EX-99 4 item77o.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
261
Ryder System, Inc. (2020)
05/04/15
05/04/15
MITSUBISHI UFJ SECURITIES (USA) INC
PNC
$300,000,000
$35,000
$99.73
  
                   
261
Host Hotels & Resorts, L.P. (2025)
05/06/15
05/06/15
GOLDMAN SACHS & CO.
PNC
$500,000,000
$75,000
$99.84
  
                   
264
Southern Power Company (2020)
05/14/15
05/14/15
UBS SECURITIES LLC
PNC
$300,000,000
$25,000
$99.98
  
                   
191
The Goldman Sachs Group, Inc. (2017)
05/19/15
05/19/15
GOLDMAN SACHS & CO.
PNC
$750,000,000
$2,000,000
$100.00
  
                   
213
The Goldman Sachs Group, Inc. (2025)
05/19/15
05/19/15
GOLDMAN SACHS & CO.
PNC
$2,250,000,000
$50,000
$99.68
  
                   
213
Comcast Corporation (2025)
05/19/15
05/19/15
CITIGROUP GLOBAL MARKETS INC.
PNC
$1,500,000,000
$45,000
$99.88
  
                   
218
MarkWest Energy Partners, L.P. and MarkWest Energy Finance Corporation (2025)
05/28/15
05/28/15
WELLS FARGO SECURITIES LLC
PNC
$1,200,000,000
$50,000
$99.03
  
                   
261
Marathon Oil Corporation (2025)
06/01/15
06/01/15
J.P. MORGAN SECURITIES LLC
PNC
$900,000,000
$100,000
$99.77
  
                   
223
Precision Castparts Corp. (2020)
06/01/15
06/01/15
CITIGROUP GLOBAL MARKETS INC.
PNC
$550,000,000
$100,000
$99.99
  
                   
261
Precision Castparts Corp. (2025)
06/01/15
06/01/15
CITIGROUP GLOBAL MARKETS INC.
PNC
$850,000,000
$100,000
$99.80
  
                   
223
Wisconsin Energy Corporation (2020)
06/04/15
06/04/15
J.P. MORGAN SECURITIES LLC
PNC
$400,000,000
$45,000
$99.82
  
                   
261
Wisconsin Energy Corporation (2025)
06/04/15
06/04/15
J.P. MORGAN SECURITIES LLC
PNC
$500,000,000
$100,000
$99.98
  
                   
223
Exelon Corporation (2020)
06/08/15
06/08/15
GOLDMAN SACHS & CO.
PNC
$900,000,000
$25,000
$99.98
  
                   
261
Exelon Corporation (2025)
06/08/15
06/08/15
GOLDMAN SACHS & CO.
PNC
$1,250,000,000
$250,000
$99.80
  
                   
218
Reynolds American Inc. (2018)
06/09/15
06/09/15
J.P. MORGAN SECURITIES LLC
PNC
$1,250,000,000
$25,000
$99.98
  
                   
241
Reynolds American Inc. (2018)
06/09/15
06/09/15
J.P. MORGAN SECURITIES LLC
PNC
$1,250,000,000
$25,000
$99.98
  
                   
223
Reynolds American Inc. (2020)
06/09/15
06/09/15
J.P. MORGAN SECURITIES LLC
PNC
$1,250,000,000
$25,000
$99.98
  
                   
261
Reynolds American Inc. (2025)
06/09/15
06/09/15
J.P. MORGAN SECURITIES LLC
PNC
$2,500,000,000
$35,000
$99.70
  
                   
218
Reynolds American Inc. (2035)
06/09/15
06/09/15
CITIGROUP GLOBAL MARKETS INC.
PNC
$750,000,000
$25,000
$99.56
  
                   
223
The Southern Company (2020)
06/09/15
06/09/15
GOLDMAN SACHS & CO.
PNC
$600,000,000
$150,000
$99.83
  
                   
223
Union Pacific Corporation (2020)
06/16/15
06/16/15
J.P. MORGAN SECURITIES LLC
PNC
$400,000,000
$100,000
$99.92
  
                   
261
Union Pacific Corporation (2020)
06/16/15
06/16/15
J.P. MORGAN SECURITIES LLC
PNC
$400,000,000
$100,000
$99.92
  
                   
261
Occidental Petroleum Corporation (2045)
06/18/15
06/18/15
CITIGROUP GLOBAL MARKETS INC.
PNC
$750,000,000
$35,000
$98.93
  
                   
261
National Fuel Gas Company (2025)
06/22/15
06/22/15
J.P. MORGAN SECURITIES LLC
PNC
$450,000,000
$100,000
$99.69
  
                   
261
Kohl’s Corporation (2025)
07/14/15
07/14/15
GOLDMAN SACHS & CO.
PNC
$650,000,000
$150,000
$99.98
  
                   
223
Northern States Power Company (2020)
08/04/15
08/04/15
MORGAN STANLEY & CO LLC
PNC
$300,000,000
$30,000
$99.82
  
                   
223
Airgas, Inc. (2020)
08/06/15
08/06/15
MERRILL LYNCH, PIERCE, FENNER & SMI
PNC
$400,000,000
$70,000
$99.81
  
                   
264
Airgas, Inc. (2020)
08/06/15
08/06/15
MERRILL LYNCH, PIERCE, FENNER & SMI
PNC
$400,000,000
$35,000
$99.81
  
                   
261
CBRE Services, Inc. (2026)
08/06/15
08/06/15
J.P. MORGAN SECURITIES LLC
PNC
$600,000,000
$100,000
$99.24
  
                   
274
American Water Capital Corp. (2025)
08/10/15
08/10/15
J.P. MORGAN SECURITIES LLC
PNC
$225,000,000
$20,000
$99.67
  
                   
261
American Water Capital Corp. (2045)
08/10/15
08/10/15
J.P. MORGAN SECURITIES LLC
PNC
$325,000,000
$75,000
$98.68
  
                   
261
Duke Energy Progress, LLC (2045)
08/10/15
08/10/15
WELLS FARGO SECURITIES LLC
PNC
$700,000,000
$25,000
$99.49
  
                   
261
Ryder System, Inc. (2020)
08/17/15
08/17/15
MERRILL LYNCH, PIERCE, FENNER & SMI
PNC
$300,000,000
$85,000
$99.89
  
                   
213
Automatic Data Processing, Inc. (2020)
09/08/15
09/08/15
MERRILL LYNCH, PIERCE, FENNER & SMI
PNC
$1,000,000,000
$155,000
$99.91
  
                   
223
Automatic Data Processing, Inc. (2020)
09/08/15
09/08/15
MERRILL LYNCH, PIERCE, FENNER & SMI
PNC
$1,000,000,000
$40,000
$99.91
  
                   
241
Automatic Data Processing, Inc. (2020)
09/08/15
09/08/15
MERRILL LYNCH, PIERCE, FENNER & SMI
PNC
$1,000,000,000
$80,000
$99.91
  
                   
261
Automatic Data Processing, Inc. (2020)
09/08/15
09/08/15
MERRILL LYNCH, PIERCE, FENNER & SMI
PNC
$1,000,000,000
$40,000
$99.91
  
                   
213
Automatic Data Processing, Inc. (2025)
09/08/15
09/08/15
J.P. MORGAN SECURITIES LLC
PNC
$1,000,000,000
$70,000
$99.89
  
                   
191
The Goldman Sachs Group, Inc. (2020)
09/08/15
09/08/15
GOLDMAN SACHS & CO.
PNC
$500,000,000
$8,000,000
$100.00
  
                   
223
Marriott International, Inc. (2021)
09/09/15
09/09/15
J.P. MORGAN SECURITIES LLC
PNC
$450,000,000
$80,000
$99.76
  
                   
261
Marriott International, Inc. (2025)
09/09/15
09/09/15
J.P. MORGAN SECURITIES LLC
PNC
$350,000,000
$100,000
$98.88
  
                   
223
Pentair Finance S.A. (2020)
09/09/15
09/09/15
J.P. MORGAN SECURITIES LLC
PNC
$400,000,000
$100,000
$99.89
  
                   
261
Pentair Finance S.A. (2020)
09/09/15
09/09/15
J.P. MORGAN SECURITIES LLC
PNC
$400,000,000
$100,000
$99.89
  
                   
264
Pentair Finance S.A. (2020)
09/09/15
09/09/15
J.P. MORGAN SECURITIES LLC
PNC
$400,000,000
$50,000
$99.89
  
                   
223
St. Jude Medical, Inc. (2020)
09/14/15
09/14/15
MERRILL LYNCH, PIERCE, FENNER & SMI
PNC
$500,000,000
$50,000
$99.95
  
                   
261
St. Jude Medical, Inc. (2020)
09/14/15
09/14/15
MERRILL LYNCH, PIERCE, FENNER & SMI
PNC
$500,000,000
$50,000
$99.95
  
                   
261
Colonial Pipeline Company  (2025)
09/16/15
09/16/15
MIZUHO SECURITIES USA INC.
PNC
$350,000,000
$100,000
$99.73
  
                   
261
Block Financial LLC (2025)
09/25/15
09/25/15
J.P. MORGAN SECURITIES LLC
PNC
$350,000,000
$100,000
$99.70
  
                   
261
Blue Cube Spinco Inc. (2023)
09/25/15
09/25/15
J.P. MORGAN SECURITIES LLC
PNC
$720,000,000
$25,000
$100.00
  
                   
261
PPL Electric Utilities Corporation (2045)
09/28/15
09/28/15
WELLS FARGO SECURITIES LLC
PNC
$350,000,000
$25,000
$99.39
  
                   
191
PepsiCo, Inc. (2017)
10/08/15
10/08/15
MERRILL LYNCH, PIERCE, FENNER & SMI
PNC
$700,000,000
$10,000,000
$100.00
  
                   
223
PepsiCo, Inc. (2020)
10/08/15
10/08/15
MERRILL LYNCH, PIERCE, FENNER & SMI
PNC
$1,100,000,000
$100,000
$99.89
  
                   
261
PepsiCo, Inc. (2046)
10/08/15
10/08/15
MERRILL LYNCH, PIERCE, FENNER & SMI
PNC
$750,000,000
$25,000
$99.74
  
                   
223
Newell Rubbermaid Inc. (2018)
10/14/15
10/14/15
CREDIT SUISSE SECURITIES (USA) LLC
PNC
$300,000,000
$75,000
$100.00
  
                   
252
Newell Rubbermaid Inc. (2018)
10/14/15
10/14/15
CREDIT SUISSE SECURITIES (USA) LLC
PNC
$300,000,000
$25,000
$100.00
  
                   
261
Newell Rubbermaid Inc. (2018)
10/14/15
10/14/15
CREDIT SUISSE SECURITIES (USA) LLC
PNC
$300,000,000
$25,000
$100.00
  
                   
261
CSX Corporation (2025)
10/15/15
10/15/15
CITIGROUP GLOBAL MARKETS INC.
PNC
$600,000,000
$55,000
$99.76
  
                   
223
The Goldman Sachs Group, Inc. (2020)
10/16/15
10/16/15
GOLDMAN SACHS & CO.
PNC
$750,000,000
$70,000
$100.34
  
                   
261
The Goldman Sachs Group, Inc. (2020)
10/16/15
10/16/15
GOLDMAN SACHS & CO.
PNC
$750,000,000
$30,000
$100.34
  
                   
191
The Goldman Sachs Group, Inc. (2020)
10/16/15
10/16/15
GOLDMAN SACHS & CO.
PNC
$500,000,000
$5,000,000
$99.35
  
                   
223
National Rural Utilities Cooperative Finance Corporation (2020)
10/20/15
10/20/15
Mizuho Securities USA Inc.
PNC
$350,000,000
$100,000
$99.80
  
                   
261
National Rural Utilities Cooperative Finance Corporation (2025)
10/20/15
10/20/15
J.P. MORGAN SECURITIES LLC
PNC
$400,000,000
$150,000
$99.76
  
                   
261
Stryker Corporation (2025)
10/26/15
10/26/15
GOLDMAN SACHS & CO.
PNC
$750,000,000
$35,000
$99.99