0000897436-13-000436.txt : 20130628 0000897436-13-000436.hdr.sgml : 20130628 20130628094055 ACCESSION NUMBER: 0000897436-13-000436 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20130430 FILED AS OF DATE: 20130628 DATE AS OF CHANGE: 20130628 EFFECTIVENESS DATE: 20130628 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: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-09729 FILM NUMBER: 13939107 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 TRUST DATE OF NAME CHANGE: 19991213 0001100663 S000004363 iShares TIPS Bond ETF C000012093 iShares TIPS Bond ETF TIP 0001100663 S000019798 iShares J.P. Morgan USD Emerging Markets Bond ETF C000055529 iShares J.P. Morgan USD Emerging Markets Bond ETF EMB 0001100663 S000023614 iShares International Treasury Bond ETF C000069477 iShares International Treasury Bond ETF IGOV 0001100663 S000023615 iShares 1-3 Year International Treasury Bond ETF C000069478 iShares 1-3 Year International Treasury Bond ETF ISHG 0001100663 S000030318 iShares International Inflation-Linked Bond ETF C000093295 iShares International Inflation-Linked Bond ETF ITIP 0001100663 S000030319 iShares Global Inflation-Linked Bond ETF C000093296 iShares Global Inflation-Linked Bond ETF GTIP 0001100663 S000030481 iShares 0-5 Year TIPS Bond ETF C000093655 iShares 0-5 Year TIPS Bond ETF STIP 0001100663 S000033136 iShares Floating Rate Bond ETF C000102031 iShares Floating Rate Bond ETF FLOT 0001100663 S000035914 iShares CMBS ETF C000110079 iShares CMBS ETF CMBS 0001100663 S000035915 iShares GNMA Bond ETF C000110080 iShares GNMA Bond ETF GNMA 0001100663 S000035916 iShares Aaa - A Rated Corporate Bond ETF C000110081 iShares Aaa - A Rated Corporate Bond ETF QLTA 0001100663 S000035917 iShares Industrials Bond ETF C000110082 iShares Industrials Bond ETF ENGN 0001100663 S000035919 iShares U.S. Treasury Bond ETF C000110086 iShares U.S. Treasury Bond ETF GOVT 0001100663 S000035920 iShares Financials Bond ETF C000110087 iShares Financials Bond ETF MONY 0001100663 S000035921 iShares Utilities Bond ETF C000110088 iShares Utilities Bond ETF AMPS 0001100663 S000036774 iShares B - Ca Rated Corporate Bond ETF C000112472 iShares B - Ca Rated Corporate Bond ETF QLTC 0001100663 S000036775 iShares Baa - Ba Rated Corporate Bond ETF C000112473 iShares Baa - Ba Rated Corporate Bond ETF QLTB 0001100663 S000038926 iShares Core Short-Term U.S. Bond ETF C000119711 iShares Core Short-Term U.S. Bond ETF ISTB 0001100663 S000039610 iSharesBond 2018 Corporate ex-Financials Term ETF C000122190 iSharesBond 2018 Corporate ex-Financials Term ETF IBCC 0001100663 S000039661 iSharesBond 2016 Corporate ex-Financials Term ETF C000122831 iSharesBond 2016 Corporate ex-Financials Term ETF IBCB 0001100663 S000039662 iSharesBond 2020 Corporate ex-Financials Term ETF C000122832 iSharesBond 2020 Corporate ex-Financials Term ETF IBCD 0001100663 S000039663 iSharesBond 2023 Corporate ex-Financials Term ETF C000122833 iSharesBond 2023 Corporate ex-Financials Term ETF IBCE NSAR-A 1 answer.fil PAGE 1 000 A000000 04/30/2013 000 C000000 0001100663 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 ISHARES TRUST 001 B000000 811-09729 001 C000000 4156707805 002 A000000 200 CLARENDON STREET 002 B000000 BOSTON 002 C000000 MA 002 D010000 02116 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 99 007 C016200 62 007 C026200 ISHARES BARCLAYS TIPS BOND FUND 007 C036200 N 008 A00AA01 BLACKROCK FUND ADVISORS 008 B00AA01 A 008 C00AA01 801-22609 008 D01AA01 SAN FRANCISCO 008 D02AA01 CA 008 D03AA01 94105 008 D04AA01 2204 010 A00AA01 STATE STREET BANK AND TRUST COMPANY 010 B00AA01 85-11329 010 C01AA01 Boston 010 C02AA01 MA 010 C03AA01 02116 011 A00AA01 BLACKROCK INVESTMENTS LLC 011 B00AA01 8-48436 011 C01AA01 New York 011 C02AA01 NY 011 C03AA01 10022 012 A00AA01 STATE STREET BANK AND TRUST COMPANY 012 B00AA01 85-11329 012 C01AA01 Boston 012 C02AA01 MA 012 C03AA01 02116 013 A00AA01 PRICEWATERHOUSECOOPERS LLP 013 B01AA01 SAN FRANCISCO 013 B02AA01 CA 013 B03AA01 94111 PAGE 2 013 B04AA01 4004 014 A00AA01 BLACKROCK CAPITAL MARKETS LLC 014 B00AA01 8-67827 014 A00AA02 BLACKROCK EXECUTION SERVICES 014 B00AA02 8-48719 014 A00AA03 BLACKROCK INVESTMENTS LLC 014 B00AA03 8-48436 014 A00AA04 HARRIS WILLIAMS LLC 014 B00AA04 8-53380 014 A00AA05 PNC CAPITAL MARKETS LLC 014 B00AA05 8-32493 014 A00AA06 PNC INVESTMENTS LLC 014 B00AA06 8-66195 015 A00AA01 STATE STREET BANK AND TRUST COMPANY 015 B00AA01 C 015 C01AA01 BOSTON 015 C02AA01 MA 015 C03AA01 02116 015 E01AA01 X 018 00AA00 Y 019 A00AA00 Y 019 B00AA00 292 019 C00AA00 BLKISHARES 021 000000 0 022 A000001 RBS SECURITIES INC 022 B000001 13-3172275 022 C000001 2171007 022 D000001 1604172 022 A000002 GOLDMAN SACHS & CO 022 B000002 13-5108880 022 C000002 1382663 022 D000002 463971 022 A000003 DEUTSCHE BANK SECURITIES INC 022 B000003 13-2730828 022 C000003 1401429 022 D000003 327832 022 A000004 MORGAN STANLEY & CO LLC 022 B000004 36-3145972 022 C000004 833196 022 D000004 755034 022 A000005 CREDIT SUISSE SECURITIES (USA) LLC 022 B000005 05-0546650 022 C000005 590669 022 D000005 396338 022 A000006 CITIGROUP GLOBAL MARKETS INC/SALOMON BROTHERS 022 B000006 11-2418191 022 C000006 261723 022 D000006 339893 022 A000007 BANK OF AMERICA SECURITIES LLC 022 B000007 56-0906609 022 C000007 323401 PAGE 3 022 D000007 260787 022 A000008 BARCLAYS CAPITAL INC 022 B000008 13-3297824 022 C000008 117767 022 D000008 342707 022 A000009 MIZUHO SECURITIES USA INC 022 B000009 36-2880742 022 C000009 414720 022 D000009 2537 022 A000010 JPMORGAN CHASE BANK NA 022 B000010 13-494650 022 C000010 300328 022 D000010 82127 023 C000000 9949726 023 D000000 6000886 024 006200 N 026 A000000 N 026 B000000 N 026 C000000 N 026 D000000 Y 026 E000000 N 026 F000000 N 026 G010000 N 026 G020000 N 026 H000000 N 027 000000 Y 028 A016200 426874 028 A026200 0 028 A036200 0 028 A046200 415188 028 B016200 12257 028 B026200 0 028 B036200 0 028 B046200 379807 028 C016200 398551 028 C026200 0 028 C036200 0 028 C046200 410870 028 D016200 542298 028 D026200 0 028 D036200 0 028 D046200 1556156 028 E016200 820855 028 E026200 0 028 E036200 0 028 E046200 1265862 028 F016200 970230 028 F026200 0 028 F036200 0 028 F046200 1422327 028 G016200 3171065 PAGE 4 028 G026200 0 028 G036200 0 028 G046200 5450210 028 H006200 0 029 00AA00 N 030 A00AA00 0 030 B00AA00 0.00 030 C00AA00 0.00 031 A006200 0 031 B006200 0 032 006200 0 033 006200 0 034 00AA00 N 035 00AA00 0 036 B00AA00 0 037 006200 N 038 006200 0 039 006200 N 040 006200 N 042 A006200 0 042 B006200 0 042 C006200 0 042 D006200 0 042 E006200 0 042 F006200 0 042 G006200 0 042 H006200 0 043 006200 0 044 006200 0 045 006200 Y 046 006200 N 047 006200 Y 048 006200 0.200 048 A016200 0 048 A026200 0.000 048 B016200 0 048 B026200 0.000 048 C016200 0 048 C026200 0.000 048 D016200 0 048 D026200 0.000 048 E016200 0 048 E026200 0.000 048 F016200 0 048 F026200 0.000 048 G016200 0 048 G026200 0.000 048 H016200 0 048 H026200 0.000 048 I016200 0 048 I026200 0.000 PAGE 5 048 J016200 0 048 J026200 0.000 048 K016200 0 048 K026200 0.000 049 00AA00 N 050 00AA00 N 051 00AA00 N 052 00AA00 N 053 A00AA00 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 A00AA00 N 055 B00AA00 N 056 00AA00 Y 057 00AA00 N 058 A006200 N 059 006200 Y 060 A006200 Y 060 B006200 Y 061 006200 12198000 062 A006200 Y 062 B006200 0.0 062 C006200 0.0 062 D006200 0.0 062 E006200 0.0 062 F006200 0.0 062 G006200 0.0 062 H006200 0.0 062 I006200 0.0 062 J006200 0.0 062 K006200 0.0 062 L006200 0.0 062 M006200 99.6 062 N006200 0.0 062 O006200 0.0 062 P006200 0.0 062 Q006200 0.0 062 R006200 19.8 PAGE 6 063 A006200 0 063 B006200 9.1 064 A006200 N 064 B006200 N 066 A00AA00 N 067 00AA00 N 068 A00AA00 N 068 B00AA00 N 069 00AA00 Y 070 A016200 Y 070 A026200 N 070 B016200 Y 070 B026200 N 070 C016200 Y 070 C026200 N 070 D016200 Y 070 D026200 N 070 E016200 Y 070 E026200 N 070 F016200 Y 070 F026200 N 070 G016200 Y 070 G026200 N 070 H016200 Y 070 H026200 N 070 I016200 Y 070 I026200 N 070 J016200 Y 070 J026200 N 070 K016200 Y 070 K026200 Y 070 L016200 Y 070 L026200 N 070 M016200 Y 070 M026200 N 070 N016200 Y 070 N026200 Y 070 O016200 Y 070 O026200 N 070 P016200 Y 070 P026200 N 070 Q016200 Y 070 Q026200 N 070 R016200 Y 070 R026200 N 071 A006200 6613012 071 B006200 4415613 071 C006200 21611036 071 D006200 20 072 A006200 6 072 B006200 176439 PAGE 7 072 C006200 0 072 D006200 0 072 E006200 2055 072 F006200 21555 072 G006200 0 072 H006200 0 072 I006200 0 072 J006200 0 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077 O000000 Y 077 Q010000 Y 078 000000 N 080 C00AA00 0 081 B00AA00 0 082 B00AA00 0 083 B00AA00 0 084 B00AA00 0 086 A010000 0 086 A020000 0 086 B010000 0 086 B020000 0 086 C010000 0 086 C020000 0 086 D010000 0 086 D020000 0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 SIGNATURE NANCY YIM TITLE VICE PRESIDENT EX-99 2 ex7c.htm Unassociated Document
 
 
 

iShares Trust

Screen #2 attachment for funds beyond series 99

127                           ISHARES J.P. MORGAN USD EMERGING MARKETS BOND FD    N
149                ISHARES S&P/CITI INTERNATIONAL TREASURY BOND        N
150                ISHARES S&P/CITI 1-3 YR INTERNATIONAL TREARSURY     N
186        ISHARES BARCLAYS 0-5 YEAR TIPS BOND FUND   N
189        ISHARES GLOBAL INFLATION-LINKED BOND FUND   N
190        ISHARES INTERNATIONAL INFLATION-LINKED BOND FUND    N
191        ISHARES FLOATING RATE NOTE FUND                                                                                                                              N
211        ISHARES BARCLAYS CMBS BOND FUND                                                                                                                          N
212        ISHARES BARCLAYS GNMA BOND FUND                                                                                                                          N
213        ISHARES Aaa-A RATED CORPORATE BOND FUND                                                                                                                                         N
214        ISHARES BARCLAYS U.S. TREASURY BOND FUND                                                                                                                                         N
215        ISHARES FINANCIALS SECTOR BOND FUND                                                                                                                                         N
216        ISHARES INDUSTRIALS SECTOR BOND FUND                                                                                                                                         N
217        ISHARES UTILITIES SECTOR BOND FUND                                                                                                                                         N
218        ISHARES Baa-Ba RATED CORPORATE BOND FUND   N
219        ISHARES B-Ca RATED CORPORATE BOND FUND                                                                                                                                   N
223        ISHARES CORE SHORT-TERM U.S. BOND ETF               N
227        ISHARES 2016 INVESTMENT GRADE CORPORATE BOND ETF    N
228        ISHARES 2018 INVESTMENT GRADE CORPORATE BOND ETF    N
229        ISHARES 2020 INVESTMENT GRADE CORPORATE BOND ETF    N
230        ISHARES 2023 INVESTMENT GRADE CORPORATE BOND ETF    N

Please visit the iShares website for the most recent shareholder report if you need more information on any series higher than series 99. http://us.ishares.com/advisor_resources/resource_library/tax_legal_documents.htm

 
 
 

EX-99 3 legalproceedings.htm Unassociated Document
 
 
 

N-SAR Item 77E (to be included in all N-SAR filings)

On January 18, 2013, a lawsuit was filed in the United States District Court for the Middle District of Tennessee by Laborers' Local 265 Pension Fund and Plumbers and Pipefitters Local No. 572 Pension Fund against BlackRock Fund Advisors ("BFA"), BlackRock Institutional Trust Co. N.A. ("BTC"), and the current members of the iShares Trust Board of Trustees and the Board of Directors of iShares, Inc. (collectively, “Defendants”) for alleged violations of, among other things, Sections 36(a) and 36(b) of the Investment Company Act of 1940, as amended (the “1940 Act”).  The complaint purports to be brought derivatively on behalf of iShares Trust and iShares, Inc., as well as the following eight funds:  iShares Russell MidCap Index Fund; iShares MSCI EAFE Index Fund; iShares MSCI Emerging Markets Index Fund; iShares Russell 2000 Growth Index Fund; iShares Russell 2000 Value Index Fund; iShares Core S&P Mid-Cap ETF; iShares Core S&P Small-Cap ETF; and iShares Dow Jones U.S. Real Estate Index Fund (the "Funds").  The complaint alleges, among other things, that BFA and BTC breached their fiduciary duties under the 1940 Act by charging allegedly excessive fees in connection with the provision of securities lending services to the Funds, that the individual defendants breached their fiduciary duties under the 1940 Act by approving those fee arrangements, and that the securities lending contracts are unenforceable under Section 47(b) of the 1940 Act.  Plaintiffs seek injunctive relief, rescission of the securities lending contracts, and monetary damages of an unspecified amount. Defendants believe the claims are without merit and intend to vigorously defend themselves against the allegations in the lawsuit.  On March 11, 2013, the Defendants filed a motion to dismiss the lawsuit.


 
 
 

EX-99 4 isharestrust.htm Unassociated Document
 
 
 

iShares Trust
                
Transactions Effected Pursuant to Rule 10f-3
                
N-SAR Item 77(O)
        
Aggregate
Aggregate
Purchase
Total
       
Underwriter
  
Principal
Principal
Price
Commission
   
Date of
Date of
From Whom
Affiliated
Amount
Amount
Per Share
Paid to
Series
Issuer
Offering
Purchase
Purchased
Underwriter
of Offering
Purchased
(USD)
Affiliate
191
JPMorgan Chase & Co. (2015)
10/15/12
10/15/12
J.P. Morgan Securities LLC
PNC
$600,000,000
$2,000,000
 $  100.00
               -
                   
216
Carlisle Companies Incorporated (2022)
11/15/12
11/15/12
J.P. Morgan Securities LLC
PNC
$350,000,000
$10,000
 $    99.69
               -
                   
216
Pentair Finance S.A. (2019)
11/19/12
11/19/12
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$250,000,000
$15,000
 $    99.77
               -
                   
213
The Sherwin-Williams Company (2017)
12/04/12
12/04/12
Wells Fargo Securities, LLC
PNC
$700,000,000
$250,000
 $    99.87
               -