EX-99 4 isemi77o10f3.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
106
Crown Castle International Corp. (2022)
04/01/14
04/01/14
Barclays Capital Inc.
PNC
$850,000,000
$10,050,000
 $     99.50
                 -
                   
106
Chesapeake Energy Corporation. (2022)
04/10/14
04/10/14
Citigroup Global Markets Inc.
PNC
$1,500,000,000
$18,000,000
 $  100.00
                 -
                   
106
CONSOL Energy Inc. (2022)
04/10/14
04/10/14
J.P. Morgan Securities LLC
PNC
$1,600,000,000
$9,075,000
 $  100.00
                 -
                   
106
Antero Resources Corporation (2022)
04/23/14
04/23/14
J.P. Morgan Securities LLC
PNC
$600,000,000
$2,800,000
 $  100.00
                 -
                   
61
Senior Housing Properties Trust (2019)
04/23/14
04/23/14
Wells Fargo Securities, LLC
PNC
$400,000,000
$1,000,000
 $     99.93
  
                   
102
Senior Housing Properties Trust (2019)
04/23/14
04/23/14
Wells Fargo Securities, LLC
PNC
$400,000,000
$400,000
 $     99.93
  
                   
61
Senior Housing Properties Trust (2024)
04/23/14
04/23/14
Wells Fargo Securities, LLC
PNC
$250,000,000
$1,000,000
 $     99.68
  
                   
61
Stryker Corporation (2024)
04/28/14
04/28/14
Goldman, Sachs & Co.
PNC
$600,000,000
$2,000,000
 $     99.12
  
                   
100
Stryker Corporation (2024)
04/28/14
04/28/14
Goldman, Sachs & Co.
PNC
$600,000,000
$2,000,000
 $     99.12
  
                   
102
Stryker Corporation (2024)
04/28/14
04/28/14
Goldman, Sachs & Co.
PNC
$600,000,000
$100,000
 $     99.12
  
                   
61
Stryker Corporation (2044)
04/28/14
04/28/14
Barclays Capital Inc.
PNC
$400,000,000
$1,000,000
 $     99.55
  
                   
101
Stryker Corporation (2044)
04/28/14
04/28/14
Barclays Capital Inc.
PNC
$400,000,000
$250,000
 $     99.55
  
                   
155
Stryker Corporation (2044)
04/28/14
04/28/14
Barclays Capital Inc.
PNC
$400,000,000
$750,000
 $     99.55
  
                   
100
Ryder System, Inc. (2019)
05/01/14
05/01/14
RBS Securities Inc.
PNC
$400,000,000
$1,030,000
 $     99.77
  
                   
61
Celgene Corporation (2019)
05/06/14
05/06/14
Credit Suisse Securities (USA) LLC
PNC
$500,000,000
$500,000
 $     99.75
  
                   
100
Celgene Corporation (2019)
05/06/14
05/06/14
Credit Suisse Securities (USA) LLC
PNC
$500,000,000
$2,000,000
 $     99.75
  
                   
102
Celgene Corporation (2019)
05/06/14
05/06/14
Credit Suisse Securities (USA) LLC
PNC
$500,000,000
$150,000
 $     99.75
  
                   
61
Celgene Corporation (2024)
05/06/14
05/06/14
Goldman, Sachs & Co.
PNC
$1,000,000,000
$500,000
 $     99.66
  
                   
101
Celgene Corporation (2024)
05/06/14
05/06/14
Goldman, Sachs & Co.
PNC
$1,000,000,000
$250,000
 $     99.66
  
                   
61
Celgene Corporation (2044)
05/06/14
05/06/14
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$1,000,000,000
$500,000
 $     99.65
  
                   
61
Continental Resources, Inc. (2024)
05/12/14
05/12/14
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$1,000,000,000
$360,000
 $     99.64
  
                   
100
Continental Resources, Inc. (2024)
05/12/14
05/12/14
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$1,000,000,000
$1,195,000
 $     99.64
  
                   
102
Continental Resources, Inc. (2024)
05/12/14
05/12/14
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$1,000,000,000
$75,000
 $     99.64
  
                   
59
Continental Resources, Inc. (2024)
05/12/14
05/12/14
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$1,000,000,000
$3,350,000
 $     99.64
  
                   
61
Continental Resources, Inc. (2044)
05/12/14
05/12/14
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$700,000,000
$235,000
 $     99.72
  
                   
101
Continental Resources, Inc. (2044)
05/12/14
05/12/14
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$700,000,000
$25,000
 $     99.72
  
                   
59
Continental Resources, Inc. (2044)
05/12/14
05/12/14
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$700,000,000
$1,170,000
 $     99.72
  
                   
155
Continental Resources, Inc. (2044)
05/12/14
05/12/14
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$700,000,000
$95,000
 $     99.72
  
                   
106
Energy XXI Gulf Coast, Inc. (2024)
05/12/14
05/12/14
Credit Suisse Securities (USA) LLC
PNC
$650,000,000
$1,800,000
 $  100.00
  
                   
106
Alpha Natural Resources, Inc. (2020)
05/13/14
05/13/14
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$500,000,000
$1,775,000
 $  100.00
  
                   
61
Regency Centers, L.P. (2024)
05/13/14
05/13/14
Wells Fargo Securities, LLC
PNC
$250,000,000
$500,000
 $     99.48
  
                   
102
Regency Centers, L.P. (2024)
05/13/14
05/13/14
Wells Fargo Securities, LLC
PNC
$250,000,000
$150,000
 $     99.48
  
                   
99
Amerisourcebergen Corporation (2017)
05/19/14
05/19/14
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$600,000,000
$5,000,000
 $     99.89
  
                   
61
Amerisourcebergen Corporation (2024)
05/19/14
05/19/14
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$500,000,000
$1,000,000
 $     99.72
  
                   
100
Amerisourcebergen Corporation (2024)
05/19/14
05/19/14
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$500,000,000
$1,000,000
 $     99.72
  
                   
102
Amerisourcebergen Corporation (2024)
05/19/14
05/19/14
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$500,000,000
$150,000
 $     99.72
  
                   
61
Macys Retail Holdings, Inc. (2024)
05/20/14
05/20/14
Credit Suisse Securities (USA) LLC
PNC
$500,000,000
$2,000,000
 $     99.90
  
                   
100
Macys Retail Holdings, Inc. (2024)
05/20/14
05/20/14
Credit Suisse Securities (USA) LLC
PNC
$500,000,000
$2,000,000
 $     99.90
  
                   
102
Macys Retail Holdings, Inc. (2024)
05/20/14
05/20/14
Credit Suisse Securities (USA) LLC
PNC
$500,000,000
$100,000
 $     99.90
  
                   
106
TransDigm Inc. (2022)
05/20/14
05/20/14
Morgan Stanley & Co. LLC
PNC
$1,150,000,000
$4,150,000
 $  100.00
  
                   
106
TransDigm Inc. (2024)
05/20/14
05/20/14
Morgan Stanley & Co. LLC
PNC
$1,200,000,000
$4,150,000
 $  100.00
  
                   
99
Deutsche Bank AG, London Branch (2017)
05/22/14
05/22/14
Deutsche Bank Securities Inc.
PNC
$1,400,000,000
$10,000,000
 $     99.97
  
                   
61
Deutsche Bank AG, London Branch (2024)
05/22/14
05/22/14
Deutsche Bank Securities Inc.
PNC
$1,600,000,000
$4,275,000
 $     99.62
  
                   
100
Deutsche Bank AG, London Branch (2024)
05/22/14
05/22/14
Deutsche Bank Securities Inc.
PNC
$1,600,000,000
$1,280,000
 $     99.62
  
                   
102
Deutsche Bank AG, London Branch (2024)
05/22/14
05/22/14
Deutsche Bank Securities Inc.
PNC
$1,600,000,000
$215,000
 $     99.62
  
                   
59
Deutsche Bank AG, London Branch (2024)
05/22/14
05/22/14
Deutsche Bank Securities Inc.
PNC
$1,600,000,000
$14,540,000
 $     99.62
  
                   
61
Oglethorpe Power Corporation (2044)
06/09/14
06/09/14
Goldman, Sachs & Co.
PNC
$250,000,000
$2,000,000
 $     99.37
  
                   
115
Indiana Finance Authority-First Lien Wastewater Utility Revenue Bonds Series 2014A
06/11/14
06/11/14
Morgan Stanley & Co. LLC
PNC
$236,990,000
$2,000,000
 $  108.22
  
                   
101
Airgas, Inc. (2024)
06/12/14
06/12/14
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$300,000,000
$300,000
 $     99.81
  
                   
100
Airgas, Inc. (2024)
06/12/14
06/12/14
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$300,000,000
$2,000,000
 $     99.81
  
                   
148
The City of New York-General Obligation Bonds, Fiscal 2014 Series J & K
06/13/14
06/13/14
Morgan Stanley & Co. LLC & J.P. Morgan Securities LLC
PNC
$1,018,040,000
$1,000,000
 $  116.44
  
               
 $  117.23
  
               
 $  105.45
  
                   
115
The City of New York-General Obligation Bonds, Fiscal 2014 Series J & K
06/13/14
06/13/14
Morgan Stanley & Co. LLC & J.P. Morgan Securities LLC
PNC
$1,018,040,000
$2,000,000
 $  116.44
  
               
 $  117.23
  
               
 $  105.45
  
                   
117
The City of New York-General Obligation Bonds, Fiscal 2014 Series J & K
06/13/14
06/13/14
Morgan Stanley & Co. LLC & J.P. Morgan Securities LLC
PNC
$1,018,040,000
$500,000
 $  116.44
  
               
 $  117.23
  
               
 $  105.45
  
                   
115
Chicago Transit Authority-Sales Tax Receipts revenue Bonds (Series 2014)
06/19/14
06/19/14
Loop Capital Markets, LLC
PNC
$555,000,000
$3,500,000
 $  108.17
  
               
 $  108.50
  
                   
61
The Goldman Sachs Group, Inc. (2024)
06/30/14
06/30/14
Goldman, Sachs & Co.
PNC
$2,250,000,000
$1,925,000
 $     99.87
  
                   
                   
61
American International Group, Inc. (2019)
07/09/14
07/09/14
Goldman, Sachs & Co.
PNC
$1,000,000,000
$960,000
 $     99.80
  
                   
61
American International Group, Inc. (2044)
07/09/14
07/09/14
U.S. Bancorp Investments, Inc.
PNC
$1,500,000,000
$395,000
 $     99.40
  
                   
61
CSX Corporation (2024)
07/16/14
07/16/14
Morgan Stanley & Co. LLC
PNC
$550,000,000
$750,000
 $     99.92
  
                   
101
CSX Corporation (2024)
07/16/14
07/16/14
Morgan Stanley & Co. LLC
PNC
$550,000,000
$250,000
 $     99.92
  
                   
100
CSX Corporation (2024)
07/16/14
07/16/14
Morgan Stanley & Co. LLC
PNC
$550,000,000
$2,000,000
 $     99.92
  
                   
61
CSX Corporation (2054)
07/16/14
07/16/14
Morgan Stanley & Co. LLC
PNC
$450,000,000
$250,000
 $     99.34
  
                   
106
Mallinckrodt International Finance S.A. and Mallinckrodt CB LLC (2022)
07/30/14
07/30/14
Barclays Capital Inc.
PNC
$900,000,000
$10,350,000
 $  100.00
  
                   
61
Comcast Corporation (2034)
08/05/14
08/05/14
J.P. Morgan Securities LLC
PNC & UBS
$1,000,000,000
$1,415,000
 $     99.62
  
                   
115
Illinois Finance Authority Revenue Bonds, The University of Chicago, Series 2014 A
08/06/14
08/06/14
Barclays Capital Inc.
PNC
$573,645,000
$1,000,000
 $  111.80
  
                   
61
Citigroup Inc. (2017)
08/07/14
08/07/14
Citigroup Global Markets Inc.
PNC
$1,250,000,000
$5,000,000
 $     99.86
  
                   
99
Citigroup Inc. (2017)
08/07/14
08/07/14
Citigroup Global Markets Inc.
PNC
$1,250,000,000
$15,000,000
 $     99.86
  
                   
103
Citigroup Inc. (2017)
08/07/14
08/07/14
Citigroup Global Markets Inc.
PNC
$1,250,000,000
$50,000
 $     99.86
  
                   
102
Citigroup Inc. (2017)
08/07/14
08/07/14
Citigroup Global Markets Inc.
PNC
$1,250,000,000
$250,000
 $     99.86
  
                   
155
QVC, Inc. (2025)
08/07/14
08/07/14
Wells Fargo Securities, LLC
PNC
$600,000,000
$250,000
 $     99.86
  
                   
61
QVC, Inc. (2034)
08/07/14
08/07/14
Morgan Stanley & Co. LLC
PNC
$400,000,000
$2,000,000
 $     99.78
  
                   
155
Union Pacific Corporation (2025)
08/07/14
08/07/14
J.P. Morgan Securities LLC
PNC
$350,000,000
$155,000
 $     99.67
  
                   
61
Union Pacific Corporation (2045)
08/07/14
08/07/14
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$350,000,000
$1,000,000
 $     98.47
  
                   
101
Union Pacific Corporation (2045)
08/07/14
08/07/14
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$350,000,000
$100,000
 $     98.47
  
                   
100
Aon plc (2024)
08/12/14
08/12/14
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$350,000,000
$2,000,000
 $     99.29
  
                   
148
The City of New York General Obligation Bonds Fiscal 2015 Series A and B
08/15/14
08/15/14
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$980,000,000
$1,000,000
 $  117.07
  
               
 $  114.27
  
               
 $  103.73
  
                   
115
The City of New York General Obligation Bonds Fiscal 2015 Series A and B
08/15/14
08/15/14
Merrill Lynch, Pierce, Fenner & Smith Incorporated
PNC
$980,000,000
$1,600,000
 $  117.07
  
               
 $  114.27
  
               
 $  103.73
  
                   
148
Michigan Finance Authority (Local Government Loan Program Revenue Bonds) Series 2014C
08/28/14
08/28/14
Citigroup Global Markets Inc.
PNC
$935,860,000
$500,000
 $  112.56
  
               
 $  100.96
  
               
 $     98.47
  
               
 $  112.91
  
               
 $  105.39
  
               
 $  104.90
  
               
 $  104.58
  
                   
115
Michigan Finance Authority (Local Government Loan Program Revenue Bonds) Series 2014C
08/28/14
08/28/14
Citigroup Global Markets Inc.
PNC
$935,860,000
$1,000,000
 $  112.56
  
               
 $  100.96
  
               
 $     98.47
  
               
 $  112.91
  
               
 $  105.39
  
               
 $  104.90
  
               
 $  104.58
  
                   
115
Michigan Finance Authority (Local Government Loan Program Revenue Bonds) Series 2014D
08/28/14
08/28/14
Citigroup Global Markets Inc.
PNC
$854,850,000
$2,000,000
 $  114.15
  
               
 $  109.24