-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, P7sxBCnISPZJc/gV8sIoFcfdwA/W36dPO2tF5g1wM3vzj83cfZUadCMKfxXs725J giLiQjT1Yh3QxRHuPjj8BQ== 0000897436-10-000365.txt : 20100730 0000897436-10-000365.hdr.sgml : 20100730 20100730163448 ACCESSION NUMBER: 0000897436-10-000365 CONFORMED SUBMISSION TYPE: 40-17G/A PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20100730 DATE AS OF CHANGE: 20100730 EFFECTIVENESS DATE: 20100730 FILER: COMPANY DATA: COMPANY CONFORMED NAME: iSHARES INC CENTRAL INDEX KEY: 0000930667 IRS NUMBER: 510396525 STATE OF INCORPORATION: MD FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: 40-17G/A SEC ACT: 1940 Act SEC FILE NUMBER: 811-09102 FILM NUMBER: 10981702 BUSINESS ADDRESS: STREET 1: 400 HOWARD STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94105 BUSINESS PHONE: 617 937 5524 MAIL ADDRESS: STREET 1: 400 HOWARD STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94105 FORMER COMPANY: FORMER CONFORMED NAME: ISHARES INC DATE OF NAME CHANGE: 20000516 FORMER COMPANY: FORMER CONFORMED NAME: WEBS INDEX FUND INC DATE OF NAME CHANGE: 19970211 FORMER COMPANY: FORMER CONFORMED NAME: FOREIGN FUND INC DATE OF NAME CHANGE: 19950524 FILER: COMPANY DATA: COMPANY CONFORMED NAME: iSHARES TRUST CENTRAL INDEX KEY: 0001100663 IRS NUMBER: 943351276 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 40-17G/A SEC ACT: 1940 Act SEC FILE NUMBER: 811-09729 FILM NUMBER: 10981700 BUSINESS ADDRESS: STREET 1: 400 HOWARD STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94105 BUSINESS PHONE: 617 937 5524 MAIL ADDRESS: STREET 1: 200 CLARENDON CITY: BOSTON STATE: MA ZIP: 02116 FORMER COMPANY: FORMER CONFORMED NAME: ISHARES TRUST DATE OF NAME CHANGE: 19991213 FILER: COMPANY DATA: COMPANY CONFORMED NAME: iShares MSCI Russia Capped Index Fund, Inc. CENTRAL INDEX KEY: 0001492195 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: 40-17G/A SEC ACT: 1940 Act SEC FILE NUMBER: 811-22421 FILM NUMBER: 10981701 BUSINESS ADDRESS: STREET 1: 400 HOWARD STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94105 BUSINESS PHONE: 617-937-5524 MAIL ADDRESS: STREET 1: 400 HOWARD STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94105 40-17G/A 1 ishares4017g-aamend2010_0730.htm ISHARES COMBINED FIDELITY BOND AMENDMENT 2010-0730 ishares4017g-aamend2010_0730.htm
GREATAMERICAN
INSURANCE GROUP
      
Administrative Offices
580 Walnut Street
Cincinnati, Ohio 45202
Tel: 1-513-369-5000
AGENT COPY
559-46-40 - 04
REVISED

 
INVESTMENT COMPANY BOND
GREAT AMERICAN INSURANCE COMPANY
(A Stock Insurance Company, Herein Called the Underwriter)
 
DECLARATIONS Bond No. 559-46-40 - 04
 
 Item 1.
Name of Insured (herein called Insured): iShares Trust & iShares, Inc. 
Principal Address: 400 Howard Street 
         San Francisco, CA 94105
       
 
 
 Item 2.  Bond Period from 12:01 a.m. 06/30/2009 to 12:01 a.m. 11/01/2010 the effective date of the termination or cancellation of this bond, standard time at the Principal Address as to each of said dates.
 
 
Item 3.
Limit of Liability - Subject to Sections 9, 10 and 12 hereof,
 
Amount applicable to
 
Limit of Liability
Deductible
 
Insuring Agreement (A)-FIDELITY
$15,000,000
$250,000
 
Insuring Agreement (B)-ON PREMISES
$15,000,000
$250,000
 
Insuring Agreement (C)-1N TRANSIT
$15,000,000
$250,000
 
Insuring Agreement (D)-FORGERY OR ALTERATION
$15,000,000
$250,000
 
Insuring Agreement (E)-SECURITIES
$15,000,000
$250,000
 
Insuring Agreement (F)-COUNTERFEIT CURRENCY
$15,000,000
$250,000
 
Insuring Agreement (G)-STOP PAYMENT
$           100,000
$    5,000
 
Insuring Agreement (H)-UNCOLLECTIBLE ITEMS OF DEPOSIT
$           100,000
$    5,000
 
Insuring Agreement (I)-AUDIT EXPENSE
$           100,000
$    5,000
 
Insuring Agreement (J)-TELEFACSIMILE TRANSMISSIONS
$15,000,000
$250,000
 
Insuring Agreement (K)-UNAUTHORIZED SIGNATURES
$           100,000
$    5,000
 
 
Optional Insuring Agreements and Coverages
 
   
 
Insuring Agreement (L)-COMPUTER SYSTEMS
$15,000,000
$250,000
 
Insuring Agreement (M)-AUTOMATED PHONE SYSTEMS
$15,000,000
$250,000

 
If "Not Covered" is inserted above opposite any specified Insuring Agreement or Coverage, such Insuring Agreement or Coverage and any other reference thereto in this bond shall be deemed to be deleted therefrom.
 
 Item 4.
Offices or Premises Covered-Offices acquired or established subsequent to the effective date of this bond are covered according to the terms of General Agreement A. All the Insured's offices or premises in existence at the time this bond becomes effective are covered under this bond except the offices or premises located as follows: N/A
 
 Item 5. 
The liability of the Underwriter is subject to the terms of the following riders attached hereto: Rider No. 1, 2, 3, 4, 5, 6, 7 and 8 
 
  Item 6.
The Insured by the acceptance of this bond gives to the Underwriter terminating or canceling prior bond(s) or policy(ies) No.(s) FS 554-46-40 - 03 such termination or cancellat. n to be effective as of the time this bond becomes effective.

 
  By:  /s/ Frank J. Scheckton, Jr.  
  (Authorized Representative)

 
 
 
 
 

 
 
 
 
GREATAMERICAN
INSURANCE GROUP
      
Administrative Offices
580 Walnut Street
Cincinnati, Ohio 45202
Tel: 1-513-369-5000
INSURED COPY
                              559-46-40 - - 04

 
 
RIDER NO. 9
 
JOINT INSURED LIST
 
To be attached to and form part of Bond No. 559-46-40 - 05 In favor of iShares Trust & iShares, Inc.
 
It is agreed that:
 
1.  
At the request of the Insured, the Underwriter adds to the list of Insured under the attached bond the following:
 
iShares MSCI Emerging Markets Small Cap Index Fund, Inc.
iShares MSCI Russia Capped Index Fund, Inc.
 
2.  
This rider shall become effective as of 12:01 a.m. on 05/26/2010 standard time.
 

  By:  /s/ Frank J. Scheckton, Jr.  
  (Authorized Representative)
EX-99.906 CERT 2 ishares4017gaoffcert010_0730.htm ISHARES COMBINED FIDELITY BOND AMENDMENT - BOND CERTIFICATION ishares4017gaoffcert010_0730.htm
iShares Trust (the “Trust”), iShares, Inc., iShares MSCI Emerging Markets Small Cap Index Fund, Inc. and iShares MSCI Russia Capped Index Fund, Inc.  (together, the “Companies”)

OFFICER’S CERTIFICATE

I, Brian F. Link, Assistant Secretary of the Trust and the Companies, hereby certify that the following resolutions were adopted by the Board of Trustees of the Trust and the Board of Directors of the Companies (including those who are not “interested persons” of the Trust and the Company as defined in the 1940 Act) at meetings duly called and held on April 20, 2010 and June 15-16, 2010, as indicated, at which quorums were present and acting throughout, and that such resolutions have not been rescinded or modified as of the date set forth below:

(April 20, 2010 - iShares Trust and iShares, Inc.)

RESOLVED, the Boards of the Companies, including a majority of the Independent Trustees/Directors, hereby approve the extension from June 30, 2010 until November 1, 2010 of the joint insured fidelity bond written by Great American Insurance Company in the aggregate amount of $15,000,000 covering the Trust and the Company in accordance with the requirements of Rule 17g-1 promulgated by the SEC under Section 17(g) of the 1940 Act.
 
(June 15-16, 2010 - the Trust and Companies)

RESOLVED, that the Boards of the Companies, including a majority of the Independent Trustees/Directors, hereby determine that participation by iShares MSCI Russia Capped Index Fund, Inc. and iShares MSCI Emerging Markets Small Cap Index Fund, Inc. (collectively, the “New Registrants”) in the fidelity bond in the amount of $15 million for the period ending November 1, 2010 conforming with the requirements of Rule 17g-1 under the 1940 Act, designed to protect the series of the Company against larceny and embezzlement, is in the best interests of each of the Trust and the Company; and

FURTHER RESOLVED, that the Boards of the Companies, including a majority of the Independent Trustees/Directors, hereby approve, ratify and confirm the addition of the New Registrants to the Joint Insureds Agreement; and

FURTHER RESOLVED, that the Joint Insureds Agreement with respect to the insurance polices, in the form presented at this meeting, be, and it hereby is, ratified and approved by the Trustees/Directors of each of the Trust and the Company, including a majority of the Independent Trustees/Directors.


IN WITNESS WHEREOF, I hereunto sign my name this 30th day of July 2010.

 


/s/ Brian F. Link
Assistant Secretary

EX-99.A4 OTHER AGRMT 3 ishares4017gajtins2010_0730.htm COMBINED FIDELITY BOND AMENDMENT - JOINT INSURED AGREEMENT ishares4017gajtins2010_0730.htm
 
FIDELITY BOND
JOINT INSUREDS AGREEMENT

THIS AGREEMENT is made as of this 26th day of May, 2010 by and among iShares Trust (the “Trust”), iShares, Inc. (the “Company”), iShares MSCI Emerging Markets Small Cap Index Fund, Inc. (the “Emerging Markets Fund”), and iShares MSCI Russia Capped Index Fund, Inc. (the “Russia Fund”), each a registered investment company under the Investment Company Act of 1940 (the “1940 Act”).  The Trust, the Company, the Emerging Markets Fund, and the Russia Fund are collectively referred to herein as the “Insureds.”  Each current and future series of the Trust, the Company, the Emerging Markets Fund, and the Russia Fund is referred to herein as an “Insured Fund” and, collectively, as the “Insured Funds.”

The Insureds have acquired a joint insured bond (the “Bond”) issued by Great American Insurance Company (the “Insurance Company”), effective June 30, 2009 to November 1, 2010 (the “Bond Period”).  Under the terms of the Bond, the Insurance Company has agreed to indemnify the Insureds for losses caused by Employee Dishonesty, Forgery or Alteration of a Covered Instrument, Theft, Disappearance and Destruction of Covered Property (as those terms are defined in the Bond) (an “Insured Loss”) that is sustained by either Insured at any time but discovered during the Bond Period.  Under the Bond, up to $15,000,000 is available to indemnify the Insureds for an Insured Loss (the “Bond Amount”).

The Bond Amount exceeds the sum of the total amount of coverage that the Insureds would have been required to provide and maintain individually pursuant to Rule 17g-1(d)(1) under the 1940 Act had each of the Insureds not been named under the Bond.  The Insureds desire to provide herein for an allocation of the premium for the Bond and a manner of allocating any proceeds received from the Bond.

In consideration of the mutual covenants and agreements contained herein, the Insureds agree that:

 
1.  Allocation of Premium.  Each Insured Fund shall pay a portion of the balance of the premiums for the Bond which shall be determined by calculating the proportion which the gross assets of such Insured Fund, determined as of a specified date or as of the fiscal quarter end for each Insured Fund nearest to a specified date, bears to the aggregate of the gross assets of all of the Insured Funds, and applying said proportion to the amount of the premium.  From time to time, adjustments may be made by mutual agreement of the Insureds to the portion of the premium theretofore paid by the Insured Funds, based on a subsequent change or changes in the gross assets of one or more Insured Funds.

 
2.  Loss to One Insured Fund.  In the event of an Insured Loss to only one Insured Fund, the entire proceeds from the Bond for that loss shall be allocated to the Insured Fund incurring such Insured Loss.

 
3.  Loss to More than One Insured.  If any proceeds are received under the Bond as a result of any Insured Loss sustained by more than one Insured, each Insured Fund shall receive an equitable and proportionate share of the recovery, and each Insured Fund shall receive at least (i) proceeds equal to the full amount of its claim (subject to the limits of the Bond) or (ii) the amount it would have received had it provided and maintained a single insured bond with the minimum coverage required by Rule 17g-1(d)(1) under the 1940 Act at the time the claim arose.  Subject to the preceding sentence, with respect to each affected Insured Fund, proceeds in respect of a claim under the Bond shall be applied to the unsatisfied claim (or portion thereof) of each affected Insured Fund by calculating the proportion which the unsatisfied claim (or portion thereof) of each Insured Fund bears to the unsatisfied claims (or portions thereof) of all Insured Funds to that Insured Fund and applying said proportion to the remaining amount of insurance paid.

 
4.  Modification and Termination.  This Agreement may be modified or amended from time to time by mutual written agreement of the Insureds.  It may be terminated by not less than 60 days’ written notice to the other Insured.  It shall be terminated as of the date that any Insured ceases to be an Insured under the Bond; provided that such termination shall not affect such Insured’s rights and obligations hereunder with respect to any claims on behalf of such Insured which are paid under the Bond by the Insurance Company after the date such Insured ceases to be an Insured under the Bond.

 
5.  Continuation.  Continuation of this Agreement is subject to its approval not less than annually by a majority of the trustees/directors of the Insured who are not “interested persons” (within the meaning of the 1940 Act) of each Insured, of the amount, type, form and coverage of the Bond and the portion of the premium to be paid by each Insured.


IN WITNESS WHEREOF, the Insureds have caused this Agreement to be executed and delivered as of the day and year first above written.
 
  
 
 
   iShares Trust
   
  By: /s/ Eileen Clavere
  Name: Eileen Clavere 
  Title: Secretary of iShares Trust 
   
  iShares, Inc. 
   
  By: /s/ Eileen Clavere
  Name: Eileen Clavere  
 
Title: Secretary of iShares Inc.
      
   iShares MSCI Emerging Markets Small Cap Index Fund, Inc.
   
  By: /s/ Eileen Clavere
  Name: Eileen Clavere   
  Title: Secretary of iShares MSCI Emerging Markets Small Cap Index Fund, Inc.
   
  iShares MSCI Russia Capped Index Fund, Inc. 
   
  By: /s/ Eileen Clavere
  Name: Eileen Clavere   
  Title: Secretary of iShares MSCI Russia Capped Index Fund, Inc.  
 
     
 
 
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