0000897436-17-000049.txt : 20171228 0000897436-17-000049.hdr.sgml : 20171228 20171228110149 ACCESSION NUMBER: 0000897436-17-000049 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20171031 FILED AS OF DATE: 20171228 DATE AS OF CHANGE: 20171228 EFFECTIVENESS DATE: 20171228 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: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-09102 FILM NUMBER: 171277510 BUSINESS ADDRESS: STREET 1: 400 HOWARD STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94105 BUSINESS PHONE: (415) 670-2000 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 0000930667 S000033806 iShares J.P. 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0.000 048 K015400 0 048 K025400 0.000 049 003600 N 049 005100 N 049 005200 N 049 005300 N 049 005400 N 050 003600 N 050 005100 N 050 005200 N 050 005300 N 050 005400 N 051 003600 N 051 005100 N 051 005200 N PAGE 14 051 005300 N 051 005400 N 052 003600 N 052 005100 N 052 005200 N 052 005300 N 052 005400 N 053 A003600 N 053 A005100 N 053 A005200 N 053 A005300 N 053 A005400 N 054 A00AA00 Y 054 B00AA00 Y 054 C00AA00 Y 054 D00AA00 Y 054 E00AA00 Y 054 F00AA00 Y 054 G00AA00 Y 054 H00AA00 Y 054 I00AA00 Y 054 J00AA00 N 054 K00AA00 Y 054 L00AA00 Y 054 M00AA00 Y 054 N00AA00 Y 054 O00AA00 Y 055 A003600 Y 055 B003600 N 055 A005100 Y 055 B005100 N 055 A005200 Y 055 B005200 N 055 A005300 Y 055 B005300 N 055 A005400 Y 055 B005400 N 056 003600 Y 056 005100 Y 056 005200 Y 056 005300 Y 056 005400 Y 057 003600 N 057 005100 N 057 005200 N 057 005300 N 057 005400 N 058 A003600 N 058 A005100 N 058 A005200 N 058 A005300 N PAGE 15 058 A005400 N 059 003600 Y 059 005100 Y 059 005200 Y 059 005300 Y 059 005400 Y 060 A003600 N 060 B003600 N 060 A005100 N 060 B005100 N 060 A005200 Y 060 B005200 Y 060 A005300 Y 060 B005300 Y 060 A005400 Y 060 B005400 Y 061 003600 9370000 061 005100 2530000 061 005200 5304000 061 005300 5098000 061 005400 2566500 062 A003600 Y 062 B003600 0.0 062 C003600 0.0 062 D003600 0.0 062 E003600 0.0 062 F003600 0.0 062 G003600 0.0 062 H003600 0.0 062 I003600 0.0 062 J003600 0.0 062 K003600 0.0 062 L003600 0.0 062 M003600 0.0 062 N003600 0.0 062 O003600 0.0 062 P003600 0.0 062 Q003600 96.6 062 R003600 0.2 062 A005100 Y 062 B005100 0.0 062 C005100 0.0 062 D005100 0.0 062 E005100 0.0 062 F005100 0.0 062 G005100 0.0 062 H005100 0.0 062 I005100 0.0 062 J005100 0.0 062 K005100 0.0 062 L005100 0.0 PAGE 16 062 M005100 0.0 062 N005100 0.0 062 O005100 0.0 062 P005100 41.2 062 Q005100 56.0 062 R005100 1.7 062 A005200 Y 062 B005200 0.0 062 C005200 0.0 062 D005200 0.0 062 E005200 0.0 062 F005200 0.0 062 G005200 0.0 062 H005200 0.0 062 I005200 0.0 062 J005200 0.0 062 K005200 0.0 062 L005200 0.0 062 M005200 0.0 062 N005200 0.0 062 O005200 0.0 062 P005200 96.5 062 Q005200 0.0 062 R005200 0.0 062 A005300 Y 062 B005300 0.0 062 C005300 0.0 062 D005300 0.0 062 E005300 0.0 062 F005300 0.0 062 G005300 0.0 062 H005300 0.0 062 I005300 0.0 062 J005300 0.0 062 K005300 0.0 062 L005300 0.0 062 M005300 0.0 062 N005300 0.0 062 O005300 0.0 062 P005300 98.1 062 Q005300 0.0 062 R005300 17.1 062 A005400 Y 062 B005400 0.0 062 C005400 0.0 062 D005400 0.0 062 E005400 0.0 062 F005400 0.0 062 G005400 0.0 062 H005400 0.0 062 I005400 0.0 PAGE 17 062 J005400 0.0 062 K005400 0.0 062 L005400 0.0 062 M005400 0.0 062 N005400 0.0 062 O005400 0.0 062 P005400 95.9 062 Q005400 1.0 062 R005400 7.0 063 A003600 0 063 B003600 7.2 063 A005100 0 063 B005100 9.1 063 A005200 0 063 B005200 3.7 063 A005300 0 063 B005300 3.9 063 A005400 0 063 B005400 6.8 064 A003600 N 064 B003600 N 064 A005100 N 064 B005100 N 064 A005200 N 064 B005200 Y 064 A005300 N 064 B005300 Y 064 A005400 N 064 B005400 N 065 005200 N 065 005300 N 066 A003600 N 066 A005100 N 066 A005200 N 066 A005300 N 066 A005400 N 067 003600 N 067 005100 N 067 005200 N 067 005300 N 067 005400 N 068 A003600 N 068 B003600 Y 068 A005100 N 068 B005100 Y 068 A005200 N 068 B005200 Y 068 A005300 N 068 B005300 N 068 A005400 N 068 B005400 Y PAGE 18 069 003600 Y 069 005100 Y 069 005200 Y 069 005300 Y 069 005400 Y 070 A013600 Y 070 A023600 N 070 B013600 Y 070 B023600 N 070 C013600 Y 070 C023600 N 070 D013600 Y 070 D023600 N 070 E013600 Y 070 E023600 N 070 F013600 Y 070 F023600 N 070 G013600 Y 070 G023600 N 070 H013600 Y 070 H023600 N 070 I013600 Y 070 I023600 N 070 J013600 Y 070 J023600 Y 070 K013600 Y 070 K023600 Y 070 L013600 Y 070 L023600 Y 070 M013600 Y 070 M023600 Y 070 N013600 Y 070 N023600 N 070 O013600 Y 070 O023600 N 070 P013600 Y 070 P023600 Y 070 Q013600 Y 070 Q023600 N 070 R013600 Y 070 R023600 N 070 A015100 Y 070 A025100 N 070 B015100 Y 070 B025100 N 070 C015100 Y 070 C025100 N 070 D015100 Y 070 D025100 N 070 E015100 Y 070 E025100 N PAGE 19 070 F015100 Y 070 F025100 N 070 G015100 Y 070 G025100 N 070 H015100 Y 070 H025100 N 070 I015100 Y 070 I025100 N 070 J015100 Y 070 J025100 Y 070 K015100 Y 070 K025100 Y 070 L015100 Y 070 L025100 Y 070 M015100 Y 070 M025100 N 070 N015100 Y 070 N025100 N 070 O015100 Y 070 O025100 N 070 P015100 Y 070 P025100 Y 070 Q015100 Y 070 Q025100 N 070 R015100 Y 070 R025100 N 070 A015200 Y 070 A025200 N 070 B015200 Y 070 B025200 N 070 C015200 Y 070 C025200 N 070 D015200 Y 070 D025200 N 070 E015200 Y 070 E025200 N 070 F015200 Y 070 F025200 N 070 G015200 Y 070 G025200 N 070 H015200 Y 070 H025200 N 070 I015200 Y 070 I025200 N 070 J015200 Y 070 J025200 Y 070 K015200 Y 070 K025200 Y 070 L015200 Y 070 L025200 Y 070 M015200 Y PAGE 20 070 M025200 Y 070 N015200 Y 070 N025200 N 070 O015200 Y 070 O025200 N 070 P015200 Y 070 P025200 Y 070 Q015200 Y 070 Q025200 N 070 R015200 Y 070 R025200 N 070 A015300 Y 070 A025300 N 070 B015300 Y 070 B025300 N 070 C015300 Y 070 C025300 N 070 D015300 Y 070 D025300 N 070 E015300 Y 070 E025300 N 070 F015300 Y 070 F025300 N 070 G015300 Y 070 G025300 N 070 H015300 Y 070 H025300 N 070 I015300 Y 070 I025300 N 070 J015300 Y 070 J025300 Y 070 K015300 Y 070 K025300 Y 070 L015300 Y 070 L025300 Y 070 M015300 Y 070 M025300 Y 070 N015300 Y 070 N025300 Y 070 O015300 Y 070 O025300 N 070 P015300 Y 070 P025300 Y 070 Q015300 Y 070 Q025300 N 070 R015300 Y 070 R025300 N 070 A015400 Y 070 A025400 N 070 B015400 Y 070 B025400 N PAGE 21 070 C015400 Y 070 C025400 N 070 D015400 Y 070 D025400 N 070 E015400 Y 070 E025400 N 070 F015400 Y 070 F025400 N 070 G015400 Y 070 G025400 N 070 H015400 Y 070 H025400 N 070 I015400 Y 070 I025400 N 070 J015400 Y 070 J025400 Y 070 K015400 Y 070 K025400 Y 070 L015400 Y 070 L025400 Y 070 M015400 Y 070 M025400 N 070 N015400 Y 070 N025400 Y 070 O015400 Y 070 O025400 N 070 P015400 Y 070 P025400 Y 070 Q015400 Y 070 Q025400 N 070 R015400 Y 070 R025400 N 071 A003600 275670 071 B003600 309158 071 C003600 283555 071 D003600 97 071 A005100 90126 071 B005100 72675 071 C005100 294300 071 D005100 25 071 A005200 38487 071 B005200 37216 071 C005200 76500 071 D005200 49 071 A005300 88454 071 B005300 37759 071 C005300 167954 071 D005300 22 071 A005400 60046 071 B005400 40985 071 C005400 65902 PAGE 22 071 D005400 62 072 A003600 12 072 B003600 16485 072 C003600 6 072 D003600 0 072 E003600 45 072 F003600 1493 072 G003600 0 072 H003600 0 072 I003600 0 072 J003600 0 072 K003600 0 072 L003600 0 072 M003600 0 072 N003600 0 072 O003600 0 072 P003600 0 072 Q003600 0 072 R003600 0 072 S003600 0 072 T003600 0 072 U003600 0 072 V003600 0 072 W003600 5 072 X003600 1498 072 Y003600 0 072 Z003600 15038 072AA003600 14540 072BB003600 33312 072CC013600 7395 072CC023600 0 072DD013600 0 072DD023600 0 072EE003600 0 072 A005100 12 072 B005100 18300 072 C005100 23 072 D005100 0 072 E005100 0 072 F005100 1471 072 G005100 0 072 H005100 0 072 I005100 0 072 J005100 0 072 K005100 0 072 L005100 0 072 M005100 0 072 N005100 0 072 O005100 0 072 P005100 0 072 Q005100 0 PAGE 23 072 R005100 0 072 S005100 0 072 T005100 0 072 U005100 0 072 V005100 0 072 W005100 6 072 X005100 1477 072 Y005100 0 072 Z005100 16846 072AA005100 2805 072BB005100 2253 072CC015100 5173 072CC025100 0 072DD015100 16159 072DD025100 0 072EE005100 0 072 A005200 12 072 B005200 3000 072 C005200 0 072 D005200 0 072 E005200 0 072 F005200 299 072 G005200 0 072 H005200 0 072 I005200 0 072 J005200 0 072 K005200 0 072 L005200 0 072 M005200 0 072 N005200 0 072 O005200 0 072 P005200 0 072 Q005200 0 072 R005200 0 072 S005200 0 072 T005200 0 072 U005200 0 072 V005200 0 072 W005200 1 072 X005200 300 072 Y005200 0 072 Z005200 2700 072AA005200 2303 072BB005200 13199 072CC015200 14690 072CC025200 0 072DD015200 622 072DD025200 0 072EE005200 0 072 A005300 12 072 B005300 9041 PAGE 24 072 C005300 11 072 D005300 0 072 E005300 191 072 F005300 694 072 G005300 0 072 H005300 0 072 I005300 0 072 J005300 0 072 K005300 0 072 L005300 0 072 M005300 0 072 N005300 0 072 O005300 0 072 P005300 0 072 Q005300 0 072 R005300 0 072 S005300 0 072 T005300 0 072 U005300 0 072 V005300 0 072 W005300 4 072 X005300 698 072 Y005300 0 072 Z005300 8545 072AA005300 2289 072BB005300 1191 072CC015300 6305 072CC025300 0 072DD015300 7410 072DD025300 0 072EE005300 0 072 A005400 12 072 B005400 3193 072 C005400 12 072 D005400 0 072 E005400 13 072 F005400 345 072 G005400 0 072 H005400 0 072 I005400 0 072 J005400 0 072 K005400 0 072 L005400 0 072 M005400 0 072 N005400 0 072 O005400 0 072 P005400 0 072 Q005400 0 072 R005400 0 072 S005400 0 072 T005400 0 PAGE 25 072 U005400 0 072 V005400 0 072 W005400 2 072 X005400 347 072 Y005400 0 072 Z005400 2871 072AA005400 1182 072BB005400 458 072CC015400 1273 072CC025400 0 072DD015400 2732 072DD025400 0 072EE005400 0 073 A013600 0.0000 073 A023600 0.0000 073 B003600 0.0000 073 C003600 0.0000 073 A015100 3.0128 073 A025100 0.0000 073 B005100 0.0000 073 C005100 0.0000 073 A015200 0.3951 073 A025200 0.0000 073 B005200 0.0000 073 C005200 0.0907 073 A015300 2.3241 073 A025300 0.0000 073 B005300 0.0000 073 C005300 0.0000 073 A015400 2.0717 073 A025400 0.0000 073 B005400 0.0000 073 C005400 0.0000 074 A003600 4825 074 B003600 0 074 C003600 0 074 D003600 298810 074 E003600 0 074 F003600 0 074 G003600 0 074 H003600 0 074 I003600 490 074 J003600 9947 074 K003600 0 074 L003600 5711 074 M003600 0 074 N003600 319783 074 O003600 10356 074 P003600 133 074 Q003600 0 074 R013600 0 PAGE 26 074 R023600 0 074 R033600 0 074 R043600 77 074 S003600 0 074 T003600 309217 074 U013600 6600 074 U023600 0 074 V013600 46.85 074 V023600 0.00 074 W003600 0.0000 074 X003600 85 074 Y003600 0 074 A005100 5 074 B005100 0 074 C005100 0 074 D005100 607241 074 E005100 0 074 F005100 0 074 G005100 0 074 H005100 0 074 I005100 10477 074 J005100 7042 074 K005100 0 074 L005100 15167 074 M005100 0 074 N005100 639932 074 O005100 14772 074 P005100 252 074 Q005100 0 074 R015100 0 074 R025100 0 074 R035100 0 074 R045100 41 074 S005100 0 074 T005100 624867 074 U015100 12350 074 U025100 0 074 V015100 50.60 074 V025100 0.00 074 W005100 0.0000 074 X005100 77 074 Y005100 0 074 A005200 3214 074 B005200 0 074 C005200 0 074 D005200 87012 074 E005200 0 074 F005200 0 074 G005200 0 074 H005200 0 074 I005200 1 PAGE 27 074 J005200 728 074 K005200 0 074 L005200 1320 074 M005200 0 074 N005200 92275 074 O005200 2084 074 P005200 31 074 Q005200 0 074 R015200 0 074 R025200 0 074 R035200 0 074 R045200 0 074 S005200 0 074 T005200 90160 074 U015200 1700 074 U025200 0 074 V015200 53.04 074 V025200 0.00 074 W005200 0.0000 074 X005200 60 074 Y005200 0 074 A005300 1590 074 B005300 0 074 C005300 0 074 D005300 209951 074 E005300 0 074 F005300 0 074 G005300 0 074 H005300 0 074 I005300 36684 074 J005300 1575 074 K005300 0 074 L005300 3181 074 M005300 0 074 N005300 252981 074 O005300 3699 074 P005300 73 074 Q005300 0 074 R015300 0 074 R025300 0 074 R035300 0 074 R045300 35106 074 S005300 0 074 T005300 214103 074 U015300 4200 074 U025300 0 074 V015300 50.98 074 V025300 0.00 074 W005300 0.0000 074 X005300 70 074 Y005300 0 PAGE 28 074 A005400 0 074 B005400 0 074 C005400 0 074 D005400 84596 074 E005400 0 074 F005400 0 074 G005400 0 074 H005400 0 074 I005400 6036 074 J005400 832 074 K005400 0 074 L005400 951 074 M005400 0 074 N005400 92415 074 O005400 1688 074 P005400 36 074 Q005400 0 074 R015400 0 074 R025400 0 074 R035400 0 074 R045400 3422 074 S005400 0 074 T005400 87269 074 U015400 1700 074 U025400 0 074 V015400 51.33 074 V025400 0.00 074 W005400 0.0000 074 X005400 60 074 Y005400 0 075 A003600 0 075 B003600 303782 075 A005100 0 075 B005100 302996 075 A005200 0 075 B005200 78892 075 A005300 0 075 B005300 172804 075 A005400 0 075 B005400 68229 076 003600 0.00 076 005100 0.00 076 005200 0.00 076 005300 0.00 076 005400 0.00 077 A000000 Y 077 B000000 Y 077 O000000 Y 078 000000 N 080 A00AA00 Federal Insurance Co 080 C00AA00 6900 PAGE 29 081 A00AA00 Y 081 B00AA00 346 082 A00AA00 N 082 B00AA00 0 083 A00AA00 N 083 B00AA00 0 084 A00AA00 N 084 B00AA00 0 085 A00AA00 Y 085 B00AA00 N 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 NANCY YIM TITLE VICE PRESIDENT EX-99 2 audlett.txt Report of Independent Registered Public Accounting Firm To the Board of Directors and Shareholders of iShares, Inc. In planning and performing our audits of the financial statements of the funds of iShares, Inc., as listed in the attached Appendix A, (hereafter referred to as the "Funds") as of and for the period ended October 31, 2017, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Funds' internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinions on the financial statements and to comply with the requirements of Form N-SAR, but not for the purpose of expressing an opinion on the effectiveness of the Funds' internal control over financial reporting. Accordingly, we do not express an opinion on the effectiveness of the Funds' internal control over financial reporting. The management of the Funds 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 directors 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 Funds' annual or interim financial statements will not be prevented or detected on a timely basis. Our consideration of the Funds' 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 over financial reporting that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Funds' internal control over financial reporting and their operation, including controls over safeguarding securities, that we consider to be material weaknesses as defined above as of October 31, 2017. This report is intended solely for the information and use of management and the Board of Directors of the Funds 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/ PricewaterhouseCoopers LLP San Francisco, California December 21, 2017 Appendix A iShares, Inc. iShares Emerging Markets High Yield Bond ETF iShares International High Yield Bond ETF iShares J.P. Morgan EM Corporate Bond ETF iShares J.P. Morgan EM Local Currency Bond ETF iShares US & Intl High Yield Corp Bond ETF Information Classification: Limited Access Information Classification: Limited Access EX-99 3 item77o10f.txt iShares Inc Transactions Effected Pursuant to Rule 10f-3 N-SAR Item 77(O) Series Issuer Date of Offering Date of Purchase Underwriter From Whom Purchased Affiliated Underwriter Aggregage Principal Amount of Offering Aggregate Principall Amount Purchased Purchase Price Per Share (USD) Total Commission Paid to Affiliate 53 Toll Brothers Finance Corp (2027) 06/07/17 06/07/17 SUNTRUST ROBINSON HUMPHREY, INC. PNC $150,000,000 $85,000 $103.66 53 United States Steel Corporation (2025) 08/01/17 08/01/17 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED PNC $750,000,000 $150,000 $100.00 53 IPALCO Enterprises, Inc. (2024) 08/17/17 08/17/17 MORGAN STANLEY & CO LLC PNC $405,000,000 $30,000 $99.90 53 United Rentals (North America), Inc. (2028) 09/08/17 09/08/17 MORGAN STANLEY & CO LLC PNC $750,000,000 $155,000 $100.25 53 United Rentals (North America), Inc. (2025) 09/08/17 09/08/17 MORGAN STANLEY & CO LLC PNC $750,000,000 $80,000 $100.00 53 Gulfport Energy Corporation (2026) 10/05/17 10/05/17 J.P. MORGAN SECURITIES LLC PNC $450,000,000 $45,000 $100.00