EX-99 3 isharestrust1.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
115
The City of New York, General Obligation Bonds, Fiscal 2013 Series F, Tax-Exempt Bonds, Subseries F-1
03/01/13
03/01/13
Morgan Stanley & Co. LLC
PNC
$500,000,000
$2,000,000
$115.79
               -
                   
106
Steel Dynamics, Inc. (2023)
03/12/13
03/12/13
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$400,000,000
$1,450,000
$100.00
               -
                   
61
Union Pacific Corporation (2043)
03/12/13
03/12/13
J.P. Morgan Securities LLC
PNC
$325,000,000
$1,975,000
$98.61
               -
                   
106
Chesapeake Energy Corporation (2016)
03/18/13
03/18/13
Morgan Stanley & Co. LLC
PNC
$500,000,000
$6,275,000
$100.00
               -
                   
106
Chesapeake Energy Corporation (2021)
03/18/13
03/18/13
Morgan Stanley & Co. LLC
PNC
$700,000,000
$13,750,000
$100.00
               -
                   
106
Chesapeake Energy Corporation (2023)
03/18/13
03/18/13
Morgan Stanley & Co. LLC
PNC
$1,100,000,000
$10,075,000
$100.00
               -
                   
103
Host Hotels & Resorts, L.P., a Delaware limited partnership (2023)
03/19/13
03/19/13
J.P. Morgan Securities LLC
PNC
$400,000,000
$25,000
$99.95
               -
                   
101
Host Hotels & Resorts, L.P., a Delaware limited partnership (2023)
03/19/13
03/19/13
J.P. Morgan Securities LLC
PNC
$400,000,000
$125,000
$99.95
               -
                   
102
Host Hotels & Resorts, L.P., a Delaware limited partnership (2023)
03/19/13
03/19/13
J.P. Morgan Securities LLC
PNC
$400,000,000
$125,000
$99.95
               -
                   
100
Host Hotels & Resorts, L.P., a Delaware limited partnership (2023)
03/19/13
03/19/13
J.P. Morgan Securities LLC
PNC
$400,000,000
$525,000
$99.95
               -
                   
61
Host Hotels & Resorts, L.P., a Delaware limited partnership (2023)
03/19/13
03/19/13
J.P. Morgan Securities LLC
PNC
$400,000,000
$625,000
$99.95
               -
                   
101
Stryker Corporation (2018)
03/20/13
03/20/13
Barclays Capital Inc.
PNC
$600,000,000
$500,000
$99.57
               -
                   
102
Stryker Corporation (2018)
03/20/13
03/20/13
Barclays Capital Inc.
PNC
$600,000,000
$500,000
$99.57
               -
                   
61
Stryker Corporation (2018)
03/20/13
03/20/13
Barclays Capital Inc.
PNC
$600,000,000
$2,000,000
$99.57
               -
                   
99
Citigroup Inc. (2016)
03/22/13
03/22/13
Citigroup Global Markets Inc.
PNC
$850,000,000
$12,000,000
$99.88
               -
                   
61
Reliance Steel & Aluminum Co. (2023)
04/09/13
04/09/13
J.P Morgan Securities LLC
PNC
$500,000,000
$800,000
$99.59
               -
                   
102
Reliance Steel & Aluminum Co. (2023)
04/09/13
04/09/13
J.P Morgan Securities LLC
PNC
$500,000,000
$50,000
$99.59
               -
                   
100
Reliance Steel & Aluminum Co. (2023)
04/09/13
04/09/13
J.P Morgan Securities LLC
PNC
$500,000,000
$350,000
$99.59
               -
                   
61
AutoZone, Inc. (2023)
04/18/13
04/18/13
SunTrust Robinson Humphrey, Inc.
PNC
$500,000,000
$1,000,000
$99.45
               -
                   
115
The Illinois State Toll Highway Authority-Tool Highway Senior Revenue Bonds, 2013 Series A
04/19/13
04/19/13
J.P Morgan Securities LLC
PNC
$500,000,000
$1,000,000
$111.90
               -
                   
61
The TJX Companies, Inc. (2023)
04/29/13
04/29/13
Deutsche Bank Securities Inc.
PNC
$500,000,000
$975,000
$99.91
               -
                   
101
The TJX Companies, Inc. (2023)
04/29/13
04/29/13
Deutsche Bank Securities Inc.
PNC
$500,000,000
$125,000
$99.91
               -
                   
102
The TJX Companies, Inc. (2023)
04/29/13
04/29/13
Deutsche Bank Securities Inc.
PNC
$500,000,000
$125,000
$99.91
               -
                   
106
Toll Brothers Finance Corp. (2023)
05/08/13
05/08/13
Citigroup Global Markets Inc.
PNC
$100,000,000
$2,650,000
$102.98
               -
                   
106
Ball Corporation. (2023)
05/09/13
05/09/13
Deutsche Bank Securities Inc.
PNC
$1,000,000,000
$10,050,000
$100.00
               -
                   
61
Consumers Energy Company (2043)
05/13/13
05/13/13
Barclays Capital Inc.
PNC
$425,000,000
$500,000
$99.84
               -
                   
115
The City of New York General Obligation Bonds Fiscal 2013 J
05/24/13
05/24/13
Bank of America Merrill Lynch
PNC
$706,815,000
$1,000,000
$119.05
               -
               
$120.65
  
               
$122.43
  
                   
117
The City of New York General Obligation Bonds Fiscal 2013 J
05/24/13
05/24/13
Bank of America Merrill Lynch
PNC
$706,815,000
$500,000
$119.05
               -
               
$120.65
  
               
$122.43
  
                   
99
Northrop Grumman Corporation (2018)
05/28/13
05/28/13
J.P. Morgan Securities LLC
PNC
$850,000,000
$3,000,000
$99.72
               -
                   
100
Northrop Grumman Corporation (2018)
05/28/13
05/28/13
J.P. Morgan Securities LLC
PNC
$850,000,000
$1,975,000
$99.72
               -
                   
61
Northrop Grumman Corporation (2023)
05/28/13
05/28/13
J.P. Morgan Securities LLC
PNC
$1,050,000,000
$1,950,000
$99.46
               -
                   
115
City of Columbus, Ohio General Obligation Bonds Various Purpose Unlimited Tax Refunding Bonds, Series 2013-1
05/30/13
05/30/13
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$316,920,000
$1,000,000
$121.99
               -
                   
102
EMC Corporation (2023)
06/03/13
06/03/13
J.P. Morgan Securities LLC
PNC
$1,000,000,000
$100,000
$99.93
               -
                   
61
EMC Corporation (2023)
06/03/13
06/03/13
J.P. Morgan Securities LLC
PNC
$1,000,000,000
$2,150,000
$99.93
               -
                   
101
EMC Corporation (2023)
06/03/13
06/03/13
J.P. Morgan Securities LLC
PNC
$1,000,000,000
$250,000
$99.93
               -
                   
100
EMC Corporation (2023)
06/03/13
06/03/13
J.P. Morgan Securities LLC
PNC
$1,000,000,000
$2,000,000
$99.93
               -
                   
59
EMC Corporation (2023)
06/03/13
06/03/13
J.P. Morgan Securities LLC
PNC
$1,000,000,000
$10,000,000
$99.93
               -
                   
148
State of Illinois General Obligation Bonds
06/27/13
06/27/13
Wells Fargo Securities LLC
PNC
$1,300,000,000
$1,000,000
$98.00
               -
               
$105.25
  
               
$109.32
  
               
$98.83
  
                   
115
State of Illinois General Obligation Bonds
06/27/13
06/27/13
Wells Fargo Securities LLC
PNC
$1,300,000,000
$2,000,000
$98.00
               -
               
$105.25
  
               
$109.32
  
               
$98.83
  
                   
147
Private Export Funding Corporation (2018)
07/09/13
07/09/13
BNP Paribas Securities Coporation
PNC
$500,000,000
$3,000,000
$99.84
               -
                   
61
The Kroger Co. (2023)
07/18/13
07/18/13
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$600,000,000
$2,025,000
$99.96
               -
                   
100
The Kroger Co. (2023)
07/18/13
07/18/13
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$600,000,000
$1,000,000
$99.96
               -
                   
61
Nucor Corporation (2023)
07/24/13
07/24/13
Citigroup Global Markets Inc.
PNC
$500,000,000
$2,450,000
$99.93
               -
                   
100
Nucor Corporation (2023)
07/24/13
07/24/13
Citigroup Global Markets Inc.
PNC
$500,000,000
$100,000
$99.93
               -
                   
102
Nucor Corporation (2023)
07/24/13
07/24/13
Citigroup Global Markets Inc.
PNC
$500,000,000
$250,000
$99.93
               -
                   
115
The State of Ohio Turnpike Revenue Bond, 2013 Series A
07/31/13
07/31/13
Citigroup Global Markets Inc.
PNC
$994,812,816
$6,500,000
$19.78
               -
               
$58.63
  
               
$99.19
  
               
$104.10
  
                   
61
Moody's Corporation (2024)
08/07/13
08/07/13
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$500,000,000
$2,000,000
$99.43
               -
                   
101
Moody's Corporation (2024)
08/07/13
08/07/13
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$500,000,000
$250,000
$99.43
               -
                   
102
Moody's Corporation (2024)
08/07/13
08/07/13
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$500,000,000
$250,000
$99.43
               -
                   
61
Trinity Acquisition plc. (2023)
08/08/13
08/08/13
Barclays Capital Inc.
PNC
$250,000,000
$1,750,000
$99.44
               -
                   
102
Trinity Acquisition plc. (2023)
08/08/13
08/08/13
Barclays Capital Inc.
PNC
$250,000,000
$250,000
$99.44
               -
                   
61
CA, Inc. (2023)
08/13/13
08/13/13
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$250,000,000
$2,210,000
$99.54
               -
                   
100
CA, Inc. (2023)
08/13/13
08/13/13
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$250,000,000
$1,360,000
$99.54
               -
                   
102
CA, Inc. (2023)
08/13/13
08/13/13
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$250,000,000
$170,000
$99.54
               -
                   
115
New Jersey Transportation Trust Fund Authority Transportation Program Bonds, 2013 Series AA (NJ)
08/21/13
08/21/13
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$849,200,000
$1,000,000
$96.64
               -
                   
                 
               -