.10000000
9381251780.73000000
Y
1414927350.12000000
Committed
200000000.00000000
N
Uncommitted
300000000.00000000
N
N
N
N
Oakmark Select Fund
S000002759
549300UOE1YY4OO8B704
N
4
0
0
Inverse of a benchmark
Y
N
Y
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N/A
N/A
N/A
Rule 17a-7 (17 CFR 270.17a-7)
Y
Y
N
N
Harris Associates L.P.
801-50333
000106960
YVC19L6NOWRA51XIKW06
N
State Street Bank and Trust Company
85-05003
571474TGEMMWANRLN572
N
N
DST Asset Manager Solutions, Inc.
84-00896
00000000000000000000
N
N
N
PricingDirect Inc.
549300WIC0TOJ7N7GD54
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
Bloomberg L.P.
549300B56MD0ZC402L06
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
Y
State Street Bank and Trust Company (Edinburgh, GB, Branch)
571474TGEMMWANRLN572
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Thai) Public Company Limited
549300O1LQYCQ7G1IM57
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch)
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch)
E57ODZWZ7FF32TWEFA76
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Societa per Azioni
529900SS7ZWCX82U3W60
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Bank
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UBS Switzerland AG
549300WOIFUSNYH0FL22
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken A/S
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Royal Bank of Canada
ES7IP3U3RHIGC71XBU11
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch)
7LTWFZYICNSX8D621K86
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Nacional de Mexico, S.A., Integrante del Grupo Financiero Banamex
2SFFM4FUIE05S37WFU55
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch)
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Trust Company Canada
549300L71XG2CTQ2V827
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services (Athens, Attica, GR, Branch)
549300WCGB70D06XZS54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch)
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Singapore, SG, Branch)
E57ODZWZ7FF32TWEFA76
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank, Sociedad Anonima Espanola
529900SICIK5OVMVY186
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch)
RB0PEZSDGCO3JS6CEU02
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
DST Asset Manager Solutions, Inc.
84-00896
SEC File Number
N
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N
Natixis Distribution, L.P.
8-46325
000034754
0000000000
0.00000000
Natixis Investment Managers S.A.
N/A
000000000
5493004FNBJP406R4B02
LU
0.00000000
Natixis Investment Managers Securities Investment Consulting (Taipei) Co., Ltd.
N/A
000000000
00000000000000000000
TW
0.00000000
DNCA Courtage
N/A
000000000
00000000000000000000
FR
0.00000000
PJ Solomon Securities, LLC
8-43369
000028041
00000000000000000000
0.00000000
Clipperton Finance Limited
N/A
000000000
00000000000000000000
GB
0.00000000
Natixis Japan Securities Co., Ltd.
N/A
000000000
549300JX7L6CKP0SZF78
JP
0.00000000
Natixis Investment Managers Japan Co., Ltd.
N/A
000000000
00000000000000000000
JP
0.00000000
Natixis Securities Americas LLC
8-719
000001101
549300L8G1E7ZHVEOG75
0.00000000
Loomis Sayles Distributors, L.P.
8-49575
000041795
00000000000000000000
0.00000000
Natixis
N/A
000000000
00000000000000000000
KY
0.00000000
Fenchurch Securities, Inc.
N/A
000000000
00000000000000000000
0.00000000
Natixis Tradex Solutions
N/A
000000000
969500OCY8KZTP2CB380
FR
0.00000000
Harris Associates Securities L.P.
8-19988
000006959
0000000000
0.00000000
Natixis Investment Managers UK Ltd
N/A
000000000
00000000000000000000
GB
0.00000000
Natixis Investment Managers Switzerland Sarl
N/A
000000000
00000000000000000000
CH
0.00000000
Natixis Asia Limited
N/A
000000000
549300FLVWNBJU1GUG93
HK
0.00000000
Natixis Investment Managers Hong Kong Limited
N/A
000000000
00000000000000000000
HK
0.00000000
Natixis Investment Managers International
N/A
000000000
969500WCY7P9HOJNP063
FR
0.00000000
Natixis Investment Managers Australia Pty Limited
N/A
000000000
00000000000000000000
AU
0.00000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
70010.73000000
Pershing LLC
8-17574
000007560
ZI8Q1A8EI8LQFJNM0D94
530407.50000000
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
68435.45000000
Jefferies LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
131349.61000000
Barclays Capital Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
229905.33000000
Credit Suisse Securities (USA) LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
58454.41000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
566603.24000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
124370.21000000
Cowen and Company, LLC
8-22522
000007616
549300WR155U7DVMIW58
49340.51000000
Bofa Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
193960.69000000
2218548.16000000
Pershing LLC
8-17574
000007560
ZI8Q1A8EI8LQFJNM0D94
65100001.50000000
State Street Bank and Trust Company
N/A
000000000
571474TGEMMWANRLN572
49047973338.14000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
155691380.29000000
Bofa Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
143434829.28000000
Nomura Securities International, Inc.
8-15255
000004297
OXTKY6Q8X53C9ILVV871
44998000.00000000
Barclays Capital Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
56956900.16000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
3259770418.59000000
52773924867.96000000
Y
4026040791.98000000
Committed
200000000.00000000
N
Uncommitted
300000000.00000000
N
N
N
N
true
INTERNAL CONTROL RPT
2
internal_control_letter.txt
REPORT OF INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM
To the shareholders and Board of Trustees of Harris
Associates Investment Trust:
In planning and performing our audits of the financial
statements of Harris Associates Investment Trust (the
"Trust"), including the Oakmark Fund, Oakmark Select
Fund, Oakmark Global Fund, Oakmark Global Select
Fund, Oakmark International Fund, Oakmark
International Small Cap Fund and Oakmark Equity and
Income Fund as of and for the year ended September 30,
2020, and the Oakmark Bond Fund as of and for the
period ended September 30, 2020, in accordance with
the standards of the Public Company Accounting
Oversight Board (United States) (PCAOB), 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-CEN, 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 PCAOB.
However, we noted no deficiencies in the Trust's
internal control over financial reporting and its
operation, including controls for safeguarding securities,
that we consider to be a material weakness, as defined
above, as of September 30, 2020.
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 25, 2020