EX-99 2 semitrust.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
Arizona Public Service Company (2045)
11/03/15
11/03/15
MERRILL LYNCH, PIERCE, FENNER & SMITH INC.
PNC
$250,000,000
$50,000
 $    99.87
  
                   
261
CMS Energy Corporation (2025)
11/04/15
11/04/15
MITSUBISHI UFJ SECURITIES (USA) INC
PNC
$250,000,000
$150,000
 $    99.68
  
                   
261
First Data Corporation (2024)
11/05/15
11/05/15
DEUTSCHE BANK SECURITIES INC.
PNC
$1,000,000,000
$40,000
 $  100.00
  
                   
261
First Data Corporation (2024)
11/05/15
11/05/15
DEUTSCHE BANK SECURITIES INC.
PNC
$2,200,000,000
$85,000
 $  100.00
  
                   
261
The Charles Schwab Corporation (2026)
11/09/15
11/09/15
J.P. MORGAN SECURITIES LLC
PNC
$350,000,000
$40,000
 $    99.62
  
                   
252
Citigroup Inc. (2018)
12/01/15
12/01/15
CITIGROUP GLOBAL MARKETS INC.
PNC
$1,650,000,000
$50,000
 $    99.99
  
                   
223
Citigroup Inc. (2018)
12/01/15
12/01/15
CITIGROUP GLOBAL MARKETS INC.
PNC
$1,650,000,000
$300,000
 $    99.99
  
                   
213
Citigroup Inc. (2018)
12/01/15
12/01/15
CITIGROUP GLOBAL MARKETS INC.
PNC
$1,650,000,000
$100,000
 $    99.99
  
                   
191
Citigroup Inc. (2018)
12/01/15
12/01/15
CITIGROUP GLOBAL MARKETS INC.
PNC
$350,000,000
$5,000,000
 $  100.00
  
                   
223
Ball Corporation (2020)
12/02/15
12/02/15
GOLDMAN SACHS & CO.
PNC
$1,000,000,000
$25,000
 $  100.00
  
                   
242
Ball Corporation (2020)
12/02/15
12/02/15
GOLDMAN SACHS & CO.
PNC
$1,000,000,000
$480,000
 $  100.00
  
                   
223
Visa Inc. (2017)
12/09/15
12/09/15
MERRILL LYNCH, PIERCE, FENNER & SMITH INC.
PNC
$1,750,000,000
$100,000
 $    99.95
  
                   
261
Visa Inc. (2017)
12/09/15
12/09/15
MERRILL LYNCH, PIERCE, FENNER & SMITH INC.
PNC
$1,750,000,000
$25,000
 $    99.95
  
                   
223
Visa Inc. (2020)
12/09/15
12/09/15
MERRILL LYNCH, PIERCE, FENNER & SMITH INC.
PNC
$3,000,000,000
$65,000
 $    99.92
  
                   
261
Visa Inc. (2020)
12/09/15
12/09/15
MERRILL LYNCH, PIERCE, FENNER & SMITH INC.
PNC
$3,000,000,000
$35,000
 $    99.92
  
                   
261
Visa Inc. (2025)
12/09/15
12/09/15
MERRILL LYNCH, PIERCE, FENNER & SMITH INC.
PNC
$4,000,000,000
$40,000
 $    99.63
  
         
Mitsubishi UFJ
        
                   
261
Visa Inc. (2045)
12/09/15
12/09/15
MERRILL LYNCH, PIERCE, FENNER & SMITH INC.
PNC
$3,500,000,000
$25,000
 $    99.83
  
         
Mitsubishi UFJ
        
                   
223
Barclays PLC (2021)
01/05/16
01/05/16
BARCLAYS CAPITAL INC.
PNC
$1,500,000,000
$250,000
 $    99.95
  
                   
223
Harley-Davidson Financial Services, Inc. (2021)
01/05/16
01/05/16
J.P. MORGAN SECURITIES LLC
PNC
$600,000,000
$100,000
 $    99.89
  
                   
261
The Kroger Co. (2021)
01/08/16
01/08/16
MERRILL LYNCH, PIERCE, FENNER & SMITH INC.
PNC
$300,000,000
$100,000
 $    99.87
  
                   
241
UnitedHealth Group Incorporated (2019)
02/22/16
02/22/16
WELLS FARGO SECURITIES LLC
PNC
$750,000,000
$80,000
 $    99.96
  
                   
223
Masco Corporation (2021)
03/10/16
03/10/16
RBC CAPITAL MARKETS, LLC.
PNC
$400,000,000
$40,000
 $    99.66
  
                   
242
Masco Corporation (2021)
03/10/16
03/10/16
RBC CAPITAL MARKETS, LLC.
PNC
$400,000,000
$400,000
 $    99.66
  
                   
223
Total System Services, Inc. (2021)
03/14/16
03/14/16
MERRILL LYNCH, PIERCE, FENNER & SMITH INC.
PNC
$750,000,000
$25,000
 $    99.78
  
                   
223
Newell Rubbermaid Inc. (2021)
03/18/16
03/18/16
GOLDMAN SACHS & CO.
PNC
$1,000,000,000
$30,000
 $    99.84
  
         
Mitsubishi UFJ
        
                   
272
Newell Rubbermaid Inc. (2023)
03/18/16
03/18/16
GOLDMAN SACHS & CO.
PNC
$1,750,000,000
$30,000
 $    99.97
  
                   
261
Newell Rubbermaid Inc. (2046)
03/18/16
03/18/16
GOLDMAN SACHS & CO.
PNC
$1,750,000,000
$35,000
 $    99.64
  
         
Mitsubishi UFJ
        
                   
223
Aleris International, Inc. (2021)
03/22/16
03/22/16
CREDIT SUISSE SECURITIES (USA) LLC
PNC
$550,000,000
$30,000
 $  100.00
  
                   
242
Aleris International, Inc. (2021)
03/22/16
03/22/16
CREDIT SUISSE SECURITIES (USA) LLC
PNC
$550,000,000
$600,000
 $  100.00
  
                   
223
Sysco Corporation (2019)
03/22/16
03/22/16
GOLDMAN SACHS & CO.
PNC
$500,000,000
$35,000
 $    99.95
  
                   
271
Occidental Petroleum Corporation (2022)
03/28/16
03/28/16
WELLS FARGO SECURITIES LLC
PNC
$400,000,000
$85,000
 $    99.95
  
                   
261
Diebold, Incorporated (2024)
04/05/16
04/05/16
J.P. MORGAN SECURITIES LLC
PNC
$400,000,000
$45,000
 $  100.00
  
                   
191
Goldman Sachs Group, Inc. (2019)
04/20/16
04/20/16
GOLDMAN SACHS & CO.
PNC
$500,000,000
$10,000,000
 $  100.00
  
                   
191
Goldman Sachs Group, Inc. (2021)
04/20/16
04/20/16
GOLDMAN SACHS & CO.
PNC
$1,000,000,000
$10,000,000
 $  100.00