Form N-CEN Filer Information | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-CEN ANNUAL REPORT FOR REGISTERED INVESTMENT COMPANIES | OMB APPROVAL |
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N-CEN: Filer Information
Filer CIK | 0000930667 |
Filer CCC | ******** |
Filer Investment Company Type | Form N-1A Filer (Mutual Fund) |
Is this a LIVE or TEST Filing? | ![]() ![]() |
Is this an electronic copy of an official filing submitted in paper format? | ![]() |
Would you like a Return Copy? | ![]() |
Submission Contact Information | |
Name | |
Phone | |
E-Mail Address |
Notification Information |
Notify via Filing Website only? | ![]() |
N-CEN:Series/Class (Contract) Information
Series ID | S000004255 |
Series ID | S000004252 |
Series ID | S000018069 |
Series ID | S000018070 |
Series ID | S000004254 |
Series ID | S000035884 |
Series ID | S000004253 |
Series ID | S000004257 |
Series ID | S000004246 |
Series ID | S000004266 |
Series ID | S000018073 |
Series ID | S000004250 |
Series ID | S000004264 |
Series ID | S000035883 |
Series ID | S000004248 |
Series ID | S000019125 |
Series ID | S000004258 |
Series ID | S000004261 |
Series ID | S000004259 |
Series ID | S000004268 |
Series ID | S000032498 |
Series ID | S000035395 |
Series ID | S000051285 |
Series ID | S000019126 |
Series ID | S000004247 |
Series ID | S000036005 |
Series ID | S000004267 |
Series ID | S000004251 |
Series ID | S000035880 |
Series ID | S000004263 |
Series ID | S000021462 |
Series ID | S000004265 |
Series ID | S000054183 |
Series ID | S000004249 |
Series ID | S000049021 |
Series ID | S000047227 |
Series ID | S000004260 |
Series ID | S000035885 |
Series ID | S000018072 |
Series ID | S000028709 |
Series ID | S000034697 |
Series ID | S000038923 |
Series ID | S000040976 |
Series ID | S000004256 |
Series ID | S000035882 |
Series ID | S000057835 |
Series ID | S000045639 |
Series ID | S000004269 |
Series ID | S000032497 |
N-CEN:Part A: General Information
Item A.1. Reporting period covered.
a. Report for period ending: | 2018-08-31 |
b. Does this report cover a period of less than 12 months? | ![]() ![]() |
N-CEN:Part B: Information About the Registrant
Item B.1. Background information.
a. Full name of Registrant | iShares, Inc. |
b. Investment Company Act file number ( e.g., 811-) | 811-09102 |
c. CIK | 0000930667 |
d. LEI | 549300MGJZCNMJLBAJ67 |
Item B.2. Address and telephone number of Registrant.
a. Street 1 | 400 HOWARD STREET |
Street 2 | |
b. City | SAN FRANCISCO |
c. State, if applicable | CALIFORNIA |
d. Foreign country, if applicable | UNITED STATES OF AMERICA |
e. Zip code and zip code extension, or foreign postal code | 94105 |
f. Telephone number (including country code if foreign) | 415- 670 2000 |
g. Public Website, if any | www.blackrock.com |
Item B.3. Location of books and records.
Instruction. Provide the requested information for each person maintaining physical possession of each account, book, or other document required to be maintained by section 31(a) of the Act (15 U.S.C. 80a-30(a)) and the rules under that section. |
Location books Record: 1 | |
a. Name of person (e.g., a custodian of records) | BlackRock Fund Advisors |
b. Street 1 | 400 Howard Street |
Street 2 | |
c. City | San Francisco |
d. State, if applicable | CALIFORNIA |
e. Foreign country, if applicable | UNITED STATES OF AMERICA |
f. Zip code and zip code extension, or foreign postal code | 94105 |
g. Telephone number (including country code if foreign) | 415-670-2000 |
h. Briefly describe the books and records kept at this location: | Records related to its functions as advisor |
Location books Record: 2 | |
a. Name of person (e.g., a custodian of records) | BlackRock Investments, LLC |
b. Street 1 | 40 East 52nd Street |
Street 2 | |
c. City | New York |
d. State, if applicable | NEW YORK |
e. Foreign country, if applicable | UNITED STATES OF AMERICA |
f. Zip code and zip code extension, or foreign postal code | 10022 |
g. Telephone number (including country code if foreign) | 609-282-3046 |
h. Briefly describe the books and records kept at this location: | Records related to its functions as distributor |
Location books Record: 3 | |
a. Name of person (e.g., a custodian of records) | State Street Bank and Trust Company |
b. Street 1 | 1 Lincoln Street |
Street 2 | |
c. City | Boston |
d. State, if applicable | MASSACHUSETTS |
e. Foreign country, if applicable | UNITED STATES OF AMERICA |
f. Zip code and zip code extension, or foreign postal code | 02111 |
g. Telephone number (including country code if foreign) | 617-786-3000 |
h. Briefly describe the books and records kept at this location: | Records related to its functions as administrator, accounting agent, transfer agent and custodian |
Item B.4. Initial of final filings.
Instruction. Respond "yes" to Item B.4.b only if the Registrant has filed an application to deregister or will file an application to deregister before its next required filing on this form. |
a. Is this the first filing on this form by the Registrant? | ![]() ![]() |
b. Is this the last filing on this form by the Registrant? | ![]() ![]() |
Item B.5. Family of investment companies.
Instruction. "Family of investment companies" means, except for insurance company separate accounts, any two or more registered investment companies that (i) share the same investment adviser or principal underwriter; and (ii) hold themselves out to investors as related companies for purposes of investment and investor services.In responding to this item, all Registrants in the family of investment companies should report the name of the family of investment companies identically. |
Insurance company separate accounts that may not hold themselves out to investors as related companies (products) for purposes of investment and investor services should consider themselves part of the same family if the operational or accounting or control systems under which these entities function are substantially similar. |
a. Is the Registrant part of a family of investment companies? | ![]() ![]() |
i. Full name of family of investment companies | BlackRock-advised Funds |
Item B.6. Organization.
Instruction. For Item B.6.a.i., the Registrant should include all Series that have been established by the Registrant and have shares outstanding (other than shares issued in connection with an initial investment to satisfy section 14(a) of the Act). |
Indicate the classification of the Registrant by checking the applicable item below. |
i. Total number of Series of the Registrant | 55 | |
ii. If a Series of the Registrant with a fiscal year end covered by the report was terminated during the reporting period, provide the following information: | ||
Terminated Organization Record: 1 | ||
i. Name of the Series | iShares Edge MSCI Min Vol EM Currency Hedged ETF | |
ii. Series identification number | S000051285 | |
iii. Date of termination (month/year) | 08/2018 |
Item B.7. Securities Act registration.
Is the Registrant the issuer of a class of securities registered under the Securities Act of 1933 ("Securities Act")? | ![]() ![]() |
Item B.8. Directors.
Provide the information requested below about each person serving as director of the Registrant (management investment companies only): |
Director Record: 1 | |
a. Full Name | John E. Martinez |
b. CRD number, if any | 000000000 |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | ![]() ![]() |
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
File Number Record: 1 | |
File Number Record: | 811-22649 |
File Number Record: 2 | |
File Number Record: | 811-09729 |
Director Record: 2 | |
a. Full Name | Cecilia H. Herbert |
b. CRD number, if any | 000000000 |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | ![]() ![]() |
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
File Number Record: 1 | |
File Number Record: | 811-09729 |
File Number Record: 2 | |
File Number Record: | 811-22678 |
File Number Record: 3 | |
File Number Record: | 811-22649 |
File Number Record: 4 | |
File Number Record: | 811-06722 |
Director Record: 3 | |
a. Full Name | Drew E. Lawton |
b. CRD number, if any | 001173631 |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | ![]() ![]() |
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
File Number Record: 1 | |
File Number Record: | 811-09729 |
File Number Record: 2 | |
File Number Record: | 811-22649 |
Director Record: 4 | |
a. Full Name | Robert S. Kapito |
b. CRD number, if any | 000000000 |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | ![]() ![]() |
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
File Number Record: 1 | |
File Number Record: | 811-09729 |
File Number Record: 2 | |
File Number Record: | 811-22649 |
Director Record: 5 | |
a. Full Name | Mark K. Wiedman |
b. CRD number, if any | 000038642 |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | ![]() ![]() |
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
File Number Record: 1 | |
File Number Record: | 811-09729 |
File Number Record: 2 | |
File Number Record: | 811-22649 |
Director Record: 6 | |
a. Full Name | Charles A. Hurty |
b. CRD number, if any | 000000000 |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | ![]() ![]() |
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
File Number Record: 1 | |
File Number Record: | 811-09729 |
File Number Record: 2 | |
File Number Record: | 811-22649 |
Director Record: 7 | |
a. Full Name | Jane D. Carlin |
b. CRD number, if any | 001279982 |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | ![]() ![]() |
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
File Number Record: 1 | |
File Number Record: | 811-22649 |
File Number Record: 2 | |
File Number Record: | 811-09729 |
Director Record: 8 | |
a. Full Name | John E. Kerrigan |
b. CRD number, if any | 000000000 |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | ![]() ![]() |
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
File Number Record: 1 | |
File Number Record: | 811-09729 |
File Number Record: 2 | |
File Number Record: | 811-22649 |
Director Record: 9 | |
a. Full Name | Madhav V. Rajan |
b. CRD number, if any | 000000000 |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | ![]() ![]() |
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
File Number Record: 1 | |
File Number Record: | 811-09729 |
File Number Record: 2 | |
File Number Record: | 811-22649 |
Director Record: 10 | |
a. Full Name | Richard L. Fagnani |
b. CRD number, if any | 000000000 |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | ![]() ![]() |
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
File Number Record: 1 | |
File Number Record: | 811-22649 |
File Number Record: 2 | |
File Number Record: | 811-09729 |
Item B.9. Chief compliance officer.
Provide the information requested below about each person serving as chief compliance officer of the Registrant for purposes of rule 38a-1 (17 CFR 270.38a- 1): |
Chief compliance officer Record: 1 | |
a. Full Name | Charles Park |
b. CRD Number, if any | 000000000 |
c. Street Address 1 | 55 East 52nd Street |
Street Address 2 | |
d. City | New York |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Zip code and zip code extension, or foreign postal code | 10055 |
h. Telephone number (including country code if foreign) | XXXXXX |
i. Has the chief compliance officer changed since the last filing? | ![]() ![]() |
If the chief compliance officer is compensated or employed by any person other than the Registrant, or an affiliated person of the Registrant, for providing chief compliance officer services, provide: |
CCO employer Record: 1 | |
i. Name of the person | N/A |
ii. Person's IRS Employer Identification Number | N/A |
Item B.10. Matters for security holder vote.
Instruction. Registrants registered on Forms N-3, N-4 or N-6, should respond "yes" to this Item only if security holder votes were solicited on contract-level matters. |
Were any matters submitted by the Registrant for its security holders' vote during the reporting period? | ![]() ![]() |
Item B.11. Legal proceeding.
Instruction. For purposes of this Item, the following proceedings should be described: (1) any bankruptcy, receivership or similar proceeding with respect to the Registrant or any of its significant subsidiaries; (2) any proceeding to which any director, officer or other affiliated person of the Registrant is a party adverse to the Registrant or any of its subsidiaries; and (3) any proceeding involving the revocation or suspension of the right of the Registrant to sell securities. |
a. Have there been any material legal proceedings, other than routine litigation incidental to the business, to which the Registrant or any of its subsidiaries was a party or of which any of their property was the subject during the reporting period? | ![]() ![]() |
b. Has any proceeding previously reported been terminated? | ![]() ![]() |
Item B.12. Fidelity bond and insurance (management investment companies only).
a. Were any claims with respect to the Registrant filed under a fidelity bond (including, but not limited to, the fidelity insuring agreement of the bond) during the reporting period? | ![]() ![]() |
Item B.13. Directors and officers/errors and omissions insurance (management investment companies only).
a. Are the Registrant's officers or directors covered in their capacities as officers or directors under any directors and officers/errors and omissions insurance policy owned by the Registrant or anyone else? | ![]() ![]() |
i. If yes, were any claims filed under the policy during the reporting period with respect to the Registrant? | ![]() ![]() |
Item B.14. Provision of financial support.
Instruction. For purposes of this Item, a provision of financial support includes any (1) capital contribution, (2) purchase of a security from a Money Market Fund in reliance on rule 17a-9 under the Act (17 CFR 270.17a-9), (3) purchase of any defaulted or devalued security at fair value reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio, (4) execution of letter of credit or letter of indemnity, (5) capital support agreement (whether or not the Registrant ultimately received support), (6) performance guarantee, or (7) other similar action reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio. Provision of financial support does not include any (1) routine waiver of fees or reimbursement of Registrant's expenses, (2) routine inter-fund lending, (3) routine inter-fund purchases of Registrant's shares, or (4) action that would qualify as financial support as defined above, that the board of directors has otherwise determined not to be reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio. |
Did an affiliated person, promoter, or principal underwriter of the Registrant, or an affiliated person of such a person, provide any form of financial support to the Registrant during the reporting period? | ![]() ![]() |
Item B.15. Exemptive orders.
a. During the reporting period, did the Registrant rely on any orders from the Commission granting an exemption from one or more provisions of the Act, Securities Act or Exchange Act? | ![]() ![]() |
Release number Record: 1 | |
i. If yes, provide below the release number for each order | IC-23890 |
Release number Record: 2 | |
i. If yes, provide below the release number for each order | IC-25878 |
Release number Record: 3 | |
i. If yes, provide below the release number for each order | 34-67804 |
Release number Record: 4 | |
i. If yes, provide below the release number for each order | IC-21803 |
Release number Record: 5 | |
i. If yes, provide below the release number for each order | IC-25215 |
Release number Record: 6 | |
i. If yes, provide below the release number for each order | IC-26606 |
Release number Record: 7 | |
i. If yes, provide below the release number for each order | IC-29172 |
Release number Record: 8 | |
i. If yes, provide below the release number for each order | IC-27661 |
Release number Record: 9 | |
i. If yes, provide below the release number for each order | IC-26626 |
Item B.16. Principal underwriters.
a. Provide the information requested below about each principal underwriter: |
Principal underwriter Record: 1 | |
i. Full name | BlackRock Investments, LLC |
ii. SEC file number (e.g., 8-) | 8-48436 |
iii. CRD number | 000038642 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor? | ![]() ![]() |
b. Have any principal underwriters been hired or terminated during the reporting period? | ![]() ![]() |
Item B.17. Independent public accountant.
Provide the following information about eachthe independent public accountant: |
Public accountant Record: 1 | |
a. Full Name | PricewaterhouseCoopers LLP |
b. PCAOB Number | 238 |
c. LEI, if any | 5493002GVO7EO8RNNS37 |
d. State, if applicable | CALIFORNIA |
e. Foreign country, if applicable | UNITED STATES OF AMERICA |
f. Has the independent public accountant changed since the last filing? | ![]() ![]() |
Item B.18. Report on internal control (management investment companies only).
Instruction. Small business investment companies are not required to respond to this item. |
For the reporting period, did an independent public accountant's report on internal control note any material weaknesses? | ![]() ![]() |
Item B.19. Audit opinion.
For the reporting period, did an independent public accountant issue an opinion other than an unqualified opinion with respect to its audit of the Registrant's financial statements? | ![]() ![]() |
Item B.20. Change in valuation methods.
Instruction. Responses to this item need not include changes to valuation techniques used for individual securities (e.g., changing from market approach to income approach for a private equity security). In responding to Item B.20.c., provide the applicable "asset type" category specified in Item C.4.a. of Form N-PORT. In responding to Item B.20.d., provide a brief description of the type of investments involved. If the change in valuation methods applies only to certain sub-asset types included in the response to Item B.20.c., please provide the sub-asset types in the response to Item B.20.d. The responses to Item B.20.c. and Item B.20.d. should be identical only if the change in valuation methods applies to all assets within that category. |
Have there been material changes in the method of valuation (e.g., change from use of bid price to mid price for fixed income securities or change in trigger threshold for use of fair value factors on international equity securities) of the Registrant's assets during the reporting period? | ![]() ![]() |
Item B.21. Change in accounting principles and practices.
Have there been any changes in accounting principles or practices, or any change in the method of applying any such accounting principles or practices, which will materially affect the financial statements filed or to be filed for the current year with the Commission and which has not been previously reported? | ![]() ![]() |
Item B.22. Net asset value error corrections (open-end management investment companies only).
a. During the reporting period, were any payments made to shareholders or shareholder accounts reprocessed as a result of an error in calculating the Registrant's net asset value (or net asset value per share)? | ![]() ![]() |
Item B.23. Rule 19a-1 notice (management investment companies only).
During the reporting period, did the Registrant pay any dividend or make any distribution in the nature of a dividend payment, required to be accompanied by a written statement pursuant to section 19(a) of the Act (15 U.S.C. 80a-19(a)) and rule 19a-1 thereunder (17 CFR 270.19a-1)? | ![]() ![]() |
Payment dividend series info Record: 1 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI Japan ETF |
ii. Series identification number | S000004249 |
Payment dividend series info Record: 2 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI Chile ETF |
ii. Series identification number | S000018070 |
Payment dividend series info Record: 3 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI Eurozone ETF |
ii. Series identification number | S000004268 |
Payment dividend series info Record: 4 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI Japan Small-Cap ETF |
ii. Series identification number | S000019126 |
Payment dividend series info Record: 5 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI Austria ETF |
ii. Series identification number | S000004257 |
Payment dividend series info Record: 6 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI Sweden ETF |
ii. Series identification number | S000004259 |
Payment dividend series info Record: 7 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares Edge MSCI Min Vol EM Currency Hedged ETF |
ii. Series identification number | S000051285 |
Payment dividend series info Record: 8 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI South Africa ETF |
ii. Series identification number | S000004255 |
Payment dividend series info Record: 9 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI World ETF |
ii. Series identification number | S000035395 |
Payment dividend series info Record: 10 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI Australia ETF |
ii. Series identification number | S000004246 |
Payment dividend series info Record: 11 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI Emerging Markets Small-Cap ETF |
ii. Series identification number | S000019125 |
Payment dividend series info Record: 12 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI Germany ETF |
ii. Series identification number | S000004269 |
Payment dividend series info Record: 13 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares Currency Hedged MSCI Emerging Markets ETF |
ii. Series identification number | S000045639 |
Payment dividend series info Record: 14 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI USA Equal Weighted ETF |
ii. Series identification number | S000028709 |
Payment dividend series info Record: 15 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI Global Metals & Mining Producers ETF |
ii. Series identification number | S000035885 |
Payment dividend series info Record: 16 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI Emerging Markets ETF |
ii. Series identification number | S000004266 |
Payment dividend series info Record: 17 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI Global Energy Producers ETF |
ii. Series identification number | S000035884 |
Payment dividend series info Record: 18 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI France ETF |
ii. Series identification number | S000004267 |
Payment dividend series info Record: 19 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI South Korea ETF |
ii. Series identification number | S000004258 |
Payment dividend series info Record: 20 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI Colombia ETF |
ii. Series identification number | S000040976 |
Payment dividend series info Record: 21 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI BRIC ETF |
ii. Series identification number | S000018069 |
Payment dividend series info Record: 22 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI Israel ETF |
ii. Series identification number | S000021462 |
Payment dividend series info Record: 23 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI Global Agriculture Producers ETF |
ii. Series identification number | S000035883 |
Payment dividend series info Record: 24 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI Spain ETF |
ii. Series identification number | S000004256 |
Payment dividend series info Record: 25 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI Singapore ETF |
ii. Series identification number | S000004254 |
Payment dividend series info Record: 26 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares Edge MSCI Min Vol Global ETF |
ii. Series identification number | S000032498 |
Payment dividend series info Record: 27 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI Emerging Markets Asia ETF |
ii. Series identification number | S000034697 |
Payment dividend series info Record: 28 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI Pacific ex Japan ETF |
ii. Series identification number | S000004253 |
Payment dividend series info Record: 29 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI Emerging Markets ex China ETF |
ii. Series identification number | S000057835 |
Payment dividend series info Record: 30 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares Edge MSCI Min Vol Emerging Markets ETF |
ii. Series identification number | S000032497 |
Payment dividend series info Record: 31 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI EM ESG Optimized ETF |
ii. Series identification number | S000054183 |
Payment dividend series info Record: 32 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI Belgium ETF |
ii. Series identification number | S000004263 |
Payment dividend series info Record: 33 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI Canada ETF |
ii. Series identification number | S000004265 |
Payment dividend series info Record: 34 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI Russia ETF |
ii. Series identification number | S000047227 |
Payment dividend series info Record: 35 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI Frontier 100 ETF |
ii. Series identification number | S000036005 |
Payment dividend series info Record: 36 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI Taiwan ETF |
ii. Series identification number | S000004261 |
Payment dividend series info Record: 37 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares Core MSCI Emerging Markets ETF |
ii. Series identification number | S000038923 |
Payment dividend series info Record: 38 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares MSCI Brazil ETF |
ii. Series identification number | S000004264 |
Payment dividend series info Record: 39 | |
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
i. Series name | iShares Edge MSCI Multifactor Emerging Markets ETF |
ii. Series identification number | S000049021 |
N-CEN:Part C: Additional Questions for Management Investment Companies
General Instruction.Management investment companies that offer multiple series must complete Part C as to each series separately, even if some information is the same for two or more series. To begin this section or add an additional series(s), click on the bar labeled "Add a New Series" below. |
Management Investment Record: 1 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI South Korea ETF |
b. Series identication number, if any | S000004258 |
c. LEI | GR1QY1XUY5M0EJSI5J57 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI South Korea Capped ETF |
ii. Class identification number, if any | C000011962 |
iii. Ticker symbol, if any | EWY |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]()
![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 216821631.00000000 |
g. Provide the net income from securities lending activities | 6437040.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 21922.85000000 |
Brokers Record: 2 | |
i. Full name of broker | Investment Technology Group, Inc. |
ii. SEC file number | 8-44218 |
iii. CRD number | 000029299 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1139.29000000 |
Brokers Record: 3 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 24656.89000000 |
Brokers Record: 4 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 76552.54000000 |
Brokers Record: 5 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 980080.79999999 |
Brokers Record: 6 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 7170.37000000 |
Brokers Record: 7 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 4275.09000000 |
Brokers Record: 8 | |
i. Full name of broker | Deutsche Bank Capital Corporation |
ii. SEC file number | 8-15774 |
iii. CRD number | 000005323 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1380.43000000 |
Brokers Record: 9 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 166080.76000000 |
Brokers Record: 10 | |
i. Full name of broker | Credit Agricole SA |
ii. SEC file number | 8-13753 |
iii. CRD number | 000000190 |
iv. LEI, if any | 969500TJ5KRTCJQWXH05 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 116064.41000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 1399863.63000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 2123573056.10000200 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 7716123362.85000400 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 4049366303.67384620 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 2 |
Item C.1. Background information.
a. Full Name of the Fund | iShares Currency Hedged MSCI Emerging Markets ETF |
b. Series identication number, if any | S000045639 |
c. LEI | 549300CT2D6NUYBUTB53 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares Currency Hedged MSCI Emerging Markets ETF |
ii. Class identification number, if any | C000141922 |
iii. Ticker symbol, if any | HEEM |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 106741344.00000000 |
g. Provide the net income from securities lending activities | 404724.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Jakarta, Jakarta, ID, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | INDONESIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | BNP Paribas Securities Services (Athens, Attica, GR, Branch) |
ii. LEI, if any | 549300WCGB70D06XZS54 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GREECE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | HSBC Bank Middle East Limited (Manama, Capital, BH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BAHRAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | Cititrust Colombia S A Sociedad Fiduciaria |
ii. LEI, if any | 549300242J3IJCOSGI49 |
iii. State, if applicable | |
iv. Foreign country, if applicable | COLOMBIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | UniCredit Bank Hungary Zrt. |
ii. LEI, if any | Y28RT6GGYJ696PMW8T44 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HUNGARY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Joint Stock Company Commercial Bank Citibank |
ii. LEI, if any | CHSQDSVI1UI96Y2SW097 |
iii. State, if applicable | |
iv. Foreign country, if applicable | RUSSIAN FEDERATION |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | HSBC Bank (China) Company Limited |
ii. LEI, if any | 2CZOJRADNJXBLT55G526 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHINA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | FirstRand Bank Limited |
ii. LEI, if any | ZAYQDKTCATIXF9OQY690 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SOUTH AFRICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | HSBC Bank Middle East Limited (Doha, Ad Dawhah, QA, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | QATAR |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | Bank Handlowy w Warszawie Spolka Akcyjna |
ii. LEI, if any | XLEZHWWOI4HFQDGL4793 |
iii. State, if applicable | |
iv. Foreign country, if applicable | POLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | Itau CorpBanca |
ii. LEI, if any | 549300DDPTTIZ06NIV06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHILE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | HSBC Bank Egypt S.A.E |
ii. LEI, if any | 2138001Q77JDLESS4Y50 |
iii. State, if applicable | |
iv. Foreign country, if applicable | EGYPT |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) |
ii. LEI, if any | 579100KKDGKCFFKKF005 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BRAZIL |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | Standard Chartered Bank Malaysia Berhad |
ii. LEI, if any | 549300JTJBG2QBI8KD48 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MALAYSIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Standard Chartered Bank (Taiwan) Limited |
ii. LEI, if any | 549300QJEO1B92LSHZ06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TAIWAN (PROVINCE OF CHINA) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PHILIPPINES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 25 | |
i. Full name | Citibank Anonim Sirketi |
ii. LEI, if any | CWZ8NZDH5SKY12Q4US31 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TURKEY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 26 | |
i. Full name | HSBC Bank Middle East Limited |
ii. LEI, if any | 549300F99IL9YJDWH369 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED ARAB EMIRATES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1715.98000000 |
Brokers Record: 2 | |
i. Full name of broker | Investment Technology Group, Inc. |
ii. SEC file number | 8-44218 |
iii. CRD number | 000029299 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 19.39000000 |
Brokers Record: 3 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1567.59000000 |
Brokers Record: 4 | |
i. Full name of broker | Deutsche Bank Capital Corporation |
ii. SEC file number | 8-15774 |
iii. CRD number | 000005323 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 4093.70000000 |
Brokers Record: 5 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 11.38000000 |
Brokers Record: 6 | |
i. Full name of broker | BMO Capital Markets Corp. |
ii. SEC file number | 008-34344 |
iii. CRD number | 000016686 |
iv. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 482.34000000 |
Brokers Record: 7 | |
i. Full name of broker | Barclays Capital Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1334.12000000 |
Brokers Record: 8 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 3099.26000000 |
Brokers Record: 9 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 207.12000000 |
Brokers Record: 10 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 3356.96000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 15887.84000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Virtu Americas LLC |
ii. SEC file number | 8-68193 |
iii. CRD number | 000149823 |
iv. LEI, if any | 549300RA02N3BNSWBV74 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1332358.14000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Cantor Fitzgerald & Co. |
ii. SEC file number | 8-201 |
iii. CRD number | 000000134 |
iv. LEI, if any | 5493004J7H4GCPG6OB62 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1375682.76000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 507213399.11000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 56361452.77000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 93593893.68000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 19799800.44000000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 25845842.40000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 5779222668.64999900 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 398565451.65692306 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 3 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Canada ETF |
b. Series identication number, if any | S000004265 |
c. LEI | 549300DXCD53F4JK3H45 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Canada ETF |
ii. Class identification number, if any | C000011969 |
iii. Ticker symbol, if any | EWC |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 13535330.00000000 |
g. Provide the net income from securities lending activities | 56748.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Scotia Capital (USA) Inc. |
ii. SEC file number | 8-3716 |
iii. CRD number | 000002739 |
iv. LEI, if any | 549300BLWPABP1VNME36 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 14661.04000000 |
Brokers Record: 2 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 94.79000000 |
Brokers Record: 3 | |
i. Full name of broker | Investment Technology Group, Inc. |
ii. SEC file number | 8-44218 |
iii. CRD number | 000029299 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 8531.68000000 |
Brokers Record: 4 | |
i. Full name of broker | National Bank of Canada |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | BSGEFEIOM18Y80CKCV46 |
v. State, if applicable | |
vi. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
vii. Gross commissions paid by the Fund for the reporting period | 12407.52000000 |
Brokers Record: 5 | |
i. Full name of broker | Canadian Imperial Bank of Commerce |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 2IGI19DL77OX0HC3ZE78 |
v. State, if applicable | |
vi. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
vii. Gross commissions paid by the Fund for the reporting period | 6504.88000000 |
Brokers Record: 6 | |
i. Full name of broker | Fidelity Investments |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | NEW HAMPSHIRE |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 96.70000000 |
Brokers Record: 7 | |
i. Full name of broker | TD Securities (USA) LLC |
ii. SEC file number | 8-36747 |
iii. CRD number | 000018476 |
iv. LEI, if any | SUVUFHICNZMP2WKHG940 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2357.13000000 |
Brokers Record: 8 | |
i. Full name of broker | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 12101.21000000 |
Brokers Record: 9 | |
i. Full name of broker | Bank of Montreal |
ii. SEC file number | 8-67064 |
iii. CRD number | 000137115 |
iv. LEI, if any | NQQ6HPCNCCU6TUTQYE16 |
v. State, if applicable | |
vi. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
vii. Gross commissions paid by the Fund for the reporting period | 15217.20000000 |
Brokers Record: 10 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 5997.29000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 77969.44000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | J.P. Morgan Securities Canada Inc. |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 549300F310BOLPDDZ813 |
v. State, if applicable | |
vi. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 87609755.12000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 83317495.80000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Canadian Imperial Bank of Commerce |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 2IGI19DL77OX0HC3ZE78 |
v. State, if applicable | |
vi. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1263087774.78000100 |
Principal Transactions Record: 4 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 116384886.95000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 365634668.22000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 45899929.76000000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 137173906.31000000 |
Principal Transactions Record: 8 | |
i. Full name of dealer | Virtu Americas LLC |
ii. SEC file number | 8-68193 |
iii. CRD number | 000149823 |
iv. LEI, if any | 549300RA02N3BNSWBV74 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 17268052.27000000 |
Principal Transactions Record: 9 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 314800637.77000000 |
Principal Transactions Record: 10 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 251832955.99000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 3694717107.57000100 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 2985298745.99000020 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 4 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Emerging Markets ETF |
b. Series identication number, if any | S000004266 |
c. LEI | 549300BPYHDEDI59G670 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Emerging Markets ETF |
ii. Class identification number, if any | C000011970 |
iii. Ticker symbol, if any | EEM |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]()
![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
b. If yes, provide the following information: | |
Foreign Investments Record: 1 | |
Full name of subsidiary | iShares Emerging Markets Index Mauritius Company |
LEI of subsidiary, if any | 00000000000000000000 |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 1899547494.00000000 |
g. Provide the net income from securities lending activities | 24142011.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | UniCredit Bank Hungary Zrt. |
ii. LEI, if any | Y28RT6GGYJ696PMW8T44 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HUNGARY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | HSBC Bank Egypt S.A.E |
ii. LEI, if any | 2138001Q77JDLESS4Y50 |
iii. State, if applicable | |
iv. Foreign country, if applicable | EGYPT |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | FirstRand Bank Limited |
ii. LEI, if any | ZAYQDKTCATIXF9OQY690 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SOUTH AFRICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Standard Chartered Bank (Taiwan) Limited |
ii. LEI, if any | 549300QJEO1B92LSHZ06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TAIWAN (PROVINCE OF CHINA) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Jakarta, Jakarta, ID, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | INDONESIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | HSBC Bank Middle East Limited (Manama, Capital, BH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BAHRAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | HSBC Bank Middle East Limited (Doha, Ad Dawhah, QA, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | QATAR |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | HSBC Bank (China) Company Limited |
ii. LEI, if any | 2CZOJRADNJXBLT55G526 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHINA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PHILIPPINES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Joint Stock Company Commercial Bank Citibank |
ii. LEI, if any | CHSQDSVI1UI96Y2SW097 |
iii. State, if applicable | |
iv. Foreign country, if applicable | RUSSIAN FEDERATION |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 25 | |
i. Full name | Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) |
ii. LEI, if any | 579100KKDGKCFFKKF005 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BRAZIL |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 26 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 27 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 28 | |
i. Full name | BNP Paribas Securities Services (Athens, Attica, GR, Branch) |
ii. LEI, if any | 549300WCGB70D06XZS54 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GREECE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 29 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Karachi, Sindh, PK, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PAKISTAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 30 | |
i. Full name | Cititrust Colombia S A Sociedad Fiduciaria |
ii. LEI, if any | 549300242J3IJCOSGI49 |
iii. State, if applicable | |
iv. Foreign country, if applicable | COLOMBIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 31 | |
i. Full name | Bank Handlowy w Warszawie Spolka Akcyjna |
ii. LEI, if any | XLEZHWWOI4HFQDGL4793 |
iii. State, if applicable | |
iv. Foreign country, if applicable | POLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 32 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 33 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 34 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 35 | |
i. Full name | Citibank Anonim Sirketi |
ii. LEI, if any | CWZ8NZDH5SKY12Q4US31 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TURKEY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 36 | |
i. Full name | Itau CorpBanca |
ii. LEI, if any | 549300DDPTTIZ06NIV06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHILE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 37 | |
i. Full name | Citibank Maghreb S.A |
ii. LEI, if any | 5493003FVWLMBFTISI11 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MOROCCO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 38 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 39 | |
i. Full name | Standard Chartered Bank Malaysia Berhad |
ii. LEI, if any | 549300JTJBG2QBI8KD48 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MALAYSIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 40 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 41 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 42 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 43 | |
i. Full name | Bank Hapoalim B.M. |
ii. LEI, if any | B6ARUI4946ST4S7WOU88 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ISRAEL |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 44 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 45 | |
i. Full name | HSBC Bank Middle East Limited |
ii. LEI, if any | 549300F99IL9YJDWH369 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED ARAB EMIRATES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 370069.13999999 |
Brokers Record: 2 | |
i. Full name of broker | Credit Agricole SA |
ii. SEC file number | 8-13753 |
iii. CRD number | 000000190 |
iv. LEI, if any | 969500TJ5KRTCJQWXH05 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 284197.90000000 |
Brokers Record: 3 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 372150.61000000 |
Brokers Record: 4 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 175386.28000000 |
Brokers Record: 5 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 307343.39999999 |
Brokers Record: 6 | |
i. Full name of broker | Credicorp Capital Chile S.A. |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 549300YRTTWFZ5ZVO585 |
v. State, if applicable | |
vi. Foreign country, if applicable | CHILE |
vii. Gross commissions paid by the Fund for the reporting period | 97860.84999999 |
Brokers Record: 7 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 3459433.89999999 |
Brokers Record: 8 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 179986.48000000 |
Brokers Record: 9 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 252241.69000000 |
Brokers Record: 10 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 284297.16000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 4462307.21000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 6666832892.91002700 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 104287358.08000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 867800.76000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 9951003.25000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 35594.91000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 13113878735.34999500 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 52501707013.27000400 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 37851389690.49155000 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 5 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Japan ETF |
b. Series identication number, if any | S000004249 |
c. LEI | 5493008I6YRUC6I0S051 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Japan ETF |
ii. Class identification number, if any | C000011953 |
iii. Ticker symbol, if any | EWJ |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]()
![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 60778657.00000000 |
g. Provide the net income from securities lending activities | 4153292.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 85519.44000000 |
Brokers Record: 2 | |
i. Full name of broker | Instinet, LLC |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | 549300MGMN3RKMU8FT57 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 8023.61000000 |
Brokers Record: 3 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 27932.15000000 |
Brokers Record: 4 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 39897.09000000 |
Brokers Record: 5 | |
i. Full name of broker | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 10262.63000000 |
Brokers Record: 6 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 31938.66000000 |
Brokers Record: 7 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 31357.12000000 |
Brokers Record: 8 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 39165.43000000 |
Brokers Record: 9 | |
i. Full name of broker | Deutsche Bank Capital Corporation |
ii. SEC file number | 8-15774 |
iii. CRD number | 000005323 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 11865.09000000 |
Brokers Record: 10 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 71122.13000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 382822.12000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 28411087.47000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 470830435.81000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 2155280677.22000200 |
Principal Transactions Record: 4 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1179362812.76000100 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 675755267.66000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 345541508.03000000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 5134141535.10998800 |
Principal Transactions Record: 8 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1669576299.92000200 |
Principal Transactions Record: 9 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 2083096811.01999600 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 18483936257.29997600 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 19058301682.42000200 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 6 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Israel ETF |
b. Series identication number, if any | S000021462 |
c. LEI | 5493002NZTVKJGKTNC72 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Israel Capped ETF |
ii. Class identification number, if any | C000061365 |
iii. Ticker symbol, if any | EIS |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 12934312.00000000 |
g. Provide the net income from securities lending activities | 55062.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Bank Hapoalim B.M. |
ii. LEI, if any | B6ARUI4946ST4S7WOU88 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ISRAEL |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 25 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Deutsche Bank Capital Corporation |
ii. SEC file number | 8-15774 |
iii. CRD number | 000005323 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 77.83000000 |
Brokers Record: 2 | |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 152.18000000 |
Brokers Record: 3 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 431.60000000 |
Brokers Record: 4 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 960.13000000 |
Brokers Record: 5 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 52.74000000 |
Brokers Record: 6 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 18.77000000 |
Brokers Record: 7 | |
i. Full name of broker | Barclays Capital Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 84.77000000 |
Brokers Record: 8 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 207.15000000 |
Brokers Record: 9 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 291.15000000 |
Brokers Record: 10 | |
i. Full name of broker | Instinet, LLC |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | 549300MGMN3RKMU8FT57 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 269.72000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 2555.17000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 196649.37000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 7719444.71000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 9897157.97000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Reliance Mutual Fund |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 335800HSE81TAD65RF98 |
v. State, if applicable | |
vi. Foreign country, if applicable | INDIA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1200.18000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 23229588.54000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 13782554.49000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 350560458.02000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 105746174.33769229 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 7 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Switzerland ETF |
b. Series identication number, if any | S000004260 |
c. LEI | 549300WB2EJ9RDFN4R78 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Switzerland Capped ETF |
ii. Class identification number, if any | C000011964 |
iii. Ticker symbol, if any | EWL |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 432214.00000000 |
g. Provide the net income from securities lending activities | 7058.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 6459.38000000 |
Brokers Record: 2 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1624.50000000 |
Brokers Record: 3 | |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2505.27000000 |
Brokers Record: 4 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1601.29000000 |
Brokers Record: 5 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 3658.65000000 |
Brokers Record: 6 | |
i. Full name of broker | Instinet, LLC |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | 549300MGMN3RKMU8FT57 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 8805.43000000 |
Brokers Record: 7 | |
i. Full name of broker | Wells Fargo Brokerage Services, LLC |
ii. SEC file number | 8-33283 |
iii. CRD number | 000016100 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | MINNESOTA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 5758.59000000 |
Brokers Record: 8 | |
i. Full name of broker | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 1223.88000000 |
Brokers Record: 9 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 5014.73000000 |
Brokers Record: 10 | |
i. Full name of broker | Exane |
ii. SEC file number | 8-49569 |
iii. CRD number | 000041784 |
iv. LEI, if any | 969500UP76J52A9OXU27 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 1265.36000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 40642.41000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 137859796.62000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 216150577.11000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 157381001.66000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 45881569.26000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 67489752.43000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 33830200.31000000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 23625102.21000000 |
Principal Transactions Record: 8 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 267902271.04000000 |
Principal Transactions Record: 9 | |
i. Full name of dealer | ABN AMRO Clearing Bank N.V. |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | G8ZTNESVNKW4NN761W05 |
v. State, if applicable | |
vi. Foreign country, if applicable | NETHERLANDS |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 63564256.77000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 1446703443.01999900 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 1151441304.98076920 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 8 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Global Agriculture Producers ETF |
b. Series identication number, if any | S000035883 |
c. LEI | 5493007BEZLYYQ7MPE91 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Global Agriculture Producers ETF |
ii. Class identification number, if any | C000109986 |
iii. Ticker symbol, if any | VEGI |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 1145531.00000000 |
g. Provide the net income from securities lending activities | 23796.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | HSBC Bank Middle East Limited |
ii. LEI, if any | 549300F99IL9YJDWH369 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED ARAB EMIRATES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Mumbai, Maharashtra, IN, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | INDIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Itau CorpBanca |
ii. LEI, if any | 549300DDPTTIZ06NIV06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHILE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | HSBC Bank Middle East Limited (Doha, Ad Dawhah, QA, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | QATAR |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | HSBC Bank (China) Company Limited |
ii. LEI, if any | 2CZOJRADNJXBLT55G526 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHINA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | Citibank del Peru S.A. |
ii. LEI, if any | MYTK5NHHP1G8TVFGT193 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PERU |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | HSBC Bank Middle East Limited (Manama, Capital, BH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BAHRAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) |
ii. LEI, if any | 579100KKDGKCFFKKF005 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BRAZIL |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | Standard Chartered Bank Malaysia Berhad |
ii. LEI, if any | 549300JTJBG2QBI8KD48 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MALAYSIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Standard Chartered Bank (Taiwan) Limited |
ii. LEI, if any | 549300QJEO1B92LSHZ06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TAIWAN (PROVINCE OF CHINA) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | Bank Hapoalim B.M. |
ii. LEI, if any | B6ARUI4946ST4S7WOU88 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ISRAEL |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 25 | |
i. Full name | FirstRand Bank Limited |
ii. LEI, if any | ZAYQDKTCATIXF9OQY690 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SOUTH AFRICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 26 | |
i. Full name | UniCredit Bank Hungary Zrt. |
ii. LEI, if any | Y28RT6GGYJ696PMW8T44 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HUNGARY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 27 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 28 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 29 | |
i. Full name | Joint Stock Company Commercial Bank Citibank |
ii. LEI, if any | CHSQDSVI1UI96Y2SW097 |
iii. State, if applicable | |
iv. Foreign country, if applicable | RUSSIAN FEDERATION |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 30 | |
i. Full name | HSBC Bank Egypt S.A.E |
ii. LEI, if any | 2138001Q77JDLESS4Y50 |
iii. State, if applicable | |
iv. Foreign country, if applicable | EGYPT |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 31 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Karachi, Sindh, PK, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PAKISTAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 32 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 33 | |
i. Full name | BNP Paribas Securities Services (Athens, Attica, GR, Branch) |
ii. LEI, if any | 549300WCGB70D06XZS54 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GREECE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 34 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 35 | |
i. Full name | Cititrust Colombia S A Sociedad Fiduciaria |
ii. LEI, if any | 549300242J3IJCOSGI49 |
iii. State, if applicable | |
iv. Foreign country, if applicable | COLOMBIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 36 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 37 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 38 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PHILIPPINES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 39 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Jakarta, Jakarta, ID, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | INDONESIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 40 | |
i. Full name | Bank Handlowy w Warszawie Spolka Akcyjna |
ii. LEI, if any | XLEZHWWOI4HFQDGL4793 |
iii. State, if applicable | |
iv. Foreign country, if applicable | POLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 41 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 42 | |
i. Full name | Citibank Maghreb S.A |
ii. LEI, if any | 5493003FVWLMBFTISI11 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MOROCCO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 43 | |
i. Full name | Citibank Anonim Sirketi |
ii. LEI, if any | CWZ8NZDH5SKY12Q4US31 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TURKEY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 44 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 45 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 46 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Credit Agricole SA |
ii. SEC file number | 8-13753 |
iii. CRD number | 000000190 |
iv. LEI, if any | 969500TJ5KRTCJQWXH05 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 161.02000000 |
Brokers Record: 2 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 449.76000000 |
Brokers Record: 3 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 478.43000000 |
Brokers Record: 4 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 137.31000000 |
Brokers Record: 5 | |
i. Full name of broker | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 158.40000000 |
Brokers Record: 6 | |
i. Full name of broker | Credicorp Capital Chile S.A. |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 549300YRTTWFZ5ZVO585 |
v. State, if applicable | |
vi. Foreign country, if applicable | CHILE |
vii. Gross commissions paid by the Fund for the reporting period | 148.44000000 |
Brokers Record: 7 | |
i. Full name of broker | Wells Fargo Brokerage Services, LLC |
ii. SEC file number | 8-33283 |
iii. CRD number | 000016100 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | MINNESOTA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 115.49000000 |
Brokers Record: 8 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 402.46000000 |
Brokers Record: 9 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 301.01000000 |
Brokers Record: 10 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 378.71000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 3044.23000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 20117.83000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 20288434.09000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 2593817.64000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 2633961.86000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 86531023.93000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 31438447.00384615 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 9 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Emerging Markets ex China ETF |
b. Series identication number, if any | S000057835 |
c. LEI | 549300OO3LEZN53XCB15 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Emerging Markets ex China ETF |
ii. Class identification number, if any | C000186806 |
iii. Ticker symbol, if any | EMXC |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | N/A |
g. Provide the net income from securities lending activities | N/A |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | HSBC Bank Middle East Limited (Doha, Ad Dawhah, QA, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | QATAR |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | HSBC Bank Middle East Limited (Manama, Capital, BH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BAHRAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Karachi, Sindh, PK, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PAKISTAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | Standard Chartered Bank (Taiwan) Limited |
ii. LEI, if any | 549300QJEO1B92LSHZ06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TAIWAN (PROVINCE OF CHINA) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PHILIPPINES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Itau CorpBanca |
ii. LEI, if any | 549300DDPTTIZ06NIV06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHILE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Standard Chartered Bank Malaysia Berhad |
ii. LEI, if any | 549300JTJBG2QBI8KD48 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MALAYSIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | Citibank Anonim Sirketi |
ii. LEI, if any | CWZ8NZDH5SKY12Q4US31 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TURKEY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | HSBC Bank Egypt S.A.E |
ii. LEI, if any | 2138001Q77JDLESS4Y50 |
iii. State, if applicable | |
iv. Foreign country, if applicable | EGYPT |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | Bank Handlowy w Warszawie Spolka Akcyjna |
ii. LEI, if any | XLEZHWWOI4HFQDGL4793 |
iii. State, if applicable | |
iv. Foreign country, if applicable | POLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | UniCredit Bank Hungary Zrt. |
ii. LEI, if any | Y28RT6GGYJ696PMW8T44 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HUNGARY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) |
ii. LEI, if any | 579100KKDGKCFFKKF005 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BRAZIL |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | FirstRand Bank Limited |
ii. LEI, if any | ZAYQDKTCATIXF9OQY690 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SOUTH AFRICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | Joint Stock Company Commercial Bank Citibank |
ii. LEI, if any | CHSQDSVI1UI96Y2SW097 |
iii. State, if applicable | |
iv. Foreign country, if applicable | RUSSIAN FEDERATION |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Cititrust Colombia S A Sociedad Fiduciaria |
ii. LEI, if any | 549300242J3IJCOSGI49 |
iii. State, if applicable | |
iv. Foreign country, if applicable | COLOMBIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | HSBC Bank Middle East Limited |
ii. LEI, if any | 549300F99IL9YJDWH369 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED ARAB EMIRATES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Jakarta, Jakarta, ID, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | INDONESIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 25 | |
i. Full name | BNP Paribas Securities Services (Athens, Attica, GR, Branch) |
ii. LEI, if any | 549300WCGB70D06XZS54 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GREECE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 124.29000000 |
Brokers Record: 2 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 78.01000000 |
Brokers Record: 3 | |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 314.61000000 |
Brokers Record: 4 | |
i. Full name of broker | Barclays Capital Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 23.35000000 |
Brokers Record: 5 | |
i. Full name of broker | Commonwealth Bank of Australia |
ii. SEC file number | 8-66998 |
iii. CRD number | 000136321 |
iv. LEI, if any | MSFSBD3QN1GSN7Q6C537 |
v. State, if applicable | |
vi. Foreign country, if applicable | AUSTRALIA |
vii. Gross commissions paid by the Fund for the reporting period | 27.91000000 |
Brokers Record: 6 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 112.08000000 |
Brokers Record: 7 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 98.46000000 |
Brokers Record: 8 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 23.98000000 |
Brokers Record: 9 | |
i. Full name of broker | Credit Agricole SA |
ii. SEC file number | 8-13753 |
iii. CRD number | 000000190 |
iv. LEI, if any | 969500TJ5KRTCJQWXH05 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 52.66000000 |
Brokers Record: 10 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 35.99000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 982.70000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 8.72000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1.56000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 26.78000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 29.01000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 22.80000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 2735618.40000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 7431164.84000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 10458978.64076923 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 10 |
Item C.1. Background information.
a. Full Name of the Fund | iShares Edge MSCI Min Vol Global ETF |
b. Series identication number, if any | S000032498 |
c. LEI | 549300DZXYYH8TOP8M46 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares Edge MSCI Min Vol Global ETF |
ii. Class identification number, if any | C000100213 |
iii. Ticker symbol, if any | ACWV |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 58848172.00000000 |
g. Provide the net income from securities lending activities | 509143.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | Bank Hapoalim B.M. |
ii. LEI, if any | B6ARUI4946ST4S7WOU88 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ISRAEL |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | Standard Chartered Bank (Taiwan) Limited |
ii. LEI, if any | 549300QJEO1B92LSHZ06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TAIWAN (PROVINCE OF CHINA) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Itau CorpBanca |
ii. LEI, if any | 549300DDPTTIZ06NIV06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHILE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | Citibank Anonim Sirketi |
ii. LEI, if any | CWZ8NZDH5SKY12Q4US31 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TURKEY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | UniCredit Bank Hungary Zrt. |
ii. LEI, if any | Y28RT6GGYJ696PMW8T44 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HUNGARY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | Bank Handlowy w Warszawie Spolka Akcyjna |
ii. LEI, if any | XLEZHWWOI4HFQDGL4793 |
iii. State, if applicable | |
iv. Foreign country, if applicable | POLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | HSBC Bank Middle East Limited (Manama, Capital, BH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BAHRAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PHILIPPINES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | BNP Paribas Securities Services (Athens, Attica, GR, Branch) |
ii. LEI, if any | 549300WCGB70D06XZS54 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GREECE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | HSBC Bank Middle East Limited |
ii. LEI, if any | 549300F99IL9YJDWH369 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED ARAB EMIRATES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Karachi, Sindh, PK, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PAKISTAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | Standard Chartered Bank Malaysia Berhad |
ii. LEI, if any | 549300JTJBG2QBI8KD48 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MALAYSIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 25 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 26 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 27 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 28 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 29 | |
i. Full name | FirstRand Bank Limited |
ii. LEI, if any | ZAYQDKTCATIXF9OQY690 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SOUTH AFRICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 30 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 31 | |
i. Full name | Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) |
ii. LEI, if any | 579100KKDGKCFFKKF005 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BRAZIL |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 32 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 33 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Mumbai, Maharashtra, IN, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | INDIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 34 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 35 | |
i. Full name | Cititrust Colombia S A Sociedad Fiduciaria |
ii. LEI, if any | 549300242J3IJCOSGI49 |
iii. State, if applicable | |
iv. Foreign country, if applicable | COLOMBIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 36 | |
i. Full name | Citibank Maghreb S.A |
ii. LEI, if any | 5493003FVWLMBFTISI11 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MOROCCO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 37 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 38 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 39 | |
i. Full name | HSBC Bank Middle East Limited (Doha, Ad Dawhah, QA, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | QATAR |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 40 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 41 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Jakarta, Jakarta, ID, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | INDONESIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 42 | |
i. Full name | HSBC Bank (China) Company Limited |
ii. LEI, if any | 2CZOJRADNJXBLT55G526 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHINA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 43 | |
i. Full name | Citibank del Peru S.A. |
ii. LEI, if any | MYTK5NHHP1G8TVFGT193 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PERU |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 44 | |
i. Full name | Joint Stock Company Commercial Bank Citibank |
ii. LEI, if any | CHSQDSVI1UI96Y2SW097 |
iii. State, if applicable | |
iv. Foreign country, if applicable | RUSSIAN FEDERATION |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 45 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 46 | |
i. Full name | HSBC Bank Egypt S.A.E |
ii. LEI, if any | 2138001Q77JDLESS4Y50 |
iii. State, if applicable | |
iv. Foreign country, if applicable | EGYPT |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 28954.51000000 |
Brokers Record: 2 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 52150.30000000 |
Brokers Record: 3 | |
i. Full name of broker | Commonwealth Bank of Australia |
ii. SEC file number | 8-66998 |
iii. CRD number | 000136321 |
iv. LEI, if any | MSFSBD3QN1GSN7Q6C537 |
v. State, if applicable | |
vi. Foreign country, if applicable | AUSTRALIA |
vii. Gross commissions paid by the Fund for the reporting period | 7821.73000000 |
Brokers Record: 4 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 33175.43000000 |
Brokers Record: 5 | |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 16549.92000000 |
Brokers Record: 6 | |
i. Full name of broker | Credit Agricole SA |
ii. SEC file number | 8-13753 |
iii. CRD number | 000000190 |
iv. LEI, if any | 969500TJ5KRTCJQWXH05 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 8102.30000000 |
Brokers Record: 7 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 200784.34000000 |
Brokers Record: 8 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 553488.13000000 |
Brokers Record: 9 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 13202.19000000 |
Brokers Record: 10 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 15842.88000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 961447.46000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 418249.06000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 418847561.45000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 7670632.85000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Barclays Capital Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 3.01000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 383910525.20000100 |
Principal Transactions Record: 6 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1336102971.54000000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 401681367.99000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 6866447472.51000100 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 3564083980.01692250 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 11 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Italy ETF |
b. Series identication number, if any | S000004248 |
c. LEI | 549300S0PVI5CQLC2571 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Italy Capped ETF |
ii. Class identification number, if any | C000011952 |
iii. Ticker symbol, if any | EWI |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 4143275.00000000 |
g. Provide the net income from securities lending activities | 32477.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 1359.93000000 |
Brokers Record: 2 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 649.97000000 |
Brokers Record: 3 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 4063.81000000 |
Brokers Record: 4 | |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1372.64000000 |
Brokers Record: 5 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 3196.24000000 |
Brokers Record: 6 | |
i. Full name of broker | Deutsche Bank Capital Corporation |
ii. SEC file number | 8-15774 |
iii. CRD number | 000005323 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 431.76000000 |
Brokers Record: 7 | |
i. Full name of broker | Wells Fargo Brokerage Services, LLC |
ii. SEC file number | 8-33283 |
iii. CRD number | 000016100 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | MINNESOTA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 848.51000000 |
Brokers Record: 8 | |
i. Full name of broker | Instinet, LLC |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | 549300MGMN3RKMU8FT57 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 4113.51000000 |
Brokers Record: 9 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2409.62000000 |
Brokers Record: 10 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 4186.13000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 23357.71000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 92575085.61000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | ABN AMRO Clearing Bank N.V. |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | G8ZTNESVNKW4NN761W05 |
v. State, if applicable | |
vi. Foreign country, if applicable | NETHERLANDS |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 235228479.06000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 76.01000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 120251053.64000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 181457240.82000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 29039495.99000000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 29779008.39000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 1095181800.35000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 672525297.30769230 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 12 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Global Silver Miners ETF |
b. Series identication number, if any | S000035880 |
c. LEI | 549300VTT81KG1MIFJ25 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Global Silver Miners ETF |
ii. Class identification number, if any | C000109983 |
iii. Ticker symbol, if any | SLVP |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 6937808.00000000 |
g. Provide the net income from securities lending activities | 183296.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | Joint Stock Company Commercial Bank Citibank |
ii. LEI, if any | CHSQDSVI1UI96Y2SW097 |
iii. State, if applicable | |
iv. Foreign country, if applicable | RUSSIAN FEDERATION |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PHILIPPINES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | BNP Paribas Securities Services (Athens, Attica, GR, Branch) |
ii. LEI, if any | 549300WCGB70D06XZS54 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GREECE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Jakarta, Jakarta, ID, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | INDONESIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Karachi, Sindh, PK, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PAKISTAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | HSBC Bank (China) Company Limited |
ii. LEI, if any | 2CZOJRADNJXBLT55G526 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHINA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | Standard Chartered Bank Malaysia Berhad |
ii. LEI, if any | 549300JTJBG2QBI8KD48 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MALAYSIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | Cititrust Colombia S A Sociedad Fiduciaria |
ii. LEI, if any | 549300242J3IJCOSGI49 |
iii. State, if applicable | |
iv. Foreign country, if applicable | COLOMBIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | Citibank Anonim Sirketi |
ii. LEI, if any | CWZ8NZDH5SKY12Q4US31 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TURKEY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | UniCredit Bank Hungary Zrt. |
ii. LEI, if any | Y28RT6GGYJ696PMW8T44 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HUNGARY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | HSBC Bank Middle East Limited (Manama, Capital, BH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BAHRAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 25 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 26 | |
i. Full name | Bank Hapoalim B.M. |
ii. LEI, if any | B6ARUI4946ST4S7WOU88 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ISRAEL |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 27 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 28 | |
i. Full name | Citibank del Peru S.A. |
ii. LEI, if any | MYTK5NHHP1G8TVFGT193 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PERU |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 29 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 30 | |
i. Full name | Itau CorpBanca |
ii. LEI, if any | 549300DDPTTIZ06NIV06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHILE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 31 | |
i. Full name | Citibank Maghreb S.A |
ii. LEI, if any | 5493003FVWLMBFTISI11 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MOROCCO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 32 | |
i. Full name | HSBC Bank Egypt S.A.E |
ii. LEI, if any | 2138001Q77JDLESS4Y50 |
iii. State, if applicable | |
iv. Foreign country, if applicable | EGYPT |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 33 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 34 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 35 | |
i. Full name | HSBC Bank Middle East Limited (Doha, Ad Dawhah, QA, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | QATAR |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 36 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 37 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 38 | |
i. Full name | Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) |
ii. LEI, if any | 579100KKDGKCFFKKF005 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BRAZIL |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 39 | |
i. Full name | FirstRand Bank Limited |
ii. LEI, if any | ZAYQDKTCATIXF9OQY690 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SOUTH AFRICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 40 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 41 | |
i. Full name | HSBC Bank Middle East Limited |
ii. LEI, if any | 549300F99IL9YJDWH369 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED ARAB EMIRATES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 42 | |
i. Full name | Bank Handlowy w Warszawie Spolka Akcyjna |
ii. LEI, if any | XLEZHWWOI4HFQDGL4793 |
iii. State, if applicable | |
iv. Foreign country, if applicable | POLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 43 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 44 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 45 | |
i. Full name | Standard Chartered Bank (Taiwan) Limited |
ii. LEI, if any | 549300QJEO1B92LSHZ06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TAIWAN (PROVINCE OF CHINA) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1690.12000000 |
Brokers Record: 2 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2635.34000000 |
Brokers Record: 3 | |
i. Full name of broker | BMO Capital Markets Corp. |
ii. SEC file number | 008-34344 |
iii. CRD number | 000016686 |
iv. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1448.85000000 |
Brokers Record: 4 | |
i. Full name of broker | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1174.87000000 |
Brokers Record: 5 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1598.18000000 |
Brokers Record: 6 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 954.01000000 |
Brokers Record: 7 | |
i. Full name of broker | Bank of Montreal |
ii. SEC file number | 8-67064 |
iii. CRD number | 000137115 |
iv. LEI, if any | NQQ6HPCNCCU6TUTQYE16 |
v. State, if applicable | |
vi. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
vii. Gross commissions paid by the Fund for the reporting period | 581.44000000 |
Brokers Record: 8 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2474.76000000 |
Brokers Record: 9 | |
i. Full name of broker | Canadian Imperial Bank of Commerce |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 2IGI19DL77OX0HC3ZE78 |
v. State, if applicable | |
vi. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
vii. Gross commissions paid by the Fund for the reporting period | 602.90000000 |
Brokers Record: 10 | |
i. Full name of broker | Scotia Capital (USA) Inc. |
ii. SEC file number | 8-3716 |
iii. CRD number | 000002739 |
iv. LEI, if any | 549300BLWPABP1VNME36 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1332.40000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 16851.97000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 9946780.93000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 3159657.74000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 2666967.61000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 8094039.89000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Lazard Global Active Funds Public Limited Company |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | W7T5HI8EYPT624ZO4O54 |
v. State, if applicable | |
vi. Foreign country, if applicable | IRELAND |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 5.65000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 140332276.71000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 59813951.51692308 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 13 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Austria ETF |
b. Series identication number, if any | S000004257 |
c. LEI | 549300E07Z2ITX3EMG78 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Austria Capped ETF |
ii. Class identification number, if any | C000011961 |
iii. Ticker symbol, if any | EWO |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 6539778.00000000 |
g. Provide the net income from securities lending activities | 182086.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 3821.18000000 |
Brokers Record: 2 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 4935.64000000 |
Brokers Record: 3 | |
i. Full name of broker | Instinet, LLC |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | 549300MGMN3RKMU8FT57 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1362.37000000 |
Brokers Record: 4 | |
i. Full name of broker | BNP Paribas Securities Corp. |
ii. SEC file number | 8-32682 |
iii. CRD number | 000015794 |
iv. LEI, if any | RCNB6OTYUAMMP879YW96 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 224.58000000 |
Brokers Record: 5 | |
i. Full name of broker | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 392.16000000 |
Brokers Record: 6 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2967.24000000 |
Brokers Record: 7 | |
i. Full name of broker | Deutsche Bank Capital Corporation |
ii. SEC file number | 8-15774 |
iii. CRD number | 000005323 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 336.51000000 |
Brokers Record: 8 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 33.15000000 |
Brokers Record: 9 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 3666.96000000 |
Brokers Record: 10 | |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 639.38000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 18437.85000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 2454687.38000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 31298837.94000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 9762263.60000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 218860453.64000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 6809640.74000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | Virtu Americas LLC |
ii. SEC file number | 8-68193 |
iii. CRD number | 000149823 |
iv. LEI, if any | 549300RA02N3BNSWBV74 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 28527007.36000000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 2379392.83000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 510061773.72000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 244089764.14692307 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 14 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI BRIC ETF |
b. Series identication number, if any | S000018069 |
c. LEI | 549300QEWO4HH2ZUMC21 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI BRIC ETF |
ii. Class identification number, if any | C000050065 |
iii. Ticker symbol, if any | BKF |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
b. If yes, provide the following information: | |
Foreign Investments Record: 1 | |
Full name of subsidiary | iShares BRIC Index Mauritius Company |
LEI of subsidiary, if any | 00000000000000000000 |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 19715873.00000000 |
g. Provide the net income from securities lending activities | 108720.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | Joint Stock Company Commercial Bank Citibank |
ii. LEI, if any | CHSQDSVI1UI96Y2SW097 |
iii. State, if applicable | |
iv. Foreign country, if applicable | RUSSIAN FEDERATION |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) |
ii. LEI, if any | 579100KKDGKCFFKKF005 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BRAZIL |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | HSBC Bank (China) Company Limited |
ii. LEI, if any | 2CZOJRADNJXBLT55G526 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHINA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 25 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 26 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 27 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 209.49000000 |
Brokers Record: 2 | |
i. Full name of broker | Credit Agricole SA |
ii. SEC file number | 8-13753 |
iii. CRD number | 000000190 |
iv. LEI, if any | 969500TJ5KRTCJQWXH05 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 1925.72000000 |
Brokers Record: 3 | |
i. Full name of broker | Banco Bradesco S.A. |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 549300CTUU1RFXHQJE44 |
v. State, if applicable | |
vi. Foreign country, if applicable | BRAZIL |
vii. Gross commissions paid by the Fund for the reporting period | 132.39000000 |
Brokers Record: 4 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 3575.20000000 |
Brokers Record: 5 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1303.04000000 |
Brokers Record: 6 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2570.62000000 |
Brokers Record: 7 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2901.70000000 |
Brokers Record: 8 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2303.96000000 |
Brokers Record: 9 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 13455.39000000 |
Brokers Record: 10 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 23968.37000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 52894.16000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1.15000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 83414243.90000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 21512230.04000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1.56000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 4300444.94000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 81142186.44000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 667647021.65000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 292522283.13000000 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 15 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Germany ETF |
b. Series identication number, if any | S000004269 |
c. LEI | 5493004D0K60CDIFRQ61 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Germany ETF |
ii. Class identification number, if any | C000011973 |
iii. Ticker symbol, if any | EWG |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 56165184.00000000 |
g. Provide the net income from securities lending activities | 783333.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 3970.78000000 |
Brokers Record: 2 | |
i. Full name of broker | Instinet, LLC |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | 549300MGMN3RKMU8FT57 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 3282.54000000 |
Brokers Record: 3 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 9400.41000000 |
Brokers Record: 4 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 4406.68000000 |
Brokers Record: 5 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 4487.24000000 |
Brokers Record: 6 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 9511.30000000 |
Brokers Record: 7 | |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 11978.63000000 |
Brokers Record: 8 | |
i. Full name of broker | Barclays Capital Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 10556.49000000 |
Brokers Record: 9 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 4821.26000000 |
Brokers Record: 10 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 17153.00000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 84579.80000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | ABN AMRO Clearing Bank N.V. |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | G8ZTNESVNKW4NN761W05 |
v. State, if applicable | |
vi. Foreign country, if applicable | NETHERLANDS |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 724284216.73000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 70260844.21000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 272480644.41000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 632998699.40000100 |
Principal Transactions Record: 5 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 437437516.55000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 74855471.70000000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 435622176.21000000 |
Principal Transactions Record: 8 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 37126519.59000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 6012870316.21999600 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 4242022336.79000040 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 16 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Hong Kong ETF |
b. Series identication number, if any | S000004247 |
c. LEI | 5493006QGDOVMY5SAY54 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Hong Kong ETF |
ii. Class identification number, if any | C000011951 |
iii. Ticker symbol, if any | EWH |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 40931215.00000000 |
g. Provide the net income from securities lending activities | 601444.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 13355.41000000 |
Brokers Record: 2 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 21381.35000000 |
Brokers Record: 3 | |
i. Full name of broker | Commonwealth Bank of Australia |
ii. SEC file number | 8-66998 |
iii. CRD number | 000136321 |
iv. LEI, if any | MSFSBD3QN1GSN7Q6C537 |
v. State, if applicable | |
vi. Foreign country, if applicable | AUSTRALIA |
vii. Gross commissions paid by the Fund for the reporting period | 3132.02000000 |
Brokers Record: 4 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 7274.38000000 |
Brokers Record: 5 | |
i. Full name of broker | Credit Agricole SA |
ii. SEC file number | 8-13753 |
iii. CRD number | 000000190 |
iv. LEI, if any | 969500TJ5KRTCJQWXH05 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 4067.71000000 |
Brokers Record: 6 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 54375.78000000 |
Brokers Record: 7 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 26722.85000000 |
Brokers Record: 8 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 23039.36000000 |
Brokers Record: 9 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 10140.26000000 |
Brokers Record: 10 | |
i. Full name of broker | Instinet, LLC |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | 549300MGMN3RKMU8FT57 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1398.29000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 166863.37000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 134787679.59000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | MainFirst Bank Aktiengesellschaft |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 529900MC68RTGHKI4F05 |
v. State, if applicable | |
vi. Foreign country, if applicable | GERMANY |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 890.72000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 818000548.77999900 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 606454959.35000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 19429327.18000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 5720464.80000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 4421521001.92999900 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 2347736952.31153800 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 17 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Global Metals & Mining Producers ETF |
b. Series identication number, if any | S000035885 |
c. LEI | 549300P22YCPXTDJWG70 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Global Metals & Mining Producers ETF |
ii. Class identification number, if any | C000109988 |
iii. Ticker symbol, if any | PICK |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 10226398.00000000 |
g. Provide the net income from securities lending activities | 279787.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) |
ii. LEI, if any | 579100KKDGKCFFKKF005 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BRAZIL |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Mumbai, Maharashtra, IN, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | INDIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | HSBC Bank Middle East Limited |
ii. LEI, if any | 549300F99IL9YJDWH369 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED ARAB EMIRATES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | Citibank Maghreb S.A |
ii. LEI, if any | 5493003FVWLMBFTISI11 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MOROCCO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | Standard Chartered Bank Malaysia Berhad |
ii. LEI, if any | 549300JTJBG2QBI8KD48 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MALAYSIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | UniCredit Bank Hungary Zrt. |
ii. LEI, if any | Y28RT6GGYJ696PMW8T44 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HUNGARY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | Cititrust Colombia S A Sociedad Fiduciaria |
ii. LEI, if any | 549300242J3IJCOSGI49 |
iii. State, if applicable | |
iv. Foreign country, if applicable | COLOMBIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | Standard Chartered Bank (Taiwan) Limited |
ii. LEI, if any | 549300QJEO1B92LSHZ06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TAIWAN (PROVINCE OF CHINA) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | HSBC Bank (China) Company Limited |
ii. LEI, if any | 2CZOJRADNJXBLT55G526 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHINA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | BNP Paribas Securities Services (Athens, Attica, GR, Branch) |
ii. LEI, if any | 549300WCGB70D06XZS54 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GREECE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PHILIPPINES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 25 | |
i. Full name | Itau CorpBanca |
ii. LEI, if any | 549300DDPTTIZ06NIV06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHILE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 26 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 27 | |
i. Full name | Joint Stock Company Commercial Bank Citibank |
ii. LEI, if any | CHSQDSVI1UI96Y2SW097 |
iii. State, if applicable | |
iv. Foreign country, if applicable | RUSSIAN FEDERATION |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 28 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 29 | |
i. Full name | HSBC Bank Middle East Limited (Doha, Ad Dawhah, QA, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | QATAR |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 30 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Jakarta, Jakarta, ID, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | INDONESIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 31 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 32 | |
i. Full name | Bank Handlowy w Warszawie Spolka Akcyjna |
ii. LEI, if any | XLEZHWWOI4HFQDGL4793 |
iii. State, if applicable | |
iv. Foreign country, if applicable | POLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 33 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 34 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Karachi, Sindh, PK, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PAKISTAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 35 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 36 | |
i. Full name | FirstRand Bank Limited |
ii. LEI, if any | ZAYQDKTCATIXF9OQY690 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SOUTH AFRICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 37 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 38 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 39 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 40 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 41 | |
i. Full name | HSBC Bank Middle East Limited (Manama, Capital, BH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BAHRAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 42 | |
i. Full name | Citibank del Peru S.A. |
ii. LEI, if any | MYTK5NHHP1G8TVFGT193 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PERU |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 43 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 44 | |
i. Full name | HSBC Bank Egypt S.A.E |
ii. LEI, if any | 2138001Q77JDLESS4Y50 |
iii. State, if applicable | |
iv. Foreign country, if applicable | EGYPT |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 45 | |
i. Full name | Citibank Anonim Sirketi |
ii. LEI, if any | CWZ8NZDH5SKY12Q4US31 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TURKEY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 18911.85000000 |
Brokers Record: 2 | |
i. Full name of broker | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 858.80000000 |
Brokers Record: 3 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2444.47000000 |
Brokers Record: 4 | |
i. Full name of broker | Bank of Montreal |
ii. SEC file number | 8-67064 |
iii. CRD number | 000137115 |
iv. LEI, if any | NQQ6HPCNCCU6TUTQYE16 |
v. State, if applicable | |
vi. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
vii. Gross commissions paid by the Fund for the reporting period | 787.28000000 |
Brokers Record: 5 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2989.04000000 |
Brokers Record: 6 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1021.65000000 |
Brokers Record: 7 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 16119.17000000 |
Brokers Record: 8 | |
i. Full name of broker | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2217.27000000 |
Brokers Record: 9 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1286.94000000 |
Brokers Record: 10 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 3746.96000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 56459.19000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | UBS AG |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | BFM8T61CT2L1QCEMIK50 |
v. State, if applicable | |
vi. Foreign country, if applicable | SWITZERLAND |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 5336431.37000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 139129674.33000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 225519541.78000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Credit Suisse Securities (Europe) Limited |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | DL6FFRRLF74S01HE2M14 |
v. State, if applicable | |
vi. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 81650.00000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1037879.58000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 5611212.25000000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 11712062.24000000 |
Principal Transactions Record: 8 | |
i. Full name of dealer | Deutsche Bank Capital Corporation |
ii. SEC file number | 8-15774 |
iii. CRD number | 000005323 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 98129.71000000 |
Principal Transactions Record: 9 | |
i. Full name of dealer | Scotia Capital (USA) Inc. |
ii. SEC file number | 8-3716 |
iii. CRD number | 000002739 |
iv. LEI, if any | 549300BLWPABP1VNME36 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 219.83000000 |
Principal Transactions Record: 10 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 218192915.53000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 1058261915.31000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 482698338.28076930 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 18 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Russia ETF |
b. Series identication number, if any | S000047227 |
c. LEI | 5493009LYIJN26ANII18 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Russia Capped ETF |
ii. Class identification number, if any | C000147985 |
iii. Ticker symbol, if any | ERUS |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | N/A |
g. Provide the net income from securities lending activities | N/A |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Joint Stock Company Commercial Bank Citibank |
ii. LEI, if any | CHSQDSVI1UI96Y2SW097 |
iii. State, if applicable | |
iv. Foreign country, if applicable | RUSSIAN FEDERATION |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 17454.46000000 |
Brokers Record: 2 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 36169.62000000 |
Brokers Record: 3 | |
i. Full name of broker | Renaissance Macro Securities, LLC |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 5493004JBM7TRGGJL532 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2308.85000000 |
Brokers Record: 4 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 9341.52000000 |
Brokers Record: 5 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 15062.41000000 |
Brokers Record: 6 | |
i. Full name of broker | Instinet, LLC |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | 549300MGMN3RKMU8FT57 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 5011.56000000 |
Brokers Record: 7 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 31819.33000000 |
Brokers Record: 8 | |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 41430.62000000 |
Brokers Record: 9 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 19908.78000000 |
Brokers Record: 10 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2115.03000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 181242.52000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 5.00000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 241649444.82000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 78584821.84000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 77434494.22000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 419585598.95000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 0.85000000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 25921477.77000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 1650002936.60000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 603388044.28846160 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 19 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Belgium ETF |
b. Series identication number, if any | S000004263 |
c. LEI | 549300BBSWUY8YSLJ845 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Belgium Capped ETF |
ii. Class identification number, if any | C000011967 |
iii. Ticker symbol, if any | EWK |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 2478997.00000000 |
g. Provide the net income from securities lending activities | 69416.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 89.67000000 |
Brokers Record: 2 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 406.63000000 |
Brokers Record: 3 | |
i. Full name of broker | Instinet, LLC |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | 549300MGMN3RKMU8FT57 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 774.32000000 |
Brokers Record: 4 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 338.32000000 |
Brokers Record: 5 | |
i. Full name of broker | Barclays Capital Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 117.41000000 |
Brokers Record: 6 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 168.18000000 |
Brokers Record: 7 | |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 65.57000000 |
Brokers Record: 8 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 523.45000000 |
Brokers Record: 9 | |
i. Full name of broker | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 480.32000000 |
Brokers Record: 10 | |
i. Full name of broker | Investment Technology Group, Inc. |
ii. SEC file number | 8-44218 |
iii. CRD number | 000029299 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 59.92000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 3126.82000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 9402947.07000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1543126.75000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 18722738.37000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 8592424.82000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1606915.55000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 23407412.51000000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | Virtu Americas LLC |
ii. SEC file number | 8-68193 |
iii. CRD number | 000149823 |
iv. LEI, if any | 549300RA02N3BNSWBV74 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1650113.91000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 147432724.53000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 70210365.17769231 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 20 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Australia ETF |
b. Series identication number, if any | S000004246 |
c. LEI | 549300X7CW3B8850WA94 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Australia ETF |
ii. Class identification number, if any | C000011950 |
iii. Ticker symbol, if any | EWA |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 6371395.00000000 |
g. Provide the net income from securities lending activities | 63122.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Commonwealth Bank of Australia |
ii. SEC file number | 8-66998 |
iii. CRD number | 000136321 |
iv. LEI, if any | MSFSBD3QN1GSN7Q6C537 |
v. State, if applicable | |
vi. Foreign country, if applicable | AUSTRALIA |
vii. Gross commissions paid by the Fund for the reporting period | 1816.68000000 |
Brokers Record: 2 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 486.73000000 |
Brokers Record: 3 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1054.36000000 |
Brokers Record: 4 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 128.43000000 |
Brokers Record: 5 | |
i. Full name of broker | Credit Agricole SA |
ii. SEC file number | 8-13753 |
iii. CRD number | 000000190 |
iv. LEI, if any | 969500TJ5KRTCJQWXH05 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 1268.24000000 |
Brokers Record: 6 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1938.37000000 |
Brokers Record: 7 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2106.72000000 |
Brokers Record: 8 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1386.11000000 |
Brokers Record: 9 | |
i. Full name of broker | Deutsche Bank Capital Corporation |
ii. SEC file number | 8-15774 |
iii. CRD number | 000005323 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 704.93000000 |
Brokers Record: 10 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2247.10000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 34074.31000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 248596204.91000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 28056056.75000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 84848538.27000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 132153886.51000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 237027202.10000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 161861624.20000000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 86133956.07000000 |
Principal Transactions Record: 8 | |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 10120376.24000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 1436587140.84000100 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 1619386552.32692300 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 21 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Netherlands ETF |
b. Series identication number, if any | S000004252 |
c. LEI | 549300QIDP8IC2ODTL23 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Netherlands ETF |
ii. Class identification number, if any | C000011956 |
iii. Ticker symbol, if any | EWN |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 2452575.00000000 |
g. Provide the net income from securities lending activities | 31739.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | Bank Hapoalim B.M. |
ii. LEI, if any | B6ARUI4946ST4S7WOU88 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ISRAEL |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 25 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 250.79000000 |
Brokers Record: 2 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 449.01000000 |
Brokers Record: 3 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 506.02000000 |
Brokers Record: 4 | |
i. Full name of broker | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 841.34000000 |
Brokers Record: 5 | |
i. Full name of broker | Wells Fargo Brokerage Services, LLC |
ii. SEC file number | 8-33283 |
iii. CRD number | 000016100 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | MINNESOTA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 544.33000000 |
Brokers Record: 6 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 497.66000000 |
Brokers Record: 7 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 569.04000000 |
Brokers Record: 8 | |
i. Full name of broker | Deutsche Bank Capital Corporation |
ii. SEC file number | 8-15774 |
iii. CRD number | 000005323 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 370.13000000 |
Brokers Record: 9 | |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 135.15000000 |
Brokers Record: 10 | |
i. Full name of broker | Instinet, LLC |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | 549300MGMN3RKMU8FT57 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 502.35000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 4960.32000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Virtu Americas LLC |
ii. SEC file number | 8-68193 |
iii. CRD number | 000149823 |
iv. LEI, if any | 549300RA02N3BNSWBV74 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 4534805.97000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 33232942.41000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 31563383.18000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | BNP Paribas Securities Corp. |
ii. SEC file number | 8-32682 |
iii. CRD number | 000015794 |
iv. LEI, if any | RCNB6OTYUAMMP879YW96 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 92463.15000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 6318399.72000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 32731249.83000000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 81232636.14000000 |
Principal Transactions Record: 8 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 12646624.99000000 |
Principal Transactions Record: 9 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 20357165.89000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 336528190.68000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 192799672.78076923 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 22 |
Item C.1. Background information.
a. Full Name of the Fund | iShares Edge MSCI Min Vol Emerging Markets ETF |
b. Series identication number, if any | S000032497 |
c. LEI | XWXMX00WTU4PW8BLTO28 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares Edge MSCI Min Vol Emerging Markets ETF |
ii. Class identification number, if any | C000100212 |
iii. Ticker symbol, if any | EEMV |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
b. If yes, provide the following information: | |
Foreign Investments Record: 1 | |
Full name of subsidiary | iShares Emerging Markets Minimum Volatility Mauritius Company |
LEI of subsidiary, if any | 00000000000000000000 |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 73726478.00000000 |
g. Provide the net income from securities lending activities | 1857964.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | UniCredit Bank Hungary Zrt. |
ii. LEI, if any | Y28RT6GGYJ696PMW8T44 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HUNGARY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Citibank Maghreb S.A |
ii. LEI, if any | 5493003FVWLMBFTISI11 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MOROCCO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PHILIPPINES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | HSBC Bank Middle East Limited (Doha, Ad Dawhah, QA, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | QATAR |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Jakarta, Jakarta, ID, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | INDONESIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | Standard Chartered Bank (Taiwan) Limited |
ii. LEI, if any | 549300QJEO1B92LSHZ06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TAIWAN (PROVINCE OF CHINA) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Itau CorpBanca |
ii. LEI, if any | 549300DDPTTIZ06NIV06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHILE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | FirstRand Bank Limited |
ii. LEI, if any | ZAYQDKTCATIXF9OQY690 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SOUTH AFRICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) |
ii. LEI, if any | 579100KKDGKCFFKKF005 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BRAZIL |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | HSBC Bank (China) Company Limited |
ii. LEI, if any | 2CZOJRADNJXBLT55G526 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHINA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Karachi, Sindh, PK, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PAKISTAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | Bank Handlowy w Warszawie Spolka Akcyjna |
ii. LEI, if any | XLEZHWWOI4HFQDGL4793 |
iii. State, if applicable | |
iv. Foreign country, if applicable | POLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | HSBC Bank Middle East Limited (Manama, Capital, BH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BAHRAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | BNP Paribas Securities Services (Athens, Attica, GR, Branch) |
ii. LEI, if any | 549300WCGB70D06XZS54 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GREECE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | Citibank del Peru S.A. |
ii. LEI, if any | MYTK5NHHP1G8TVFGT193 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PERU |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | Citibank Anonim Sirketi |
ii. LEI, if any | CWZ8NZDH5SKY12Q4US31 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TURKEY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | Joint Stock Company Commercial Bank Citibank |
ii. LEI, if any | CHSQDSVI1UI96Y2SW097 |
iii. State, if applicable | |
iv. Foreign country, if applicable | RUSSIAN FEDERATION |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 25 | |
i. Full name | Standard Chartered Bank Malaysia Berhad |
ii. LEI, if any | 549300JTJBG2QBI8KD48 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MALAYSIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 26 | |
i. Full name | HSBC Bank Middle East Limited |
ii. LEI, if any | 549300F99IL9YJDWH369 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED ARAB EMIRATES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 27 | |
i. Full name | Cititrust Colombia S A Sociedad Fiduciaria |
ii. LEI, if any | 549300242J3IJCOSGI49 |
iii. State, if applicable | |
iv. Foreign country, if applicable | COLOMBIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 28 | |
i. Full name | HSBC Bank Egypt S.A.E |
ii. LEI, if any | 2138001Q77JDLESS4Y50 |
iii. State, if applicable | |
iv. Foreign country, if applicable | EGYPT |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 29 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 79522.02000000 |
Brokers Record: 2 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 61014.99000000 |
Brokers Record: 3 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 39272.32000000 |
Brokers Record: 4 | |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 128021.38000000 |
Brokers Record: 5 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 574649.90999999 |
Brokers Record: 6 | |
i. Full name of broker | Credit Agricole SA |
ii. SEC file number | 8-13753 |
iii. CRD number | 000000190 |
iv. LEI, if any | 969500TJ5KRTCJQWXH05 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 69506.92000000 |
Brokers Record: 7 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 69276.81000000 |
Brokers Record: 8 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 73006.16000000 |
Brokers Record: 9 | |
i. Full name of broker | Commonwealth Bank of Australia |
ii. SEC file number | 8-66998 |
iii. CRD number | 000136321 |
iv. LEI, if any | MSFSBD3QN1GSN7Q6C537 |
v. State, if applicable | |
vi. Foreign country, if applicable | AUSTRALIA |
vii. Gross commissions paid by the Fund for the reporting period | 33807.05000000 |
Brokers Record: 10 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 111579.39000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 1308172.09999999 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1792728644.96999900 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1929133.04000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 11942.30000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 16621054.75000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 4765164.92000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 433578191.49000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 7764876257.74999800 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 4550957986.32384600 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 23 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Thailand ETF |
b. Series identication number, if any | S000018072 |
c. LEI | 54930063LOS2SG1Q8O13 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Thailand Capped ETF |
ii. Class identification number, if any | C000050068 |
iii. Ticker symbol, if any | THD |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 16085341.00000000 |
g. Provide the net income from securities lending activities | 1252970.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 9865.70000000 |
Brokers Record: 2 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 5589.10000000 |
Brokers Record: 3 | |
i. Full name of broker | J.P. Morgan Securities (Asia Pacific) Limited |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 871JPXVZ0Z8I863B6V34 |
v. State, if applicable | |
vi. Foreign country, if applicable | HONG KONG |
vii. Gross commissions paid by the Fund for the reporting period | 29.67000000 |
Brokers Record: 4 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 29.67000000 |
Brokers Record: 5 | |
i. Full name of broker | Commonwealth Bank of Australia |
ii. SEC file number | 8-66998 |
iii. CRD number | 000136321 |
iv. LEI, if any | MSFSBD3QN1GSN7Q6C537 |
v. State, if applicable | |
vi. Foreign country, if applicable | AUSTRALIA |
vii. Gross commissions paid by the Fund for the reporting period | 4105.30000000 |
Brokers Record: 6 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 4423.73000000 |
Brokers Record: 7 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 3014.91000000 |
Brokers Record: 8 | |
i. Full name of broker | Credit Agricole SA |
ii. SEC file number | 8-13753 |
iii. CRD number | 000000190 |
iv. LEI, if any | 969500TJ5KRTCJQWXH05 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 7820.31000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 34848.72000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 54631135.69000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 221674149.80000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 138736093.07000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 167991322.92000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 7.59000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | Wells Fargo Brokerage Services, LLC |
ii. SEC file number | 8-33283 |
iii. CRD number | 000016100 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | MINNESOTA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 71.61000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 1047318267.79000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 427918471.82846160 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 24 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI World ETF |
b. Series identication number, if any | S000035395 |
c. LEI | 549300SBOOZR51TG3W64 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI World ETF |
ii. Class identification number, if any | C000108746 |
iii. Ticker symbol, if any | URTH |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 6371452.00000000 |
g. Provide the net income from securities lending activities | 48252.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | BNP Paribas Securities Services (Athens, Attica, GR, Branch) |
ii. LEI, if any | 549300WCGB70D06XZS54 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GREECE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | Bank Hapoalim B.M. |
ii. LEI, if any | B6ARUI4946ST4S7WOU88 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ISRAEL |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1170.85000000 |
Brokers Record: 2 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 286.65000000 |
Brokers Record: 3 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 335.47000000 |
Brokers Record: 4 | |
i. Full name of broker | Deutsche Bank Capital Corporation |
ii. SEC file number | 8-15774 |
iii. CRD number | 000005323 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 208.06000000 |
Brokers Record: 5 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 462.20000000 |
Brokers Record: 6 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 493.01000000 |
Brokers Record: 7 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1004.02000000 |
Brokers Record: 8 | |
i. Full name of broker | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 1100.04000000 |
Brokers Record: 9 | |
i. Full name of broker | Credit Agricole SA |
ii. SEC file number | 8-13753 |
iii. CRD number | 000000190 |
iv. LEI, if any | 969500TJ5KRTCJQWXH05 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 500.32000000 |
Brokers Record: 10 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 402.54000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 6841.18000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 208087213.98000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | ANIMA Funds Public Limited Company - ANIMA Asia/Pacific Equity |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 213800GTH3GM45WFT162 |
v. State, if applicable | |
vi. Foreign country, if applicable | IRELAND |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 47.34000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 51824680.76000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | UBS AG |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | BFM8T61CT2L1QCEMIK50 |
v. State, if applicable | |
vi. Foreign country, if applicable | SWITZERLAND |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1264455.53000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 33339070.18000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 197701.92000000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 29.90000000 |
Principal Transactions Record: 8 | |
i. Full name of dealer | Commonwealth Bank of Australia |
ii. SEC file number | 8-66998 |
iii. CRD number | 000136321 |
iv. LEI, if any | MSFSBD3QN1GSN7Q6C537 |
v. State, if applicable | |
vi. Foreign country, if applicable | AUSTRALIA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 14938.29000000 |
Principal Transactions Record: 9 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 8465765.27000000 |
Principal Transactions Record: 10 | |
i. Full name of dealer | Investment Technology Group, Inc. |
ii. SEC file number | 8-44218 |
iii. CRD number | 000029299 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 18.37000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 684928824.38000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 548916030.62307690 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 25 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Spain ETF |
b. Series identication number, if any | S000004256 |
c. LEI | 549300KJYAHQCJB4CU67 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Spain Capped ETF |
ii. Class identification number, if any | C000011960 |
iii. Ticker symbol, if any | EWP |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 8203950.00000000 |
g. Provide the net income from securities lending activities | 79838.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Instinet, LLC |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | 549300MGMN3RKMU8FT57 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 6805.20000000 |
Brokers Record: 2 | |
i. Full name of broker | Deutsche Bank Capital Corporation |
ii. SEC file number | 8-15774 |
iii. CRD number | 000005323 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1442.22000000 |
Brokers Record: 3 | |
i. Full name of broker | Wells Fargo Brokerage Services, LLC |
ii. SEC file number | 8-33283 |
iii. CRD number | 000016100 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | MINNESOTA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2839.19000000 |
Brokers Record: 4 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 10032.83000000 |
Brokers Record: 5 | |
i. Full name of broker | Barclays Capital Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 8713.35000000 |
Brokers Record: 6 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 20422.49000000 |
Brokers Record: 7 | |
i. Full name of broker | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 827.06000000 |
Brokers Record: 8 | |
i. Full name of broker | Kepler Cheuvreux |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 9695005EOZG9X8IRJD84 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 2186.99000000 |
Brokers Record: 9 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 4640.09000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 84987.05000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 293933559.59000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Barclays Capital Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 12.19000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 183744448.13000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 96746819.44000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 937477244.32000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 79978758.57000000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 248258209.09000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 2646686952.21000100 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 1115526415.17230770 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 26 |
Item C.1. Background information.
a. Full Name of the Fund | iShares Edge MSCI Multifactor Emerging Markets ETF |
b. Series identication number, if any | S000049021 |
c. LEI | 549300TQEEE2ZHP5EH15 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares Edge MSCI Multifactor Emerging Markets ETF |
ii. Class identification number, if any | C000154544 |
iii. Ticker symbol, if any | EMGF |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 1903646.00000000 |
g. Provide the net income from securities lending activities | 19663.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Citibank del Peru S.A. |
ii. LEI, if any | MYTK5NHHP1G8TVFGT193 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PERU |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Jakarta, Jakarta, ID, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | INDONESIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | UniCredit Bank Hungary Zrt. |
ii. LEI, if any | Y28RT6GGYJ696PMW8T44 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HUNGARY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Karachi, Sindh, PK, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PAKISTAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Citibank Anonim Sirketi |
ii. LEI, if any | CWZ8NZDH5SKY12Q4US31 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TURKEY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Joint Stock Company Commercial Bank Citibank |
ii. LEI, if any | CHSQDSVI1UI96Y2SW097 |
iii. State, if applicable | |
iv. Foreign country, if applicable | RUSSIAN FEDERATION |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | HSBC Bank (China) Company Limited |
ii. LEI, if any | 2CZOJRADNJXBLT55G526 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHINA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | Standard Chartered Bank Malaysia Berhad |
ii. LEI, if any | 549300JTJBG2QBI8KD48 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MALAYSIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | Standard Chartered Bank (Taiwan) Limited |
ii. LEI, if any | 549300QJEO1B92LSHZ06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TAIWAN (PROVINCE OF CHINA) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PHILIPPINES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | HSBC Bank Egypt S.A.E |
ii. LEI, if any | 2138001Q77JDLESS4Y50 |
iii. State, if applicable | |
iv. Foreign country, if applicable | EGYPT |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | BNP Paribas Securities Services (Athens, Attica, GR, Branch) |
ii. LEI, if any | 549300WCGB70D06XZS54 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GREECE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | FirstRand Bank Limited |
ii. LEI, if any | ZAYQDKTCATIXF9OQY690 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SOUTH AFRICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | HSBC Bank Middle East Limited (Doha, Ad Dawhah, QA, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | QATAR |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | HSBC Bank Middle East Limited |
ii. LEI, if any | 549300F99IL9YJDWH369 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED ARAB EMIRATES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | Cititrust Colombia S A Sociedad Fiduciaria |
ii. LEI, if any | 549300242J3IJCOSGI49 |
iii. State, if applicable | |
iv. Foreign country, if applicable | COLOMBIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) |
ii. LEI, if any | 579100KKDGKCFFKKF005 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BRAZIL |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 25 | |
i. Full name | HSBC Bank Middle East Limited (Manama, Capital, BH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BAHRAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 26 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 27 | |
i. Full name | Itau CorpBanca |
ii. LEI, if any | 549300DDPTTIZ06NIV06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHILE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 28 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Mumbai, Maharashtra, IN, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | INDIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 29 | |
i. Full name | Bank Handlowy w Warszawie Spolka Akcyjna |
ii. LEI, if any | XLEZHWWOI4HFQDGL4793 |
iii. State, if applicable | |
iv. Foreign country, if applicable | POLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 7142.63000000 |
Brokers Record: 2 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 4580.88000000 |
Brokers Record: 3 | |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 8013.25000000 |
Brokers Record: 4 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 9968.58000000 |
Brokers Record: 5 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 5224.35000000 |
Brokers Record: 6 | |
i. Full name of broker | Financial Brokerage Group S.A.E. |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 558600U9YMGSR4KAHP73 |
v. State, if applicable | |
vi. Foreign country, if applicable | EGYPT |
vii. Gross commissions paid by the Fund for the reporting period | 2289.59000000 |
Brokers Record: 7 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 8652.32000000 |
Brokers Record: 8 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 4130.40000000 |
Brokers Record: 9 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 84617.24000000 |
Brokers Record: 10 | |
i. Full name of broker | Credit Agricole SA |
ii. SEC file number | 8-13753 |
iii. CRD number | 000000190 |
iv. LEI, if any | 969500TJ5KRTCJQWXH05 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 5684.46000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 143761.31000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 89973543.99000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 146873574.12000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 8.21000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 41298.61000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 17801903.98000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 674583882.95000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 188078247.56076923 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 27 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Mexico ETF |
b. Series identication number, if any | S000004251 |
c. LEI | 549300SQ92O6OZ19G545 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Mexico Capped ETF |
ii. Class identification number, if any | C000011955 |
iii. Ticker symbol, if any | EWW |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 20187917.00000000 |
g. Provide the net income from securities lending activities | 415794.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Investment Technology Group, Inc. |
ii. SEC file number | 8-44218 |
iii. CRD number | 000029299 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 708.51000000 |
Brokers Record: 2 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 16366.97000000 |
Brokers Record: 3 | |
i. Full name of broker | Jefferies LLC |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 77.46000000 |
Brokers Record: 4 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 8460.58000000 |
Brokers Record: 5 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 25778.94000000 |
Brokers Record: 6 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2606.33000000 |
Brokers Record: 7 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2880.62000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 56879.41000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Corporativo GBM, S.A.B de C.V. |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 549300SK0RS3U5EW8M03 |
v. State, if applicable | |
vi. Foreign country, if applicable | MEXICO |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 885219708.29000100 |
Principal Transactions Record: 2 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 199385415.86000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 381681043.35000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 443195671.67000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Gbm Global, S.E.C. |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | |
vi. Foreign country, if applicable | MEXICO |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 885219708.29000100 |
Principal Transactions Record: 6 | |
i. Full name of dealer | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 4980703.72000000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 691870209.70000100 |
Principal Transactions Record: 8 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 647266797.28000000 |
Principal Transactions Record: 9 | |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 73754935.83000000 |
Principal Transactions Record: 10 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 176012920.35000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 4079466929.87000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 1128435969.76846150 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 28 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Emerging Markets Small-Cap ETF |
b. Series identication number, if any | S000019125 |
c. LEI | 5493007YPFO23SID2674 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Emerging Markets Small-Cap ETF |
ii. Class identification number, if any | C000052897 |
iii. Ticker symbol, if any | EEMS |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
b. If yes, provide the following information: | |
Foreign Investments Record: 1 | |
Full name of subsidiary | iShares EMSC Mauritius Company |
LEI of subsidiary, if any | 00000000000000000000 |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 25908702.00000000 |
g. Provide the net income from securities lending activities | 1425056.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | Standard Chartered Bank (Taiwan) Limited |
ii. LEI, if any | 549300QJEO1B92LSHZ06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TAIWAN (PROVINCE OF CHINA) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PHILIPPINES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | Citibank Maghreb S.A |
ii. LEI, if any | 5493003FVWLMBFTISI11 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MOROCCO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Jakarta, Jakarta, ID, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | INDONESIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | Citibank Anonim Sirketi |
ii. LEI, if any | CWZ8NZDH5SKY12Q4US31 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TURKEY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | BNP Paribas Securities Services (Athens, Attica, GR, Branch) |
ii. LEI, if any | 549300WCGB70D06XZS54 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GREECE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | HSBC Bank Middle East Limited |
ii. LEI, if any | 549300F99IL9YJDWH369 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED ARAB EMIRATES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | Cititrust Colombia S A Sociedad Fiduciaria |
ii. LEI, if any | 549300242J3IJCOSGI49 |
iii. State, if applicable | |
iv. Foreign country, if applicable | COLOMBIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | Itau CorpBanca |
ii. LEI, if any | 549300DDPTTIZ06NIV06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHILE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | FirstRand Bank Limited |
ii. LEI, if any | ZAYQDKTCATIXF9OQY690 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SOUTH AFRICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | HSBC Bank (China) Company Limited |
ii. LEI, if any | 2CZOJRADNJXBLT55G526 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHINA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Karachi, Sindh, PK, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PAKISTAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | HSBC Bank Egypt S.A.E |
ii. LEI, if any | 2138001Q77JDLESS4Y50 |
iii. State, if applicable | |
iv. Foreign country, if applicable | EGYPT |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 25 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 26 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 27 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 28 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 29 | |
i. Full name | Standard Chartered Bank Malaysia Berhad |
ii. LEI, if any | 549300JTJBG2QBI8KD48 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MALAYSIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 30 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 31 | |
i. Full name | UniCredit Bank Hungary Zrt. |
ii. LEI, if any | Y28RT6GGYJ696PMW8T44 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HUNGARY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 32 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 33 | |
i. Full name | Citibank del Peru S.A. |
ii. LEI, if any | MYTK5NHHP1G8TVFGT193 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PERU |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 34 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 35 | |
i. Full name | Bank Handlowy w Warszawie Spolka Akcyjna |
ii. LEI, if any | XLEZHWWOI4HFQDGL4793 |
iii. State, if applicable | |
iv. Foreign country, if applicable | POLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 36 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 37 | |
i. Full name | Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) |
ii. LEI, if any | 579100KKDGKCFFKKF005 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BRAZIL |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 38 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 39 | |
i. Full name | HSBC Bank Middle East Limited (Doha, Ad Dawhah, QA, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | QATAR |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 40 | |
i. Full name | Bank Hapoalim B.M. |
ii. LEI, if any | B6ARUI4946ST4S7WOU88 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ISRAEL |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 41 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 42 | |
i. Full name | Joint Stock Company Commercial Bank Citibank |
ii. LEI, if any | CHSQDSVI1UI96Y2SW097 |
iii. State, if applicable | |
iv. Foreign country, if applicable | RUSSIAN FEDERATION |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 43 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 44 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 45 | |
i. Full name | HSBC Bank Middle East Limited (Manama, Capital, BH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BAHRAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 46 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 18391.44000000 |
Brokers Record: 2 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 4701.30000000 |
Brokers Record: 3 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 6001.21000000 |
Brokers Record: 4 | |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 9779.04000000 |
Brokers Record: 5 | |
i. Full name of broker | Credit Agricole SA |
ii. SEC file number | 8-13753 |
iii. CRD number | 000000190 |
iv. LEI, if any | 969500TJ5KRTCJQWXH05 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 11537.81000000 |
Brokers Record: 6 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 5781.47000000 |
Brokers Record: 7 | |
i. Full name of broker | Financial Brokerage Group S.A.E. |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 558600U9YMGSR4KAHP73 |
v. State, if applicable | |
vi. Foreign country, if applicable | EGYPT |
vii. Gross commissions paid by the Fund for the reporting period | 3951.27000000 |
Brokers Record: 8 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 8993.56000000 |
Brokers Record: 9 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 14252.35000000 |
Brokers Record: 10 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 122382.97000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 216267.73000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 48883831.36000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 50.39000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 3751024.39000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 181986103.42000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 870024682.61000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 297880339.08692306 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 29 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Eurozone ETF |
b. Series identication number, if any | S000004268 |
c. LEI | 549300Q88WD2SU6SPH06 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Eurozone ETF |
ii. Class identification number, if any | C000011972 |
iii. Ticker symbol, if any | EZU |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 87977491.00000000 |
g. Provide the net income from securities lending activities | 1858087.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | BNP Paribas Securities Services (Athens, Attica, GR, Branch) |
ii. LEI, if any | 549300WCGB70D06XZS54 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GREECE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Standard Chartered Bank (Amman, Amman, JO, Branch) |
ii. LEI, if any | 00000000000000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JORDAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 25 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 26 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Instinet, LLC |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | 549300MGMN3RKMU8FT57 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 5499.06000000 |
Brokers Record: 2 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 73852.18000000 |
Brokers Record: 3 | |
i. Full name of broker | Deutsche Bank Capital Corporation |
ii. SEC file number | 8-15774 |
iii. CRD number | 000005323 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 5973.96000000 |
Brokers Record: 4 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 67931.43000000 |
Brokers Record: 5 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 12416.01000000 |
Brokers Record: 6 | |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 21973.91000000 |
Brokers Record: 7 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 35207.89000000 |
Brokers Record: 8 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 18628.99000000 |
Brokers Record: 9 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 12061.94000000 |
Brokers Record: 10 | |
i. Full name of broker | Barclays Capital Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 24579.45000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 294105.55000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 968336625.75000200 |
Principal Transactions Record: 2 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 200588498.50000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 257189704.86000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 2825567802.17000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | ABN AMRO Clearing Bank N.V. |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | G8ZTNESVNKW4NN761W05 |
v. State, if applicable | |
vi. Foreign country, if applicable | NETHERLANDS |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1742033572.89000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1779015634.29000100 |
Principal Transactions Record: 7 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1253686478.84999900 |
Principal Transactions Record: 8 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 2120345750.99000200 |
Principal Transactions Record: 9 | |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 27993780.15000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 17345843087.07001500 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 13565678896.15462000 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 30 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Colombia ETF |
b. Series identication number, if any | S000040976 |
c. LEI | 54930084JYZ4OK4P7T66 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Colombia Capped ETF |
ii. Class identification number, if any | C000127144 |
iii. Ticker symbol, if any | ICOL |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 13631.00000000 |
g. Provide the net income from securities lending activities | 806.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | Itau CorpBanca |
ii. LEI, if any | 549300DDPTTIZ06NIV06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHILE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | Cititrust Colombia S A Sociedad Fiduciaria |
ii. LEI, if any | 549300242J3IJCOSGI49 |
iii. State, if applicable | |
iv. Foreign country, if applicable | COLOMBIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 74.46000000 |
Brokers Record: 2 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2837.99000000 |
Brokers Record: 3 | |
i. Full name of broker | Larrainvial Securities US LLC |
ii. SEC file number | 8-68452 |
iii. CRD number | 000152424 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 183.62000000 |
Brokers Record: 4 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 9914.65000000 |
Brokers Record: 5 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 110.45000000 |
Brokers Record: 6 | |
i. Full name of broker | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 12.97000000 |
Brokers Record: 7 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 3363.66000000 |
Brokers Record: 8 | |
i. Full name of broker | Credicorp Capital Chile S.A. |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 549300YRTTWFZ5ZVO585 |
v. State, if applicable | |
vi. Foreign country, if applicable | CHILE |
vii. Gross commissions paid by the Fund for the reporting period | 177.51000000 |
Brokers Record: 9 | |
i. Full name of broker | Scotia Capital (USA) Inc. |
ii. SEC file number | 8-3716 |
iii. CRD number | 000002739 |
iv. LEI, if any | 549300BLWPABP1VNME36 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 6.01000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 16838.96000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 8825457.92000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 63105.22000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Larrainvial Securities US LLC |
ii. SEC file number | 8-68452 |
iii. CRD number | 000152424 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 5861.80000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 42849.88000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 110153.17000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 34236094.61000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 22863119.43307692 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 31 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Global Energy Producers ETF |
b. Series identication number, if any | S000035884 |
c. LEI | 549300F2FT5HRVB0DA32 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Global Energy Producers ETF |
ii. Class identification number, if any | C000109987 |
iii. Ticker symbol, if any | FILL |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 680387.00000000 |
g. Provide the net income from securities lending activities | 8348.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | HSBC Bank Middle East Limited (Manama, Capital, BH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BAHRAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | Bank Handlowy w Warszawie Spolka Akcyjna |
ii. LEI, if any | XLEZHWWOI4HFQDGL4793 |
iii. State, if applicable | |
iv. Foreign country, if applicable | POLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | Citibank Maghreb S.A |
ii. LEI, if any | 5493003FVWLMBFTISI11 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MOROCCO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | HSBC Bank Egypt S.A.E |
ii. LEI, if any | 2138001Q77JDLESS4Y50 |
iii. State, if applicable | |
iv. Foreign country, if applicable | EGYPT |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | HSBC Bank (China) Company Limited |
ii. LEI, if any | 2CZOJRADNJXBLT55G526 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHINA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | HSBC Bank Middle East Limited |
ii. LEI, if any | 549300F99IL9YJDWH369 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED ARAB EMIRATES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | HSBC Bank Middle East Limited (Doha, Ad Dawhah, QA, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | QATAR |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | Bank Hapoalim B.M. |
ii. LEI, if any | B6ARUI4946ST4S7WOU88 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ISRAEL |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Mumbai, Maharashtra, IN, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | INDIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | Standard Chartered Bank (Taiwan) Limited |
ii. LEI, if any | 549300QJEO1B92LSHZ06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TAIWAN (PROVINCE OF CHINA) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 25 | |
i. Full name | Standard Chartered Bank Malaysia Berhad |
ii. LEI, if any | 549300JTJBG2QBI8KD48 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MALAYSIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 26 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 27 | |
i. Full name | FirstRand Bank Limited |
ii. LEI, if any | ZAYQDKTCATIXF9OQY690 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SOUTH AFRICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 28 | |
i. Full name | Joint Stock Company Commercial Bank Citibank |
ii. LEI, if any | CHSQDSVI1UI96Y2SW097 |
iii. State, if applicable | |
iv. Foreign country, if applicable | RUSSIAN FEDERATION |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 29 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PHILIPPINES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 30 | |
i. Full name | BNP Paribas Securities Services (Athens, Attica, GR, Branch) |
ii. LEI, if any | 549300WCGB70D06XZS54 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GREECE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 31 | |
i. Full name | Citibank Anonim Sirketi |
ii. LEI, if any | CWZ8NZDH5SKY12Q4US31 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TURKEY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 32 | |
i. Full name | Citibank del Peru S.A. |
ii. LEI, if any | MYTK5NHHP1G8TVFGT193 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PERU |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 33 | |
i. Full name | Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) |
ii. LEI, if any | 579100KKDGKCFFKKF005 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BRAZIL |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 34 | |
i. Full name | Itau CorpBanca |
ii. LEI, if any | 549300DDPTTIZ06NIV06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHILE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 35 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 36 | |
i. Full name | Cititrust Colombia S A Sociedad Fiduciaria |
ii. LEI, if any | 549300242J3IJCOSGI49 |
iii. State, if applicable | |
iv. Foreign country, if applicable | COLOMBIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 37 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 38 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 39 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 40 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 41 | |
i. Full name | UniCredit Bank Hungary Zrt. |
ii. LEI, if any | Y28RT6GGYJ696PMW8T44 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HUNGARY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 42 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Karachi, Sindh, PK, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PAKISTAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 43 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Jakarta, Jakarta, ID, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | INDONESIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 44 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 45 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 46 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 40.25000000 |
Brokers Record: 2 | |
i. Full name of broker | Credit Agricole SA |
ii. SEC file number | 8-13753 |
iii. CRD number | 000000190 |
iv. LEI, if any | 969500TJ5KRTCJQWXH05 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 57.32000000 |
Brokers Record: 3 | |
i. Full name of broker | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 38.05000000 |
Brokers Record: 4 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 60.22000000 |
Brokers Record: 5 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 265.60000000 |
Brokers Record: 6 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 74.64000000 |
Brokers Record: 7 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 95.53000000 |
Brokers Record: 8 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 34.45000000 |
Brokers Record: 9 | |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 47.37000000 |
Brokers Record: 10 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 170.04000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 1056.60000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | HSBC Securities (USA) Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 19.88000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 2228014.06000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 9721968.57000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 9.81000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 28650.23000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 10949250.20000000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | Instinet, LLC |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | 549300MGMN3RKMU8FT57 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 8.27000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 52572484.36000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 37507156.88692308 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 32 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI South Africa ETF |
b. Series identication number, if any | S000004255 |
c. LEI | 549300N26GW1II0BPW20 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI South Africa ETF |
ii. Class identification number, if any | C000011959 |
iii. Ticker symbol, if any | EZA |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 1045891.00000000 |
g. Provide the net income from securities lending activities | 26469.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | FirstRand Bank Limited |
ii. LEI, if any | ZAYQDKTCATIXF9OQY690 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SOUTH AFRICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 25 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1407.72000000 |
Brokers Record: 2 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 3277.40000000 |
Brokers Record: 3 | |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 4345.14000000 |
Brokers Record: 4 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 5239.31000000 |
Brokers Record: 5 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 3075.77000000 |
Brokers Record: 6 | |
i. Full name of broker | Deutsche Bank Capital Corporation |
ii. SEC file number | 8-15774 |
iii. CRD number | 000005323 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1483.35000000 |
Brokers Record: 7 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2415.28000000 |
Brokers Record: 8 | |
i. Full name of broker | Instinet, LLC |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | 549300MGMN3RKMU8FT57 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 11897.72000000 |
Brokers Record: 9 | |
i. Full name of broker | Barclays Capital Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 8785.69000000 |
Brokers Record: 10 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 14184.91000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 56333.86000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 18102173.01000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 82761271.66000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 57623738.06000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 8062069.98000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 11763177.64000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 305682693.38000000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 6926895.58000000 |
Principal Transactions Record: 8 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 13314873.93000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 763481473.61000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 444357305.31307690 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 33 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Taiwan ETF |
b. Series identication number, if any | S000004261 |
c. LEI | NOTS2OVXOI43240U2196 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Taiwan Capped ETF |
ii. Class identification number, if any | C000011965 |
iii. Ticker symbol, if any | EWT |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]()
![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 161647383.00000000 |
g. Provide the net income from securities lending activities | 3599502.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Standard Chartered Bank (Taiwan) Limited |
ii. LEI, if any | 549300QJEO1B92LSHZ06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TAIWAN (PROVINCE OF CHINA) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 25 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 45637.96000000 |
Brokers Record: 2 | |
i. Full name of broker | Deutsche Bank Capital Corporation |
ii. SEC file number | 8-15774 |
iii. CRD number | 000005323 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 34037.08000000 |
Brokers Record: 3 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 7308.66000000 |
Brokers Record: 4 | |
i. Full name of broker | Instinet, LLC |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | 549300MGMN3RKMU8FT57 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 845.43000000 |
Brokers Record: 5 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 160976.96000000 |
Brokers Record: 6 | |
i. Full name of broker | Commonwealth Bank of Australia |
ii. SEC file number | 8-66998 |
iii. CRD number | 000136321 |
iv. LEI, if any | MSFSBD3QN1GSN7Q6C537 |
v. State, if applicable | |
vi. Foreign country, if applicable | AUSTRALIA |
vii. Gross commissions paid by the Fund for the reporting period | 3516.32000000 |
Brokers Record: 7 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 141272.67000000 |
Brokers Record: 8 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 4727.73000000 |
Brokers Record: 9 | |
i. Full name of broker | Cl Securities Taiwan Company Limited |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 213800ADSXO8W8ECIP07 |
v. State, if applicable | |
vi. Foreign country, if applicable | TAIWAN (PROVINCE OF CHINA) |
vii. Gross commissions paid by the Fund for the reporting period | 3974.65000000 |
Brokers Record: 10 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 6439.42000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 408827.87000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1836749503.49000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 5915853651.23999800 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 3882474415.34999940 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 34 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Japan Small-Cap ETF |
b. Series identication number, if any | S000019126 |
c. LEI | 549300V2JJ85TUQS9L89 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Japan Small-Cap ETF |
ii. Class identification number, if any | C000052898 |
iii. Ticker symbol, if any | SCJ |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 14838464.00000000 |
g. Provide the net income from securities lending activities | 458638.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1681.93000000 |
Brokers Record: 2 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2098.66000000 |
Brokers Record: 3 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1658.15000000 |
Brokers Record: 4 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1408.06000000 |
Brokers Record: 5 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1157.68000000 |
Brokers Record: 6 | |
i. Full name of broker | Instinet, LLC |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | 549300MGMN3RKMU8FT57 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 586.09000000 |
Brokers Record: 7 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1899.24000000 |
Brokers Record: 8 | |
i. Full name of broker | Wells Fargo Brokerage Services, LLC |
ii. SEC file number | 8-33283 |
iii. CRD number | 000016100 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | MINNESOTA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 858.44000000 |
Brokers Record: 9 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1227.45000000 |
Brokers Record: 10 | |
i. Full name of broker | BNP Paribas Securities Corp. |
ii. SEC file number | 8-32682 |
iii. CRD number | 000015794 |
iv. LEI, if any | RCNB6OTYUAMMP879YW96 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 590.61000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 14757.17000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 54711114.96000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 57228983.05000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 530413929.51000100 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 46554740.09000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 146694070.49000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 1101954305.53000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 347111662.14153850 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 35 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Frontier 100 ETF |
b. Series identication number, if any | S000036005 |
c. LEI | 549300K7WFRTJHJBDK61 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Frontier 100 ETF |
ii. Class identification number, if any | C000110342 |
iii. Ticker symbol, if any | FM |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 3873675.00000000 |
g. Provide the net income from securities lending activities | 18654.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | Zagrebacka Banka Dionicko Drustvo |
ii. LEI, if any | PRNXTNXHBI0TSY1V8P17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CROATIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | FirstRand Bank Limited |
ii. LEI, if any | ZAYQDKTCATIXF9OQY690 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SOUTH AFRICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | UniCredit Banka Slovenija d.d. |
ii. LEI, if any | 549300O2UN9JLME31F08 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SLOVENIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | UniCredit Bulbank AD |
ii. LEI, if any | 549300Z7V2WOFIMUEK50 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BULGARIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | Standard Chartered Bank Cote d'Ivoire SA |
ii. LEI, if any | 54930016MQBB2NO5NB47 |
iii. State, if applicable | |
iv. Foreign country, if applicable | COTE D'IVOIRE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | HSBC Bank Middle East Limited |
ii. LEI, if any | 549300F99IL9YJDWH369 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED ARAB EMIRATES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | HSBC Bank Middle East Limited (Manama, Capital, BH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BAHRAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Ebene, Plaines Wilhems, MU, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MAURITIUS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | HSBC Bank Middle East Limited (Kuwait City, Al Asimah, KW, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KUWAIT |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | HSBC Bank Middle East Limited (Doha, Ad Dawhah, QA, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | QATAR |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | Ngan Hang Trach Nhiem Huu Han Mot Thanh Vien HSBC (Viet Nam) |
ii. LEI, if any | 213800H95OG9OHRT4Y78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | VIET NAM |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Union Internationale de Banques S.A. |
ii. LEI, if any | 549300WKCW12LEPUMV07 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TUNISIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | Standard Chartered Bank (Dhaka, Dhaka, BD, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BANGLADESH |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | AB SEB bankas |
ii. LEI, if any | 549300SBPFE9JX7N8J82 |
iii. State, if applicable | |
iv. Foreign country, if applicable | LITHUANIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | UniCredit Bank Srbija a.d. Beograd |
ii. LEI, if any | 52990001O0THU00TYK59 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SERBIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | Standard Chartered Bank Kenya Limited |
ii. LEI, if any | 549300RBHWW5EJIRG629 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KENYA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | Citibank Europe Public Limited Company (Bucharest, Bucharest, RO, Branch) |
ii. LEI, if any | N1FBEDJ5J41VKZLO2475 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ROMANIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | Citibank Maghreb S.A |
ii. LEI, if any | 5493003FVWLMBFTISI11 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MOROCCO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Bank Hapoalim B.M. |
ii. LEI, if any | B6ARUI4946ST4S7WOU88 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ISRAEL |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | HSBC Bank Oman S.A.O.G. |
ii. LEI, if any | 213800YRPSOSH9OA2V29 |
iii. State, if applicable | |
iv. Foreign country, if applicable | OMAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | Standard Chartered Bank (Amman, Amman, JO, Branch) |
ii. LEI, if any | 00000000000000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JORDAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | Stanbic IBTC Bank PLC |
ii. LEI, if any | 549300NIVXF92ZIOVW61 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NIGERIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 25 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 26 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 27 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Colombo, Western, LK, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SRI LANKA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 28 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Karachi, Sindh, PK, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PAKISTAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 82869.98000000 |
Brokers Record: 2 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 469424.26999999 |
Brokers Record: 3 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 14074.37000000 |
Brokers Record: 4 | |
i. Full name of broker | Credit Agricole SA |
ii. SEC file number | 8-13753 |
iii. CRD number | 000000190 |
iv. LEI, if any | 969500TJ5KRTCJQWXH05 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 137694.61000000 |
Brokers Record: 5 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 7946.67000000 |
Brokers Record: 6 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 20705.28000000 |
Brokers Record: 7 | |
i. Full name of broker | UniCredit Bank AG |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 2ZCNRR8UK83OBTEK2170 |
v. State, if applicable | |
vi. Foreign country, if applicable | GERMANY |
vii. Gross commissions paid by the Fund for the reporting period | 68980.27000000 |
Brokers Record: 8 | |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 625801.49999999 |
Brokers Record: 9 | |
i. Full name of broker | Financial Brokerage Group S.A.E. |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 558600U9YMGSR4KAHP73 |
v. State, if applicable | |
vi. Foreign country, if applicable | EGYPT |
vii. Gross commissions paid by the Fund for the reporting period | 8659.82000000 |
Brokers Record: 10 | |
i. Full name of broker | Government of the Socialist Republic of Vietnam |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 5493008AE7RS4XK4BZ08 |
v. State, if applicable | |
vi. Foreign country, if applicable | VIET NAM |
vii. Gross commissions paid by the Fund for the reporting period | 229148.16999999 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 1674703.74999999 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | UniCredit Bank AG |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 2ZCNRR8UK83OBTEK2170 |
v. State, if applicable | |
vi. Foreign country, if applicable | GERMANY |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 63096.43000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 985527202.22000100 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 4.50000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Government of the Socialist Republic of Vietnam |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 5493008AE7RS4XK4BZ08 |
v. State, if applicable | |
vi. Foreign country, if applicable | VIET NAM |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 0.39000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 53778792.03000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 2595130270.20000100 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 662014471.36076930 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 36 |
Item C.1. Background information.
a. Full Name of the Fund | iShares Core MSCI Emerging Markets ETF |
b. Series identication number, if any | S000038923 |
c. LEI | 5493007C24Z3ZDJ0VD06 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares Core MSCI Emerging Markets ETF |
ii. Class identification number, if any | C000119708 |
iii. Ticker symbol, if any | IEMG |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]()
![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
b. If yes, provide the following information: | |
Foreign Investments Record: 1 | |
Full name of subsidiary | iShares Core Emerging Markets Mauritius Company |
LEI of subsidiary, if any | 00000000000000000000 |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 2517761781.00000000 |
g. Provide the net income from securities lending activities | 55043189.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) |
ii. LEI, if any | 579100KKDGKCFFKKF005 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BRAZIL |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | HSBC Bank Middle East Limited (Manama, Capital, BH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BAHRAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | Citibank Anonim Sirketi |
ii. LEI, if any | CWZ8NZDH5SKY12Q4US31 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TURKEY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | Joint Stock Company Commercial Bank Citibank |
ii. LEI, if any | CHSQDSVI1UI96Y2SW097 |
iii. State, if applicable | |
iv. Foreign country, if applicable | RUSSIAN FEDERATION |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | Cititrust Colombia S A Sociedad Fiduciaria |
ii. LEI, if any | 549300242J3IJCOSGI49 |
iii. State, if applicable | |
iv. Foreign country, if applicable | COLOMBIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | UniCredit Bank Hungary Zrt. |
ii. LEI, if any | Y28RT6GGYJ696PMW8T44 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HUNGARY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Standard Chartered Bank (Taiwan) Limited |
ii. LEI, if any | 549300QJEO1B92LSHZ06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TAIWAN (PROVINCE OF CHINA) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Karachi, Sindh, PK, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PAKISTAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Jakarta, Jakarta, ID, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | INDONESIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | FirstRand Bank Limited |
ii. LEI, if any | ZAYQDKTCATIXF9OQY690 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SOUTH AFRICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | HSBC Bank Egypt S.A.E |
ii. LEI, if any | 2138001Q77JDLESS4Y50 |
iii. State, if applicable | |
iv. Foreign country, if applicable | EGYPT |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | Citibank Maghreb S.A |
ii. LEI, if any | 5493003FVWLMBFTISI11 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MOROCCO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PHILIPPINES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | HSBC Bank (China) Company Limited |
ii. LEI, if any | 2CZOJRADNJXBLT55G526 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHINA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | Itau CorpBanca |
ii. LEI, if any | 549300DDPTTIZ06NIV06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHILE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | Bank Handlowy w Warszawie Spolka Akcyjna |
ii. LEI, if any | XLEZHWWOI4HFQDGL4793 |
iii. State, if applicable | |
iv. Foreign country, if applicable | POLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 25 | |
i. Full name | Standard Chartered Bank Malaysia Berhad |
ii. LEI, if any | 549300JTJBG2QBI8KD48 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MALAYSIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 26 | |
i. Full name | BNP Paribas Securities Services (Athens, Attica, GR, Branch) |
ii. LEI, if any | 549300WCGB70D06XZS54 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GREECE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 27 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 28 | |
i. Full name | HSBC Bank Middle East Limited (Doha, Ad Dawhah, QA, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | QATAR |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 29 | |
i. Full name | Citibank del Peru S.A. |
ii. LEI, if any | MYTK5NHHP1G8TVFGT193 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PERU |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 30 | |
i. Full name | HSBC Bank Middle East Limited |
ii. LEI, if any | 549300F99IL9YJDWH369 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED ARAB EMIRATES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 137529.24000000 |
Brokers Record: 2 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 3848639.73999999 |
Brokers Record: 3 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 474575.10999999 |
Brokers Record: 4 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 362226.85999999 |
Brokers Record: 5 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 176904.34000000 |
Brokers Record: 6 | |
i. Full name of broker | Credit Agricole SA |
ii. SEC file number | 8-13753 |
iii. CRD number | 000000190 |
iv. LEI, if any | 969500TJ5KRTCJQWXH05 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 289288.54000000 |
Brokers Record: 7 | |
i. Full name of broker | Credicorp Capital Chile S.A. |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 549300YRTTWFZ5ZVO585 |
v. State, if applicable | |
vi. Foreign country, if applicable | CHILE |
vii. Gross commissions paid by the Fund for the reporting period | 91983.57000000 |
Brokers Record: 8 | |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 510444.22999999 |
Brokers Record: 9 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 484843.13000000 |
Brokers Record: 10 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 353985.48999999 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 4892695.92999999 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Credit Agricole SA |
ii. SEC file number | 8-13753 |
iii. CRD number | 000000190 |
iv. LEI, if any | 969500TJ5KRTCJQWXH05 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 7.18000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Larrainvial Securities US LLC |
ii. SEC file number | 8-68452 |
iii. CRD number | 000152424 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 32857.11000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 764957.16000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 5861358642.02998600 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 2737667.18000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 22112231434.33000000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 43618.81000000 |
Principal Transactions Record: 8 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 188066509.70000000 |
Principal Transactions Record: 9 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 65.17000000 |
Principal Transactions Record: 10 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 69014730.80000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 57209561160.68999000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 45426894701.59307000 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 37 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Pacific ex Japan ETF |
b. Series identication number, if any | S000004253 |
c. LEI | 549300BD232B3QSQRR65 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Pacific ex Japan ETF |
ii. Class identification number, if any | C000011957 |
iii. Ticker symbol, if any | EPP |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 36714020.00000000 |
g. Provide the net income from securities lending activities | 461073.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 6151.84000000 |
Brokers Record: 2 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2421.93000000 |
Brokers Record: 3 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 11217.82000000 |
Brokers Record: 4 | |
i. Full name of broker | Credit Agricole SA |
ii. SEC file number | 8-13753 |
iii. CRD number | 000000190 |
iv. LEI, if any | 969500TJ5KRTCJQWXH05 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 23095.02000000 |
Brokers Record: 5 | |
i. Full name of broker | Commonwealth Bank of Australia |
ii. SEC file number | 8-66998 |
iii. CRD number | 000136321 |
iv. LEI, if any | MSFSBD3QN1GSN7Q6C537 |
v. State, if applicable | |
vi. Foreign country, if applicable | AUSTRALIA |
vii. Gross commissions paid by the Fund for the reporting period | 10769.56000000 |
Brokers Record: 6 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 8872.56000000 |
Brokers Record: 7 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 7243.99000000 |
Brokers Record: 8 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 21866.10000000 |
Brokers Record: 9 | |
i. Full name of broker | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 2726.35000000 |
Brokers Record: 10 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 7878.75000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 105577.96000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 448714893.94000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 109543071.09000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Commonwealth Bank of Australia |
ii. SEC file number | 8-66998 |
iii. CRD number | 000136321 |
iv. LEI, if any | MSFSBD3QN1GSN7Q6C537 |
v. State, if applicable | |
vi. Foreign country, if applicable | AUSTRALIA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 793086.16000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 45701222.85000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 533793908.47000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 158265121.69000000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 10258680.82000000 |
Principal Transactions Record: 8 | |
i. Full name of dealer | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 40903555.91000000 |
Principal Transactions Record: 9 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 177094874.13000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 3025144285.08000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 2909169684.79692300 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 38 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Turkey ETF |
b. Series identication number, if any | S000018073 |
c. LEI | 549300Z5Q7R3VX4WT628 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Turkey ETF |
ii. Class identification number, if any | C000050069 |
iii. Ticker symbol, if any | TUR |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 15039104.00000000 |
g. Provide the net income from securities lending activities | 1050302.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | Citibank Anonim Sirketi |
ii. LEI, if any | CWZ8NZDH5SKY12Q4US31 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TURKEY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 25 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 285.96000000 |
Brokers Record: 2 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 7559.90000000 |
Brokers Record: 3 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 444.29000000 |
Brokers Record: 4 | |
i. Full name of broker | Instinet, LLC |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | 549300MGMN3RKMU8FT57 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2607.68000000 |
Brokers Record: 5 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2740.41000000 |
Brokers Record: 6 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 347.21000000 |
Brokers Record: 7 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1065.78000000 |
Brokers Record: 8 | |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 6645.60000000 |
Brokers Record: 9 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1487.39000000 |
Brokers Record: 10 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 9726.98000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 33139.52000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 59580634.86000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 16862756.27000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 277164851.32000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 25991307.45000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 73305437.62000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 52526331.09000000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 33762909.06000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 901765058.67000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 346822040.69769233 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 39 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Global Gold Miners ETF |
b. Series identication number, if any | S000035882 |
c. LEI | 549300GPQXTYLBQN1755 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Global Gold Miners ETF |
ii. Class identification number, if any | C000109985 |
iii. Ticker symbol, if any | RING |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 9537297.00000000 |
g. Provide the net income from securities lending activities | 92931.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | Itau CorpBanca |
ii. LEI, if any | 549300DDPTTIZ06NIV06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHILE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | Joint Stock Company Commercial Bank Citibank |
ii. LEI, if any | CHSQDSVI1UI96Y2SW097 |
iii. State, if applicable | |
iv. Foreign country, if applicable | RUSSIAN FEDERATION |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | Standard Chartered Bank Malaysia Berhad |
ii. LEI, if any | 549300JTJBG2QBI8KD48 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MALAYSIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PHILIPPINES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Standard Chartered Bank (Taiwan) Limited |
ii. LEI, if any | 549300QJEO1B92LSHZ06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TAIWAN (PROVINCE OF CHINA) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | BNP Paribas Securities Services (Athens, Attica, GR, Branch) |
ii. LEI, if any | 549300WCGB70D06XZS54 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GREECE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | Bank Hapoalim B.M. |
ii. LEI, if any | B6ARUI4946ST4S7WOU88 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ISRAEL |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | HSBC Bank Middle East Limited (Manama, Capital, BH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BAHRAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | UniCredit Bank Hungary Zrt. |
ii. LEI, if any | Y28RT6GGYJ696PMW8T44 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HUNGARY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | HSBC Bank (China) Company Limited |
ii. LEI, if any | 2CZOJRADNJXBLT55G526 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHINA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | Bank Handlowy w Warszawie Spolka Akcyjna |
ii. LEI, if any | XLEZHWWOI4HFQDGL4793 |
iii. State, if applicable | |
iv. Foreign country, if applicable | POLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Jakarta, Jakarta, ID, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | INDONESIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Karachi, Sindh, PK, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PAKISTAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | Citibank del Peru S.A. |
ii. LEI, if any | MYTK5NHHP1G8TVFGT193 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PERU |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 25 | |
i. Full name | Citibank Anonim Sirketi |
ii. LEI, if any | CWZ8NZDH5SKY12Q4US31 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TURKEY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 26 | |
i. Full name | Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) |
ii. LEI, if any | 579100KKDGKCFFKKF005 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BRAZIL |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 27 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 28 | |
i. Full name | HSBC Bank Middle East Limited (Doha, Ad Dawhah, QA, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | QATAR |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 29 | |
i. Full name | HSBC Bank Egypt S.A.E |
ii. LEI, if any | 2138001Q77JDLESS4Y50 |
iii. State, if applicable | |
iv. Foreign country, if applicable | EGYPT |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 30 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 31 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 32 | |
i. Full name | Citibank Maghreb S.A |
ii. LEI, if any | 5493003FVWLMBFTISI11 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MOROCCO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 33 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 34 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 35 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 36 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 37 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 38 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 39 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 40 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 41 | |
i. Full name | HSBC Bank Middle East Limited |
ii. LEI, if any | 549300F99IL9YJDWH369 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED ARAB EMIRATES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 42 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 43 | |
i. Full name | Cititrust Colombia S A Sociedad Fiduciaria |
ii. LEI, if any | 549300242J3IJCOSGI49 |
iii. State, if applicable | |
iv. Foreign country, if applicable | COLOMBIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 44 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 45 | |
i. Full name | FirstRand Bank Limited |
ii. LEI, if any | ZAYQDKTCATIXF9OQY690 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SOUTH AFRICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Instinet, LLC |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | 549300MGMN3RKMU8FT57 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 815.42000000 |
Brokers Record: 2 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 353.33000000 |
Brokers Record: 3 | |
i. Full name of broker | TD Securities (USA) LLC |
ii. SEC file number | 8-36747 |
iii. CRD number | 000018476 |
iv. LEI, if any | SUVUFHICNZMP2WKHG940 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2341.35000000 |
Brokers Record: 4 | |
i. Full name of broker | Bank of Montreal |
ii. SEC file number | 8-67064 |
iii. CRD number | 000137115 |
iv. LEI, if any | NQQ6HPCNCCU6TUTQYE16 |
v. State, if applicable | |
vi. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
vii. Gross commissions paid by the Fund for the reporting period | 790.76000000 |
Brokers Record: 5 | |
i. Full name of broker | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2104.07000000 |
Brokers Record: 6 | |
i. Full name of broker | Canadian Imperial Bank of Commerce |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 2IGI19DL77OX0HC3ZE78 |
v. State, if applicable | |
vi. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
vii. Gross commissions paid by the Fund for the reporting period | 377.33000000 |
Brokers Record: 7 | |
i. Full name of broker | Scotia Capital (USA) Inc. |
ii. SEC file number | 8-3716 |
iii. CRD number | 000002739 |
iv. LEI, if any | 549300BLWPABP1VNME36 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1328.30000000 |
Brokers Record: 8 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 334.91000000 |
Brokers Record: 9 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 443.28000000 |
Brokers Record: 10 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2058.63000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 12031.22000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 118847836.10000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 16122.45000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1770390.52000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1770157.02000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 841941.37000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 84219287.83000000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 34126778.75000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 433890923.76000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 326635479.74538463 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 40 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI USA Equal Weighted ETF |
b. Series identication number, if any | S000028709 |
c. LEI | 549300172TG5AYV8OG25 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI USA Equal Weighted ETF |
ii. Class identification number, if any | C000087836 |
iii. Ticker symbol, if any | EUSA |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 5115313.00000000 |
g. Provide the net income from securities lending activities | 29219.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Deutsche Bank Capital Corporation |
ii. SEC file number | 8-15774 |
iii. CRD number | 000005323 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 227.77000000 |
Brokers Record: 2 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 183.27000000 |
Brokers Record: 3 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1065.58000000 |
Brokers Record: 4 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 352.79000000 |
Brokers Record: 5 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 249.67000000 |
Brokers Record: 6 | |
i. Full name of broker | Jefferies LLC |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 32.11000000 |
Brokers Record: 7 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1041.71000000 |
Brokers Record: 8 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 121.86000000 |
Brokers Record: 9 | |
i. Full name of broker | Barclays Capital Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 429.23000000 |
Brokers Record: 10 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 576.55000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 4339.57000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 7948.13000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 7998.01000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 94.58000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 2990.54000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | National Securities Clearing Corporation |
ii. SEC file number | 8-164 |
iii. CRD number | 000007569 |
iv. LEI, if any | 549300RYC9NELN2ICA34 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 121101338.27000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 14855.01000000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 41597043.15000000 |
Principal Transactions Record: 8 | |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 2803.65000000 |
Principal Transactions Record: 9 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 263.07000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 354510145.19000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 150803555.26769230 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 41 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Brazil ETF |
b. Series identication number, if any | S000004264 |
c. LEI | 5493006D2L7KY3ZDF809 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Brazil Capped ETF |
ii. Class identification number, if any | C000011968 |
iii. Ticker symbol, if any | EWZ |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | N/A |
g. Provide the net income from securities lending activities | N/A |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) |
ii. LEI, if any | 579100KKDGKCFFKKF005 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BRAZIL |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 25 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 55117.74000000 |
Brokers Record: 2 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 16177.02000000 |
Brokers Record: 3 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 7021.41000000 |
Brokers Record: 4 | |
i. Full name of broker | Banco Santander, S.A. |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 5493006QMFDDMYWIAM13 |
v. State, if applicable | |
vi. Foreign country, if applicable | SPAIN |
vii. Gross commissions paid by the Fund for the reporting period | 1147.21000000 |
Brokers Record: 5 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 12674.27999999 |
Brokers Record: 6 | |
i. Full name of broker | Banco Bradesco S.A. |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 549300CTUU1RFXHQJE44 |
v. State, if applicable | |
vi. Foreign country, if applicable | BRAZIL |
vii. Gross commissions paid by the Fund for the reporting period | 45942.55000000 |
Brokers Record: 7 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 595.17000000 |
Brokers Record: 8 | |
i. Full name of broker | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 49.77000000 |
Brokers Record: 9 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 244763.46000000 |
Brokers Record: 10 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 456101.85000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 839590.46000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 165105104.47000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 95053381.63000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 2117319.69000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1255958384.86000100 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 16.14000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 7712517726.65000200 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 7396306167.93230700 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 42 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Sweden ETF |
b. Series identication number, if any | S000004259 |
c. LEI | 5493006PAEOLGEXJ6L84 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Sweden Capped ETF |
ii. Class identification number, if any | C000011963 |
iii. Ticker symbol, if any | EWD |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 2676555.00000000 |
g. Provide the net income from securities lending activities | 30202.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | BNP Paribas Securities Corp. |
ii. SEC file number | 8-32682 |
iii. CRD number | 000015794 |
iv. LEI, if any | RCNB6OTYUAMMP879YW96 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 141.18000000 |
Brokers Record: 2 | |
i. Full name of broker | Wells Fargo Brokerage Services, LLC |
ii. SEC file number | 8-33283 |
iii. CRD number | 000016100 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | MINNESOTA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 12604.01000000 |
Brokers Record: 3 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 555.68000000 |
Brokers Record: 4 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 399.41000000 |
Brokers Record: 5 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1497.11000000 |
Brokers Record: 6 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1001.51000000 |
Brokers Record: 7 | |
i. Full name of broker | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 324.46000000 |
Brokers Record: 8 | |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 992.00000000 |
Brokers Record: 9 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 899.45000000 |
Brokers Record: 10 | |
i. Full name of broker | Instinet, LLC |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | 549300MGMN3RKMU8FT57 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 773.62000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 19530.54000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 14930544.45000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 165420674.47000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | BNP Paribas Securities Corp. |
ii. SEC file number | 8-32682 |
iii. CRD number | 000015794 |
iv. LEI, if any | RCNB6OTYUAMMP879YW96 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 5132227.72000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 42662772.56000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 65150983.33000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 93905975.37000000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 76900742.30000000 |
Principal Transactions Record: 8 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 10116307.08000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 644437483.77000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 392032744.40769225 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 43 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Chile ETF |
b. Series identication number, if any | S000018070 |
c. LEI | 5493008SR8ZGY2IJU464 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Chile Capped ETF |
ii. Class identification number, if any | C000050066 |
iii. Ticker symbol, if any | ECH |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | N/A |
g. Provide the net income from securities lending activities | N/A |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Itau CorpBanca |
ii. LEI, if any | 549300DDPTTIZ06NIV06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHILE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 25 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 16980.06000000 |
Brokers Record: 2 | |
i. Full name of broker | Larrainvial Securities US LLC |
ii. SEC file number | 8-68452 |
iii. CRD number | 000152424 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 279881.88999999 |
Brokers Record: 3 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 57157.60000000 |
Brokers Record: 4 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 12167.11000000 |
Brokers Record: 5 | |
i. Full name of broker | Credicorp Capital Chile S.A. |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 549300YRTTWFZ5ZVO585 |
v. State, if applicable | |
vi. Foreign country, if applicable | CHILE |
vii. Gross commissions paid by the Fund for the reporting period | 66707.47000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 439479.54999999 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 185036575.37000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 18012272.00000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 948167946.28000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 481743885.17000000 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 44 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI France ETF |
b. Series identication number, if any | S000004267 |
c. LEI | 549300DTW3LGNTWLQA96 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI France ETF |
ii. Class identification number, if any | C000011971 |
iii. Ticker symbol, if any | EWQ |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 301990.00000000 |
g. Provide the net income from securities lending activities | 123960.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Barclays Capital Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1386.11000000 |
Brokers Record: 2 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1938.37000000 |
Brokers Record: 3 | |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1268.24000000 |
Brokers Record: 4 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1054.36000000 |
Brokers Record: 5 | |
i. Full name of broker | Wells Fargo Brokerage Services, LLC |
ii. SEC file number | 8-33283 |
iii. CRD number | 000016100 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | MINNESOTA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2554.79000000 |
Brokers Record: 6 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2106.72000000 |
Brokers Record: 7 | |
i. Full name of broker | Instinet, LLC |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | 549300MGMN3RKMU8FT57 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 704.93000000 |
Brokers Record: 8 | |
i. Full name of broker | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 486.73000000 |
Brokers Record: 9 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2247.10000000 |
Brokers Record: 10 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1816.68000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 16761.22000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 103230553.31000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 70276429.25000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 297577840.38000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | ABN AMRO Clearing Bank N.V. |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | G8ZTNESVNKW4NN761W05 |
v. State, if applicable | |
vi. Foreign country, if applicable | NETHERLANDS |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 57088646.82000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 97517955.19000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 24832790.29000000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 46.51000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 841261034.83000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 790169268.95076920 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 45 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Emerging Markets Asia ETF |
b. Series identication number, if any | S000034697 |
c. LEI | 549300QNROXHZ53JWF91 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Emerging Markets Asia ETF |
ii. Class identification number, if any | C000106873 |
iii. Ticker symbol, if any | EEMA |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
b. If yes, provide the following information: | |
Foreign Investments Record: 1 | |
Full name of subsidiary | iShares EM Asia Mauritius Company |
LEI of subsidiary, if any | 00000000000000000000 |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 17070552.00000000 |
g. Provide the net income from securities lending activities | 273096.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | Standard Chartered Bank Malaysia Berhad |
ii. LEI, if any | 549300JTJBG2QBI8KD48 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MALAYSIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Karachi, Sindh, PK, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PAKISTAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | HSBC Bank (China) Company Limited |
ii. LEI, if any | 2CZOJRADNJXBLT55G526 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHINA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Jakarta, Jakarta, ID, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | INDONESIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Standard Chartered Bank (Taiwan) Limited |
ii. LEI, if any | 549300QJEO1B92LSHZ06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TAIWAN (PROVINCE OF CHINA) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PHILIPPINES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 9342.53000000 |
Brokers Record: 2 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 16775.82000000 |
Brokers Record: 3 | |
i. Full name of broker | Credit Agricole SA |
ii. SEC file number | 8-13753 |
iii. CRD number | 000000190 |
iv. LEI, if any | 969500TJ5KRTCJQWXH05 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 8727.80000000 |
Brokers Record: 4 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 9568.31000000 |
Brokers Record: 5 | |
i. Full name of broker | Deutsche Bank Capital Corporation |
ii. SEC file number | 8-15774 |
iii. CRD number | 000005323 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 4099.84000000 |
Brokers Record: 6 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 3812.20000000 |
Brokers Record: 7 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 60877.81000000 |
Brokers Record: 8 | |
i. Full name of broker | Cl Securities Taiwan Company Limited |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 213800ADSXO8W8ECIP07 |
v. State, if applicable | |
vi. Foreign country, if applicable | TAIWAN (PROVINCE OF CHINA) |
vii. Gross commissions paid by the Fund for the reporting period | 1742.82000000 |
Brokers Record: 9 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 10357.60000000 |
Brokers Record: 10 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 11937.53000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 140666.20000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 4.84000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 3235.49000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 288161218.74000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 98754837.99000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 1291202643.07000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 556653076.99076930 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 46 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI EM ESG Optimized ETF |
b. Series identication number, if any | S000054183 |
c. LEI | 549300JES9K0OUJ8F389 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI EM ESG Optimized ETF |
ii. Class identification number, if any | C000170244 |
iii. Ticker symbol, if any | ESGE |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 9711263.00000000 |
g. Provide the net income from securities lending activities | 75484.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | Standard Chartered Bank (Taiwan) Limited |
ii. LEI, if any | 549300QJEO1B92LSHZ06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TAIWAN (PROVINCE OF CHINA) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | HSBC Bank Middle East Limited (Doha, Ad Dawhah, QA, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | QATAR |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | Joint Stock Company Commercial Bank Citibank |
ii. LEI, if any | CHSQDSVI1UI96Y2SW097 |
iii. State, if applicable | |
iv. Foreign country, if applicable | RUSSIAN FEDERATION |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | Citibank Anonim Sirketi |
ii. LEI, if any | CWZ8NZDH5SKY12Q4US31 |
iii. State, if applicable | |
iv. Foreign country, if applicable | TURKEY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Itau CorpBanca |
ii. LEI, if any | 549300DDPTTIZ06NIV06 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHILE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | HSBC Bank Egypt S.A.E |
ii. LEI, if any | 2138001Q77JDLESS4Y50 |
iii. State, if applicable | |
iv. Foreign country, if applicable | EGYPT |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Standard Chartered Bank Malaysia Berhad |
ii. LEI, if any | 549300JTJBG2QBI8KD48 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MALAYSIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | HSBC Bank (China) Company Limited |
ii. LEI, if any | 2CZOJRADNJXBLT55G526 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CHINA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | HSBC Bank Middle East Limited |
ii. LEI, if any | 549300F99IL9YJDWH369 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED ARAB EMIRATES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) |
ii. LEI, if any | 579100KKDGKCFFKKF005 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BRAZIL |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | BNP Paribas Securities Services (Athens, Attica, GR, Branch) |
ii. LEI, if any | 549300WCGB70D06XZS54 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GREECE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | Bank Handlowy w Warszawie Spolka Akcyjna |
ii. LEI, if any | XLEZHWWOI4HFQDGL4793 |
iii. State, if applicable | |
iv. Foreign country, if applicable | POLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Jakarta, Jakarta, ID, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | INDONESIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | HSBC Bank Middle East Limited (Manama, Capital, BH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | BAHRAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | UniCredit Bank Hungary Zrt. |
ii. LEI, if any | Y28RT6GGYJ696PMW8T44 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HUNGARY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | FirstRand Bank Limited |
ii. LEI, if any | ZAYQDKTCATIXF9OQY690 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SOUTH AFRICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 25 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Karachi, Sindh, PK, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PAKISTAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 26 | |
i. Full name | Cititrust Colombia S A Sociedad Fiduciaria |
ii. LEI, if any | 549300242J3IJCOSGI49 |
iii. State, if applicable | |
iv. Foreign country, if applicable | COLOMBIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 27 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | PHILIPPINES |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 28 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Mumbai, Maharashtra, IN, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | INDIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 29 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 10988.35000000 |
Brokers Record: 2 | |
i. Full name of broker | Credit Agricole SA |
ii. SEC file number | 8-13753 |
iii. CRD number | 000000190 |
iv. LEI, if any | 969500TJ5KRTCJQWXH05 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 6309.63000000 |
Brokers Record: 3 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 20130.65000000 |
Brokers Record: 4 | |
i. Full name of broker | Credicorp Capital Chile S.A. |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 549300YRTTWFZ5ZVO585 |
v. State, if applicable | |
vi. Foreign country, if applicable | CHILE |
vii. Gross commissions paid by the Fund for the reporting period | 2743.39000000 |
Brokers Record: 5 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 8193.41000000 |
Brokers Record: 6 | |
i. Full name of broker | Commonwealth Bank of Australia |
ii. SEC file number | 8-66998 |
iii. CRD number | 000136321 |
iv. LEI, if any | MSFSBD3QN1GSN7Q6C537 |
v. State, if applicable | |
vi. Foreign country, if applicable | AUSTRALIA |
vii. Gross commissions paid by the Fund for the reporting period | 2871.96000000 |
Brokers Record: 7 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 4107.81000000 |
Brokers Record: 8 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 4658.13000000 |
Brokers Record: 9 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 66046.84000000 |
Brokers Record: 10 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 16153.01000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 150356.40000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 4.30000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 28056730.66000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 166229391.64000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 96840983.82000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 822731066.66000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 235121756.69076926 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 47 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Malaysia ETF |
b. Series identication number, if any | S000004250 |
c. LEI | QHNU1WJWRSX7LW7ZHE41 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Malaysia ETF |
ii. Class identification number, if any | C000011954 |
iii. Ticker symbol, if any | EWM |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 14156841.00000000 |
g. Provide the net income from securities lending activities | 427845.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | Standard Chartered Bank Malaysia Berhad |
ii. LEI, if any | 549300JTJBG2QBI8KD48 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MALAYSIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 25 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 195010.69999999 |
Brokers Record: 2 | |
i. Full name of broker | Credit Agricole SA |
ii. SEC file number | 8-13753 |
iii. CRD number | 000000190 |
iv. LEI, if any | 969500TJ5KRTCJQWXH05 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 5292.81000000 |
Brokers Record: 3 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 3092.29000000 |
Brokers Record: 4 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 1179.42000000 |
Brokers Record: 5 | |
i. Full name of broker | CGS-CIMB Securities International Pte. Ltd. |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 213800FG8NHW6WL98G66 |
v. State, if applicable | |
vi. Foreign country, if applicable | SINGAPORE |
vii. Gross commissions paid by the Fund for the reporting period | 7654.81000000 |
Brokers Record: 6 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 6815.57000000 |
Brokers Record: 7 | |
i. Full name of broker | Commonwealth Bank of Australia |
ii. SEC file number | 8-66998 |
iii. CRD number | 000136321 |
iv. LEI, if any | MSFSBD3QN1GSN7Q6C537 |
v. State, if applicable | |
vi. Foreign country, if applicable | AUSTRALIA |
vii. Gross commissions paid by the Fund for the reporting period | 5236.59000000 |
Brokers Record: 8 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 174136.00000000 |
Brokers Record: 9 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 938.11000000 |
Brokers Record: 10 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 26911.91000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 426999.32000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 117261661.50000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 1335063405.57000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 525936059.61692310 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
Management Investment Record: 48 |
Item C.1. Background information.
a. Full Name of the Fund | iShares MSCI Singapore ETF |
b. Series identication number, if any | S000004254 |
c. LEI | 549300C97NIRWFCB5A22 |
d. Is this the first filing on this form by the Fund? | ![]() ![]() |
Item C.2. Classes of open-end management investment companies.
a. How many Classes of shares of the Fund (if any) are authorized? | 1 |
b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
d. For each Class with shares outstanding, provide the information requested below: | |
Shares Outstanding Record: 1 | |
i. Full name of Class | iShares MSCI Singapore Capped ETF |
ii. Class identification number, if any | C000011958 |
iii. Ticker symbol, if any | EWS |
Item C.3. Type of fund.
Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
Indicate if the Fund is any one of the types listed below. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund i. ![]() ii. ![]() b. ![]()
c. ![]() d. ![]() e. ![]() f. ![]() g. ![]() h. ![]() i. ![]() ![]() |
Item C.4. Diversification.
Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ![]() ![]() |
Item C.5. Investments in certain foreign corporations.
Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ![]() ![]() |
Item C.6. Securities lending.
Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
a. Is the Fund authorized to engage in securities lending transactions? | ![]() ![]() |
b. Did the Fund lend any of its securities during the reporting period? | ![]() ![]() |
i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ![]() ![]() |
2. The Fund was otherwise adversely impacted? | ![]() ![]() |
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
Securities Lending Record: 1 | |
i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
ii. LEI, if any | 549300RK1FB0VMTPD087 |
iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | ![]() ![]() |
v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
Idemnity Providers Record: 1 |
1. Name of person providing indemnification | BlackRock, Inc. |
2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
vi. Did the Fund exercise its indemnification rights during the reporting period? | ![]() ![]() |
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
Collateral Managers Record: 1 | |
i. Full name of cash collateral manager: | BlackRock Fund Advisors |
ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | ![]() ![]() |
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | ![]() ![]() |
e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
If other, describe: | Rebates paid to borrowers |
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 15937500.00000000 |
g. Provide the net income from securities lending activities | 161051.00000000 |
Item C.7. Reliance on certain rules.
Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Item C.8. Expense limitations.
Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ![]() ![]() |
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ![]() ![]() |
c. Are the fees waived subject to recoupment? | ![]() ![]() |
d. Were any expenses previously waived recouped during the period? | ![]() ![]() |
Item C.9. Investment advisers.
a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
Investment Advisers Record: 1 | |
i. Full name | BlackRock Fund Advisors |
ii. SEC file number ( e.g., 801- ) | 801-22609 |
iii.CRD number | 000105247 |
iv. LEI, if any | 549300YOOGP0Y1M95C20 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Was the investment adviser hired during the reporting period? | ![]() ![]() |
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
c. For each sub-adviser to the Fund, provide the information requested: |
i. Full name | |
ii. SEC file number ( e.g., 801- ), if applicable | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | ![]() ![]() |
viii. Was the sub-adviser hired during the reporting period? | ![]() ![]() |
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
i. Full name | |
ii. SEC file number ( e.g., 801- ) | |
iii. CRD number | |
iv. LEI, if any | |
v. State, if applicable | |
vi. Foreign country, if applicable | |
vii. Termination date |
Item C.10. Transfer agents.
a. Provide the following information about each person providing transfer agency services to the Fund: |
Transfer Agents Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number ( e.g., 84- or 85- ) | 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable | MASSACHUSETTS |
v. Foreign country, if applicable | UNITED STATES OF AMERICA |
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vii. Is the transfer agent a sub-transfer agent? | ![]() ![]() |
b. Has a transfer agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.11. Pricing services.
a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
Pricing Services Record: 1 | |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 2 | |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 3 | |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 4 | |
i. Full name | Ice Data Services, Inc. |
ii. LEI, if any, or provide and describe other identifying number | 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable | NEW JERSEY |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
Pricing Services Record: 5 | |
i. Full name | Standard & Poor's Financial Services LLC |
ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881 |
Description of other identifying number | |
iii. State, if applicable | NEW YORK |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
b. Was a pricing service hired or terminated during the reporting period? | ![]() ![]() |
Item C.12. Custodians.
a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
Custodians Record: 1 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | KOREA (THE REPUBLIC OF) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 2 | |
i. Full name | Citibank, National Association (Singapore, SG, Branch) |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SINGAPORE |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 3 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SPAIN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 4 | |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CANADA (FEDERAL LEVEL) |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 5 | |
i. Full name | State Street Bank International GmbH |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable | GERMANY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 6 | |
i. Full name | Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex. |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable | MEXICO |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 7 | |
i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NORWAY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 8 | |
i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable | JAPAN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 9 | |
i. Full name | Deutsche Bank Societa per Azioni |
ii. LEI, if any | 529900SS7ZWCX82U3W60 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ITALY |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 10 | |
i. Full name | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NETHERLANDS |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 11 | |
i. Full name | UniCredit Bank Austria AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 12 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | AUSTRALIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 13 | |
i. Full name | Standard Chartered Bank (Thai) Public Company Limited |
ii. LEI, if any | 549300O1LQYCQ7G1IM57 |
iii. State, if applicable | |
iv. Foreign country, if applicable | THAILAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 14 | |
i. Full name | AS SEB Pank |
ii. LEI, if any | 549300ND1MQ8SNNYMJ22 |
iii. State, if applicable | |
iv. Foreign country, if applicable | ESTONIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 15 | |
i. Full name | Euroclear PLC |
ii. LEI, if any | 54930045L3MXWBD27H71 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 16 | |
i. Full name | State Street Bank and Trust Company (London, GB, Branch) |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 17 | |
i. Full name | Credit Suisse Funds AG |
ii. LEI, if any | 549300UY5YPGQ600JV78 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWITZERLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 18 | |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | SWEDEN |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 19 | |
i. Full name | Skandinaviska Enskilda Banken A/S |
ii. LEI, if any | 0000000000 |
iii. State, if applicable | |
iv. Foreign country, if applicable | DENMARK |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 20 | |
i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable | FINLAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 21 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 22 | |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable | NEW ZEALAND |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 23 | |
i. Full name | UniCredit Bank Czech Republic and Slovakia, a.s. |
ii. LEI, if any | KR6LSKV3BTSJRD41IF75 |
iii. State, if applicable | |
iv. Foreign country, if applicable | CZECHIA |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
Custodians Record: 24 | |
i. Full name | Standard Chartered Bank (Hong Kong) Limited |
ii. LEI, if any | X5AV1MBDXGRPX5UGMX13 |
iii. State, if applicable | |
iv. Foreign country, if applicable | HONG KONG |
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the custodian a sub-custodian? | ![]() ![]() |
vii. With respect to the custodian, check below to indicate the type of custody: | ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() ![]() |
b. Has a custodian been hired or terminated during the reporting period?* | ![]() ![]() |
Item C.13. Shareholder servicing agents.
a. Provide the following information about each shareholder servicing agent of the Fund: |
i. Full name | |
ii. LEI, if any, or provide and describe other identifying number | |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable | |
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? | ![]() ![]() |
b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ![]() ![]() |
Item C.14. Administrators.
a. Provide the following information about each administrator of the Fund: |
Administrators Record: 1 | |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or other identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable | MASSACHUSETTS |
iv. Foreign country, if applicable | UNITED STATES OF AMERICA |
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? | ![]() ![]() |
vi. Is the administrator a sub-administrator? | ![]() ![]() |
b.Has a third-party administrator been hired or terminated during the reporting period? | ![]() ![]() |
Item C.15. Affiliated broker-dealers.
Provide the following information about each affiliated broker-dealer: |
Broker Dealers Record: 1 | |
a. Full name | Harris Williams LLC |
b. SEC file number | 8-53380 |
c. CRD number | 000113930 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | VIRGINIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 2 | |
a. Full name | Trout Capital LLC |
b. SEC file number | 8-66474 |
c. CRD number | 000131489 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 3 | |
a. Full name | BlackRock Investments, LLC |
b. SEC file number | 8-48436 |
c. CRD number | 000038642 |
d. LEI, if any | 0000000000 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 4 | |
a. Full name | Blackrock Execution Services |
b. SEC file number | 8-48719 |
c. CRD number | 000039438 |
d. LEI, if any | 549300HFCRQ0NT5KY652 |
e. State, if applicable | NEW YORK |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 5 | |
a. Full name | PNC Capital Markets, Inc. |
b. SEC file number | 8-32493 |
c. CRD number | 000015647 |
d. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 6 | |
a. Full name | Solebury Capital LLC |
b. SEC file number | 8-67548 |
c. CRD number | 000143299 |
d. LEI, if any | 5493000RFBRZED82XQ81 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Broker Dealers Record: 7 | |
a. Full name | PNC Investments LLC |
b. SEC file number | 8-66195 |
c. CRD number | 000129052 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | PENNSYLVANIA |
f. Foreign country, if applicable | UNITED STATES OF AMERICA |
g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000 |
Item C.16. Brokers.
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
Brokers Record: 1 | |
i. Full name of broker | Credit Agricole SA |
ii. SEC file number | 8-13753 |
iii. CRD number | 000000190 |
iv. LEI, if any | 969500TJ5KRTCJQWXH05 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Gross commissions paid by the Fund for the reporting period | 51667.76000000 |
Brokers Record: 2 | |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 15086.66000000 |
Brokers Record: 3 | |
i. Full name of broker | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 5412.08000000 |
Brokers Record: 4 | |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 2117.02000000 |
Brokers Record: 5 | |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 12168.14000000 |
Brokers Record: 6 | |
i. Full name of broker | Instinet, LLC |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | 549300MGMN3RKMU8FT57 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 6364.38000000 |
Brokers Record: 7 | |
i. Full name of broker | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 4031.96000000 |
Brokers Record: 8 | |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 15119.22000000 |
Brokers Record: 9 | |
i. Full name of broker | Commonwealth Bank of Australia |
ii. SEC file number | 8-66998 |
iii. CRD number | 000136321 |
iv. LEI, if any | MSFSBD3QN1GSN7Q6C537 |
v. State, if applicable | |
vi. Foreign country, if applicable | AUSTRALIA |
vii. Gross commissions paid by the Fund for the reporting period | 10451.99000000 |
Brokers Record: 10 | |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Gross commissions paid by the Fund for the reporting period | 8215.59000000 |
b. Aggregate brokerage commissions paid by Fund during the reporting period: | 133130.73000000 |
Item C.17. Principal transactions.
a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
Principal Transactions Record: 1 | |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 283351412.08000000 |
Principal Transactions Record: 2 | |
i. Full name of dealer | JPMorgan Chase & Co. |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 5162289.98000000 |
Principal Transactions Record: 3 | |
i. Full name of dealer | Societe Generale |
ii. SEC file number | 8-49963 |
iii. CRD number | 000042731 |
iv. LEI, if any | O2RNE8IBXP4R0TD8PU41 |
v. State, if applicable | |
vi. Foreign country, if applicable | FRANCE |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 16697918.81000000 |
Principal Transactions Record: 4 | |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 48047718.12000000 |
Principal Transactions Record: 5 | |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 22666275.47000000 |
Principal Transactions Record: 6 | |
i. Full name of dealer | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 30812182.78000000 |
Principal Transactions Record: 7 | |
i. Full name of dealer | BlackRock Funds III - BlackRock Cash Funds: Treasury |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 00000000000000000000 |
v. State, if applicable | CALIFORNIA |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 163845510.00000000 |
Principal Transactions Record: 8 | |
i. Full name of dealer | Bank Of America Merrill Lynch Securities Inc |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 0000000000 |
v. State, if applicable | NEW YORK |
vi. Foreign country, if applicable | UNITED STATES OF AMERICA |
vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 34325981.10000000 |
b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 1573117928.03000000 |
Item C.18. Payments for brokerage and research.
During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ![]() ![]() |
Item C.19. Average net assets.
a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 673240995.94230770 |
b. Provide the money market fund's daily average net assets during the reporting period |
Item C.20. Lines of credit, interfund lending and interfund borrowing.
a. Does the Fund have available a line of credit? | ![]() ![]() |
b. Did the Fund engage in interfund lending? | ![]() ![]() |
c.Did the Fund engage in interfund borrowing? | ![]() ![]() |
Item C.21. Swing pricing.
For open-end management investment companies, respond to the following: |
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ![]() ![]() |
N-CEN:Part E: Additional Questions for Exchange-Traded Funds and Exchange-Traded Managed Funds
Exchange Record: 1 |
Fund Name | iShares MSCI Emerging Markets Asia ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NASDAQ - ALL MARKETS |
b. Ticker. Provide the Fund's ticker symbol: | EEMA |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 7640120.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 221281706.45000000 |
Authorized Participants Record: 6 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 7223181.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 143052656.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 50000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 100.00000000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.00000000 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 11.51857142 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.48292264 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 88.48142857 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.48292264 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 0.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 18544.70588235 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 0.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 18544.70588235 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 15000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 36133.44714285 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 15000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 36133.44714285 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 2 |
Fund Name | iShares MSCI Emerging Markets ex China ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NASDAQ - ALL MARKETS |
b. Ticker. Provide the Fund's ticker symbol: | EMXC |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 50000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.00000000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.00000000 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.00000000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.00000000 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 0.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 0.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 0.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 0.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 3 |
Fund Name | iShares MSCI Russia ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | ERUS |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 88401316.70000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 10299634.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 8550779.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 93875632.35000000 |
Authorized Participants Record: 18 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 24030479.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 94335483.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 188143967.35000000 |
Authorized Participants Record: 34 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 13217767.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 50000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 26.59411764 % |
ii. The standard deviation of the percentage of that value composed of cash: | 35.13222933 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 73.40588235 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 35.13222933 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 17.74423076 % |
ii. The standard deviation of the percentage of that value composed of cash: | 2.15300380 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 82.25576923 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 2.15300380 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1894.11764705 |
3. A percentage of the value of each creation unit, if charged on that basis: | 2287.18823529 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1894.11764705 |
3. A percentage of the value of each creation unit, if charged on that basis: | 2287.18823529 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 2300.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 2184.11346153 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 2300.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 2184.11346153 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 4 |
Fund Name | iShares MSCI Israel ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | EIS |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 7726938.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 15507108.30000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 7764162.70000000 |
Authorized Participants Record: 25 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 14914268.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 50000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 1.65000000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 3.32066258 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 98.35000000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 3.32066258 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.16750000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.08381527 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.83250000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.08381527 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 3300.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 3300.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 3300.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 3300.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 5 |
Fund Name | iShares MSCI South Korea ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | EWY |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 7331939.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 10242826.05000000 |
Authorized Participants Record: 8 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 195678727.40000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 65987452.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 36659696.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 183195373.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 309251559.70000000 |
Authorized Participants Record: 25 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 50000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 31.63538461 % |
ii. The standard deviation of the percentage of that value composed of cash: | 38.97733050 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 68.36461538 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 38.97733050 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 9.75785714 % |
ii. The standard deviation of the percentage of that value composed of cash: | 1.65719029 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 90.24214285 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 1.65719029 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 3076.92307692 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 3076.92307692 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 4000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 4000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 6 |
Fund Name | iShares MSCI Emerging Markets ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | EEM |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 20663867.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 206638668.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 204695694.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 4814826162.35000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 8568360607.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 247966402.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 20663867.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 19729522.80000000 |
Authorized Participants Record: 34 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 20663867.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 450000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 18.76309523 % |
ii. The standard deviation of the percentage of that value composed of cash: | 33.56810655 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 81.23690476 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 33.56810655 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 5.89825396 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.36582447 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 94.10174603 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.36582447 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 6826.19047619 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 6826.19047619 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 7700.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 7700.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 7 |
Fund Name | iShares Core MSCI Emerging Markets ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | IEMG |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 33206144.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 99618433.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 33206144.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 897351458.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 265649155.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 13143728138.20000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 138468074.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 600000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 10.66755102 % |
ii. The standard deviation of the percentage of that value composed of cash: | 22.93302328 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 89.33244897 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 22.93302328 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.00000000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.00000000 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 14418.36734693 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 14418.36734693 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 0.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 0.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 8 |
Fund Name | iShares Edge MSCI Min Vol Global ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | BATS Z-EXCHANGE |
b. Ticker. Provide the Fund's ticker symbol: | ACWV |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 384621287.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 296775978.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 8548732.80000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 184068770.60000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 403876538.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 462355736.80000000 |
Authorized Participants Record: 29 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 100000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 30.10571428 % |
ii. The standard deviation of the percentage of that value composed of cash: | 47.74783724 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 69.89428571 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 47.74783724 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 1.81166666 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.69816425 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 98.18833333 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.69816425 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 3142.85714285 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 3142.85714285 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 3500.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 3500.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 9 |
Fund Name | iShares MSCI Turkey ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NASDAQ - ALL MARKETS |
b. Ticker. Provide the Fund's ticker symbol: | TUR |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 25391776.55000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 8352944.40000000 |
Authorized Participants Record: 2 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 216651747.90000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 61242928.65000000 |
Authorized Participants Record: 3 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 73351392.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 26038580.95000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 53148605.10000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 12614968.50000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 4261664.80000000 |
Authorized Participants Record: 22 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 5754229.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 50000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 2.69822222 % |
ii. The standard deviation of the percentage of that value composed of cash: | 14.85294358 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 97.30177777 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 14.85294358 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.10571428 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.05402482 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.89428571 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.05402482 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1564.44444444 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1563.63636363 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1600.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1600.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 10 |
Fund Name | iShares MSCI Chile ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | BATS Z-EXCHANGE |
b. Ticker. Provide the Fund's ticker symbol: | ECH |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 24910947.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 12560010.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 6737629.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 25936096.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 141834092.65000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 208616209.80000000 |
Authorized Participants Record: 43 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 29905744.15000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 4447398.50000000 |
Authorized Participants Record: 45 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 50000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.11318181 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.10421527 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.88681818 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.10421527 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.14740740 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.14755944 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.85259259 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.14755944 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 3000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 3000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 3000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 3000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 11 |
Fund Name | iShares MSCI Global Metals & Mining Producers ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | BATS Z-EXCHANGE |
b. Ticker. Provide the Fund's ticker symbol: | PICK |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 175482257.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 75637912.20000000 |
Authorized Participants Record: 2 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 6455972.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 13592258.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 117765641.25000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 147815785.05000000 |
Authorized Participants Record: 36 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 50000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 1.09500000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.82581548 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 98.90500000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.82581548 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 1.84647058 % |
ii. The standard deviation of the percentage of that value composed of cash: | 1.57657437 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 98.15352941 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 1.57657437 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 8414.70588235 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 8414.70588235 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 8400.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 8400.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 12 |
Fund Name | iShares MSCI Sweden ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | EWD |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 63978758.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 103598126.53000000 |
Authorized Participants Record: 5 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 7794680.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 72329383.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 5176299.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 5196976.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 5006930.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 66434642.80000000 |
Authorized Participants Record: 23 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 15960271.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 27291642.43000000 |
Authorized Participants Record: 27 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 15238824.75000000 |
Authorized Participants Record: 37 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 9218294.70000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 75000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 25.65000000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 45.88982862 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 74.35000000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 45.88982862 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 1.60096774 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.83763299 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 98.39903225 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.83763299 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 975.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 975.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1300.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1300.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 13 |
Fund Name | iShares MSCI Eurozone ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | BATS Z-EXCHANGE |
b. Ticker. Provide the Fund's ticker symbol: | EZU |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 984763196.50000000 |
Authorized Participants Record: 2 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 2156949570.40000000 |
Authorized Participants Record: 6 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 1704803365.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 1154328484.60000000 |
Authorized Participants Record: 10 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 26124248.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 1272501244.60000000 |
Authorized Participants Record: 12 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 259688454.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 20705122.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 905640863.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 873124308.40000000 |
Authorized Participants Record: 31 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 28349851.60000000 |
Authorized Participants Record: 43 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 202997496.40000000 |
Authorized Participants Record: 44 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 80596616.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 100000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 16.13192307 % |
ii. The standard deviation of the percentage of that value composed of cash: | 36.47120146 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 83.86807692 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 36.47120146 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 1.58115384 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.38208580 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 98.41884615 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.38208580 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 6346.15384615 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 6346.15384615 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 7500.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 7500.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 14 |
Fund Name | iShares MSCI USA Equal Weighted ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | EUSA |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 61876940.05000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 27094940.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 8422135.25000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 2787703.10000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 5150706.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 11064239.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 5209414.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 50000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.37238095 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.12609142 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.62761904 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.12609142 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.47142857 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.14859660 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.52857142 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.14859660 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1500.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1500.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1500.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1500.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 15 |
Fund Name | iShares MSCI Hong Kong ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | EWH |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 693269501.08000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 12660522.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 22020583.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 85061153.60000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 192441427.93000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 75000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 11.43772727 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.36233649 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 88.56227272 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.36233649 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 10.19000000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.00000000 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 89.81000000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 2363.63636363 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 2363.63636363 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 2000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 2000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 16 |
Fund Name | iShares MSCI Frontier 100 ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | FM |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 1646036.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 8234828.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 8054430.05000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 1470284.05000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 84457632.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 159877244.15000000 |
Authorized Participants Record: 33 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 50000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 71.00062500 % |
ii. The standard deviation of the percentage of that value composed of cash: | 26.49270099 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 28.99937500 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 26.49270099 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 52.51722222 % |
ii. The standard deviation of the percentage of that value composed of cash: | 1.48146511 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 47.48277777 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 1.48146511 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 3825.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 33894.24562500 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 3825.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 33894.24562500 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 6800.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 53426.19611111 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 6800.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 53426.19611111 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 17 |
Fund Name | iShares MSCI Japan Small-Cap ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | SCJ |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 251013100.10000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 286361761.90000000 |
Authorized Participants Record: 5 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 91121795.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 65359078.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 55338300.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 47064309.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 100000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 5.51173913 % |
ii. The standard deviation of the percentage of that value composed of cash: | 20.59900342 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 94.48826086 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 20.59900342 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 1.49230769 % |
ii. The standard deviation of the percentage of that value composed of cash: | 1.04198651 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 98.50769230 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 1.04198651 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 5739.13043478 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 5739.13043478 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 5538.46153846 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 5538.46153846 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 18 |
Fund Name | iShares MSCI Taiwan ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | EWT |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 280406591.20000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 43648336.80000000 |
Authorized Participants Record: 21 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 22457275.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 100000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 4.47500000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 1.06243477 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 95.52500000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 1.06243477 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 4.90000000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.00000000 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 95.10000000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 4500.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 4500.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 4500.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 4500.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 19 |
Fund Name | iShares MSCI Germany ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | EWG |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 157788856.70000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 570885249.10000000 |
Authorized Participants Record: 5 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 9191532.60000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 19699847.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 254778193.30000000 |
Authorized Participants Record: 18 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 37439176.20000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 38212899.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 105120141.60000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 30712668.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 440822969.60000000 |
Authorized Participants Record: 31 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 48188174.40000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 589754697.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 46663911.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 300000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 31.77312500 % |
ii. The standard deviation of the percentage of that value composed of cash: | 47.50729245 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 68.22687500 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 47.50729245 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.72571428 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.26153217 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.27428571 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.26153217 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1031.25000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1031.25000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1500.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1500.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 20 |
Fund Name | iShares MSCI Global Silver Miners ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | BATS Z-EXCHANGE |
b. Ticker. Provide the Fund's ticker symbol: | SLVP |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 3162740.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 5151158.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 2959239.70000000 |
Authorized Participants Record: 36 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 1052786.70000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 1806050.20000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 100000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.15000000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.06879922 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.85000000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.06879922 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.29250000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.13937359 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.70750000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.13937359 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 500.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 500.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 500.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 500.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 21 |
Fund Name | iShares MSCI France ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | EWQ |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 57819041.20000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 24936807.20000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 255780634.20000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 43256576.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 103787440.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 6139394.20000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 70734336.20000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 6139394.20000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 200000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 10.67500000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 30.55776677 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 89.32500000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 30.55776677 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.33333333 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.20033305 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.66666666 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.20033305 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 2610.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 2610.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 2900.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 2900.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 22 |
Fund Name | iShares MSCI Thailand ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | THD |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 28726762.90000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 27381631.20000000 |
Authorized Participants Record: 17 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 74262092.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 69707766.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 110314823.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 63535459.25000000 |
Authorized Participants Record: 43 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 50000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 2.39772727 % |
ii. The standard deviation of the percentage of that value composed of cash: | 3.41933289 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 97.60227272 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 3.41933289 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 4.62750000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 4.01544632 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 95.37250000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 4.01544632 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1700.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1700.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1700.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1700.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 23 |
Fund Name | iShares MSCI Australia ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | EWA |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 8956912.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 77101869.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 67628606.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 60013644.60000000 |
Authorized Participants Record: 10 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 8769722.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 231282213.20000000 |
Authorized Participants Record: 12 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 50469650.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 185603222.60000000 |
Authorized Participants Record: 15 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 4464413.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 13641604.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 41032146.60000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 44910109.80000000 |
Authorized Participants Record: 38 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 200000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 33.90000000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 48.82107238 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 66.10000000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 48.82107238 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.89263157 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.73580507 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.10736842 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.73580507 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1600.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1600.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 2400.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 2400.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 24 |
Fund Name | iShares MSCI Switzerland ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | EWL |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 13545326.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 51440894.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 34544079.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 69708872.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 25329190.50000000 |
Authorized Participants Record: 21 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 33407524.13000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 139292531.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 136093019.25000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 145833548.75000000 |
Authorized Participants Record: 30 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 34737684.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 12117051.75000000 |
Authorized Participants Record: 39 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 43255895.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 98189579.63000000 |
Authorized Participants Record: 43 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 125000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 9.26562500 % |
ii. The standard deviation of the percentage of that value composed of cash: | 24.23832886 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 90.73437500 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 24.23832886 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 3.36857142 % |
ii. The standard deviation of the percentage of that value composed of cash: | 1.79854409 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 96.63142857 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 1.79854409 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1406.25000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1406.25000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1500.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1500.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 25 |
Fund Name | iShares MSCI Italy ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | EWI |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 4379332.35000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 181413059.78000000 |
Authorized Participants Record: 6 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 122844458.63000000 |
Authorized Participants Record: 7 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 2295460.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 68547827.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 172488500.60000000 |
Authorized Participants Record: 16 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 38232673.50000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 2301830.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 30590462.61000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 75000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 23.74222222 % |
ii. The standard deviation of the percentage of that value composed of cash: | 43.23493604 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 76.25777777 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 43.23493604 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 2.22592592 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.47666517 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 97.77407407 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.47666517 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1088.88888888 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1088.88888888 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1400.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1400.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 26 |
Fund Name | iShares Currency Hedged MSCI Emerging Markets ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | BATS Z-EXCHANGE |
b. Ticker. Provide the Fund's ticker symbol: | HEEM |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 41972139.55000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 52295638.70000000 |
Authorized Participants Record: 2 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 25755822.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 5434111.45000000 |
Authorized Participants Record: 12 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 13091622.10000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 38194530.95000000 |
Authorized Participants Record: 13 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 17177043.80000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 2821366.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 1331372.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 1379824.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 50000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.38192307 % |
ii. The standard deviation of the percentage of that value composed of cash: | 1.05989063 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.61807692 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 1.05989063 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.32095238 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.89838691 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.67904761 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.89838691 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 500.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 500.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 500.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 500.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 27 |
Fund Name | iShares MSCI Emerging Markets Small-Cap ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | EEMS |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 40181524.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 14176770.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 5093583.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 83870493.10000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 91583841.30000000 |
Authorized Participants Record: 42 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 50000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 100.00000000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.00000000 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 12.99166666 % |
ii. The standard deviation of the percentage of that value composed of cash: | 8.07956785 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 87.00833333 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 8.07956785 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 0.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 10627.31578947 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 0.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 10627.31578947 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 10000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 8405.98333333 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 10000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 8405.98333333 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 28 |
Fund Name | iShares MSCI Colombia ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | ICOL |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 2165739.15000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 1515157.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 1535441.80000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 2297242.80000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 50000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.12000000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.03829708 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.88000000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.03829708 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.09000000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.00000000 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.91000000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 3600.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 3600.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 3600.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 3600.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 29 |
Fund Name | iShares MSCI World ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | URTH |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 35455539.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 53279107.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 8828827.60000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 8839722.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 100000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 27.32250000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 48.45969072 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 72.67750000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 48.45969072 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 2.73000000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.00000000 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 97.27000000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 11250.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 11250.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 15000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 15000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 30 |
Fund Name | iShares MSCI Austria ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | EWO |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 2324322.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 4523467.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 9678819.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 2373726.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 2387272.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 19006292.90000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 9669190.60000000 |
Authorized Participants Record: 34 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 2463384.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 59128774.80000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 161689659.50000000 |
Authorized Participants Record: 42 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 100000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 4.83565217 % |
ii. The standard deviation of the percentage of that value composed of cash: | 20.74954300 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 95.16434782 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 20.74954300 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.94885714 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.85799277 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.05114285 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.85799277 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 573.91304347 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 573.91304347 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 600.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 600.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 31 |
Fund Name | iShares MSCI Pacific ex Japan ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | EPP |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 56270009.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 13969030.50000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 14067502.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 42704271.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 43156049.80000000 |
Authorized Participants Record: 35 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 42591577.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 155540285.30000000 |
Authorized Participants Record: 41 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 56477606.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 29188699.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 154186202.30000000 |
Authorized Participants Record: 43 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 555053411.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 300000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 31.38000000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 46.90260973 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 68.62000000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 46.90260973 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 4.77142857 % |
ii. The standard deviation of the percentage of that value composed of cash: | 1.51970156 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 95.22857142 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 1.51970156 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 4357.14285714 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 4357.14285714 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 6000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 6000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 32 |
Fund Name | iShares MSCI BRIC ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | BKF |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 6389890.05000000 |
Authorized Participants Record: 4 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 18761004.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 108993283.70000000 |
Authorized Participants Record: 26 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 48345267.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 50000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 3.12555555 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.45683999 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 96.87444444 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.45683999 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 3.70250000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.52572244 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 96.29750000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.52572244 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 6177.77777777 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 6177.77777777 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 5900.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 5900.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 33 |
Fund Name | iShares MSCI Singapore ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | EWS |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 2567872.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 26185287.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 10593050.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 51483953.50000000 |
Authorized Participants Record: 15 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 27120179.95000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 11522300.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 165635598.95000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 190931325.40000000 |
Authorized Participants Record: 22 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 32067565.20000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 5275066.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 26379040.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 5381745.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 17355118.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 50000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 18.30322580 % |
ii. The standard deviation of the percentage of that value composed of cash: | 29.38106378 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 81.69677419 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 29.38106378 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 21.49740740 % |
ii. The standard deviation of the percentage of that value composed of cash: | 12.31265252 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 78.50259259 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 12.31265252 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1806.45161290 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1806.45161290 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 2000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 2000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 34 |
Fund Name | iShares MSCI Netherlands ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | EWN |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 7853331.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 26983549.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 1533461.65000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 12674802.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 6329223.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 33452780.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 48200189.90000000 |
Authorized Participants Record: 30 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 1586624.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 14331336.80000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 6216470.20000000 |
Authorized Participants Record: 43 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 4646156.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 31660969.40000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 50000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 16.93692307 % |
ii. The standard deviation of the percentage of that value composed of cash: | 36.93330754 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 83.06307692 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 36.93330754 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.81071428 % |
ii. The standard deviation of the percentage of that value composed of cash: | 1.67861419 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.18928571 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 1.67861419 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 846.15384615 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 846.15384615 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 35 |
Fund Name | iShares MSCI Global Agriculture Producers ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | VEGI |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 1432952.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 1430828.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 2942180.70000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 50000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 3.56000000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.65184353 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 96.44000000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.65184353 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 1.71000000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.00000000 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 98.29000000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 5266.66666666 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 5266.66666666 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 5100.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 5100.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 36 |
Fund Name | iShares Edge MSCI Multifactor Emerging Markets ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | BATS Z-EXCHANGE |
b. Ticker. Provide the Fund's ticker symbol: | EMGF |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 29765235.70000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 14421725.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 243266692.60000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 23818585.50000000 |
Authorized Participants Record: 41 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 100000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 16.65208333 % |
ii. The standard deviation of the percentage of that value composed of cash: | 32.23678765 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 83.34791666 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 32.23678765 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 1.96000000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 2.01007462 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 98.04000000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 2.01007462 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 8229.16666666 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 8229.16666666 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 3000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 3000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 37 |
Fund Name | iShares MSCI Spain ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | EWP |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 157884178.60000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 146605908.36000000 |
Authorized Participants Record: 5 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 4937456.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 265682540.53000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 710673560.70000000 |
Authorized Participants Record: 20 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 24750769.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 62310727.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 4569392.55000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 89669322.53000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 12466518.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 59791050.60000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 197762336.08000000 |
Authorized Participants Record: 34 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 7422632.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 75000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 16.91838709 % |
ii. The standard deviation of the percentage of that value composed of cash: | 32.54714612 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 83.08161290 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 32.54714612 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 3.64177777 % |
ii. The standard deviation of the percentage of that value composed of cash: | 1.63588353 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 96.35822222 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 1.63588353 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1354.83870967 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1354.83870967 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1500.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1500.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 38 |
Fund Name | iShares MSCI Japan ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | EWJ |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 1732747387.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 3624620612.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 1230651177.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 1014527747.70000000 |
Authorized Participants Record: 14 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 1158017071.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 587135848.35000000 |
Authorized Participants Record: 20 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 119857567.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 240122105.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 445011289.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 45284512.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 966716928.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 262434068.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 362333597.35000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 291596583.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 150000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 4.04371428 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.47583084 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 95.95628571 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.47583084 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 4.17048780 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.62915954 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 95.82951219 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.62915954 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 5000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 5000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 5000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 5000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 39 |
Fund Name | iShares MSCI South Africa ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | EZA |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 192911884.90000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 113427792.20000000 |
Authorized Participants Record: 13 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 11785016.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 6082569.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 7256570.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 6885794.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 76219584.50000000 |
Authorized Participants Record: 28 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 5870922.50000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 12252490.20000000 |
Authorized Participants Record: 35 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 6935829.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 100000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.13590909 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.07254943 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.86409090 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.07254943 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.34631578 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.46155787 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.65368421 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.46155787 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1200.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1200.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1200.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1200.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 40 |
Fund Name | iShares MSCI Canada ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | EWC |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 20188844.10000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 771123104.90000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 499476943.70000000 |
Authorized Participants Record: 6 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 34887391.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 48873020.40000000 |
Authorized Participants Record: 17 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 43232085.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 62048127.30000000 |
Authorized Participants Record: 21 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 48874667.30000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 20364420.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 111444439.80000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 37615843.20000000 |
Authorized Participants Record: 27 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 318402569.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 2827685.70000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 253113355.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 28897141.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 100000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 19.89806451 % |
ii. The standard deviation of the percentage of that value composed of cash: | 39.89140495 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 80.10193548 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 39.89140495 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.52800000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.31381303 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.47200000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.31381303 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1532.25806451 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1532.25806451 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1900.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1900.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 41 |
Fund Name | iShares MSCI Mexico ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | EWW |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 5003039.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 120280303.50000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 262675616.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 319338119.40000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 374932785.80000000 |
Authorized Participants Record: 13 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 25032598.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 74008564.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 436338116.60000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 453686912.70000000 |
Authorized Participants Record: 25 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 168816084.20000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 261672995.20000000 |
Authorized Participants Record: 29 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 4949140.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 114670215.40000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 61804111.60000000 |
Authorized Participants Record: 41 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 430771999.10000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 219866478.90000000 |
Authorized Participants Record: 42 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 100000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 3.53708333 % |
ii. The standard deviation of the percentage of that value composed of cash: | 17.41795932 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 96.46291666 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 17.41795932 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.46401960 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.43419724 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.53598039 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.43419724 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1356.25000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1355.78947368 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1400.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1400.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 42 |
Fund Name | iShares MSCI Global Gold Miners ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NASDAQ - ALL MARKETS |
b. Ticker. Provide the Fund's ticker symbol: | RING |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 872437.05000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 1781909.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 8092302.40000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 76434968.90000000 |
Authorized Participants Record: 12 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 65475357.05000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 55405483.90000000 |
Authorized Participants Record: 16 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 889715.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 1771862.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 869539.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 50000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 10.52863636 % |
ii. The standard deviation of the percentage of that value composed of cash: | 29.01818794 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 89.47136363 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 29.01818794 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.48222222 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.81875765 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.51777777 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.81875765 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 763.63636363 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 761.90476190 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 800.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 800.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 43 |
Fund Name | iShares MSCI Global Energy Producers ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | FILL |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 9262228.30000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 2061598.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 2308985.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 100000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.78500000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.22693611 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.21500000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.22693611 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 1.10500000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.30405591 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 98.89500000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.30405591 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 6225.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 6225.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 6100.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 6100.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 44 |
Fund Name | iShares Edge MSCI Min Vol Emerging Markets ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | BATS Z-EXCHANGE |
b. Ticker. Provide the Fund's ticker symbol: | EEMV |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 23779938.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 17486022.30000000 |
Authorized Participants Record: 11 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 17785017.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 760142678.50000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 237124547.60000000 |
Authorized Participants Record: 45 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 100000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 7.02962962 % |
ii. The standard deviation of the percentage of that value composed of cash: | 18.59568301 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 92.97037037 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 18.59568301 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 3.99600000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 1.73384832 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 96.00400000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 1.73384832 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 6188.88888888 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 6188.88888888 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 4880.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 4880.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 45 |
Fund Name | iShares MSCI Brazil ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | EWZ |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 211004461.90000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 67669472.05000000 |
Authorized Participants Record: 14 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 274544006.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 292343267.80000000 |
Authorized Participants Record: 25 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 42256987.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 123560163.65000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 303020297.50000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 256057871.45000000 |
Authorized Participants Record: 38 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 11892048.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 97531037.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 1128423179.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 572944588.80000000 |
Authorized Participants Record: 40 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 7924808.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 1598331.40000000 |
Authorized Participants Record: 42 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 1925680.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 50000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 15.80976190 % |
ii. The standard deviation of the percentage of that value composed of cash: | 34.78950356 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 84.19023809 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 34.78950356 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 1.92785714 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.30358789 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 98.07214285 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.30358789 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 2057.14285714 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 2057.14285714 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 2400.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 2400.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 46 |
Fund Name | iShares MSCI EM ESG Optimized ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NASDAQ - ALL MARKETS |
b. Ticker. Provide the Fund's ticker symbol: | ESGE |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 3 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 48420148.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 241635879.80000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 34756524.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 3402774.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 100000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 12.13307692 % |
ii. The standard deviation of the percentage of that value composed of cash: | 25.88472750 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 87.86692307 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 25.88472750 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 1.44750000 % |
ii. The standard deviation of the percentage of that value composed of cash: | 2.70397700 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 98.55250000 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 2.70397700 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 10969.23076923 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 10969.23076923 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 3100.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 4133.33333333 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 47 |
Fund Name | iShares MSCI Belgium ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | EWK |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 1611301.76000000 |
Authorized Participants Record: 3 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 13514295.68000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 9997088.40000000 |
Authorized Participants Record: 6 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 1660721.92000000 |
Authorized Participants Record: 20 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 3525883.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 5102106.56000000 |
Authorized Participants Record: 25 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 5275636.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 13513548.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 1547317.04000000 |
Authorized Participants Record: 45 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 80000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.30888888 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.06936217 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.69111111 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.06936217 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 0.56333333 % |
ii. The standard deviation of the percentage of that value composed of cash: | 0.50413442 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.43666666 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.50413442 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 700.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 700.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 700.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 700.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
Exchange Record: 48 |
Fund Name | iShares MSCI Malaysia ETF |
Item E.1. Exchange.
Security Exchanges Record: 1 | |
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: | NYSE ARCA |
b. Ticker. Provide the Fund's ticker symbol: | EWM |
Item E.2. Authorized participants.
Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
For each authorized participant of the Fund, provide the following information: |
Authorized Participants Record: 1 | |
a. Full Name | NATIONAL BANK OF CANADA FINANCIAL INC. |
b. SEC file number | 8-39947 |
c. CRD number | 000022698 |
d. LEI, if any | 549300R6OJCZ1R8P6U58 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 2 | |
a. Full Name | Credit Suisse Securities (USA) LLC |
b. SEC file number | 8-422 |
c. CRD number | 000000816 |
d. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 227911054.31000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 179050976.73000000 |
Authorized Participants Record: 3 | |
a. Full Name | BNP Paribas Securities Corp. |
b. SEC file number | 8-32682 |
c. CRD number | 000015794 |
d. LEI, if any | RCNB6OTYUAMMP879YW96 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 4 | |
a. Full Name | ING Financial Markets LLC |
b. SEC file number | 8-43978 |
c. CRD number | 000028872 |
d. LEI, if any | KBVRJ5K57JZ3E2AVWX40 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 5 | |
a. Full Name | Cowen Execution Services LLC |
b. SEC file number | 8-46838 |
c. CRD number | 000035693 |
d. LEI, if any | 5493005RJDJD18OPUP27 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 6 | |
a. Full Name | Itau BBA USA Securities, Inc. |
b. SEC file number | 8-53702 |
c. CRD number | 000118817 |
d. LEI, if any | 5493008E85XK12EKYI22 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 7 | |
a. Full Name | Wells Fargo Securities, LLC |
b. SEC file number | 8-22947 |
c. CRD number | 000007665 |
d. LEI, if any | VYVVCKR63DVZZN70PB21 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 8 | |
a. Full Name | ABN AMRO Securities (USA) LLC |
b. SEC file number | 8-68398 |
c. CRD number | 000151796 |
d. LEI, if any | 549300FIFV1CB6HD9A14 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 9 | |
a. Full Name | STIFEL NICOLAUS & CO INC. |
b. SEC file number | 8-1447 |
c. CRD number | 000000793 |
d. LEI, if any | 5WUVMA08EYG4KEUPW589 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 10 | |
a. Full Name | Virtu Financial BD LLC |
b. SEC file number | 8-68015 |
c. CRD number | 000148390 |
d. LEI, if any | 54930088MP91YZQJT494 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 11 | |
a. Full Name | CIBC World Markets Corp. |
b. SEC file number | 8-18333 |
c. CRD number | 000000630 |
d. LEI, if any | 549300445CON3DBMU275 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 12 | |
a. Full Name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 13 | |
a. Full Name | Timber Hill LLC |
b. SEC file number | 8-28569 |
c. CRD number | 000033319 |
d. LEI, if any | 549300ENR8YMEK2RVE28 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 14 | |
a. Full Name | Barclays Capital Inc. |
b. SEC file number | 8-41342 |
c. CRD number | 000019714 |
d. LEI, if any | AC28XWWI3WIBK2824319 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 15 | |
a. Full Name | Pershing LLC |
b. SEC file number | 8-17574 |
c. CRD number | 000007560 |
d. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 16 | |
a. Full Name | UBS Securities LLC |
b. SEC file number | 8-22651 |
c. CRD number | 000007654 |
d. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 17 | |
a. Full Name | MITSUBISHI UFJ SECURITIES (USA) INC. |
b. SEC file number | 8-43026 |
c. CRD number | 000019685 |
d. LEI, if any | K5HU16E3LMSVCCJJJ255 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 18 | |
a. Full Name | Nomura Securities International, Inc. |
b. SEC file number | 8-15255 |
c. CRD number | 000004297 |
d. LEI, if any | OXTKY6Q8X53C9ILVV871 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 19 | |
a. Full Name | HSBC Securities (USA) Inc. |
b. SEC file number | 8-41562 |
c. CRD number | 000019585 |
d. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 20 | |
a. Full Name | Merrill Lynch Professional Clearing Corp. |
b. SEC file number | 8-33359 |
c. CRD number | 000016139 |
d. LEI, if any | 549300PMHS66E71I2D34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 21 | |
a. Full Name | HRT Financial LLC |
b. SEC file number | 8-68430 |
c. CRD number | 000152144 |
d. LEI, if any | 21380037YFKONTT23854 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 22 | |
a. Full Name | BNY Mellon Capital Markets, LLC |
b. SEC file number | 8-35255 |
c. CRD number | 000017454 |
d. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 23 | |
a. Full Name | BMO Capital Markets Corp. |
b. SEC file number | 008-34344 |
c. CRD number | 000016686 |
d. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 24 | |
a. Full Name | Banca IMI Securities Corp. |
b. SEC file number | 8-37444 |
c. CRD number | 000019418 |
d. LEI, if any | V48XYRSNOB3HY0J4NK61 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 25 | |
a. Full Name | Morgan Stanley & Co. LLC |
b. SEC file number | 8-15869 |
c. CRD number | 000008209 |
d. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 26 | |
a. Full Name | STATE STREET GLOBAL MARKETS, LLC |
b. SEC file number | 8-69862 |
c. CRD number | 000285852 |
d. LEI, if any | 549300FDEDF5ORXCMQ56 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 27 | |
a. Full Name | Virtu Americas LLC |
b. SEC file number | 8-68193 |
c. CRD number | 000149823 |
d. LEI, if any | 549300RA02N3BNSWBV74 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 28 | |
a. Full Name | Deutsche Bank Securities Inc. |
b. SEC file number | 8-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 29 | |
a. Full Name | Cantor Fitzgerald & Co. |
b. SEC file number | 8-201 |
c. CRD number | 000000134 |
d. LEI, if any | 5493004J7H4GCPG6OB62 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 30 | |
a. Full Name | J.P. MORGAN SECURITIES LLC |
b. SEC file number | 8-35008 |
c. CRD number | 000000079 |
d. LEI, if any | 549300BRNI54SX6NX725 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 31 | |
a. Full Name | ITG Inc. |
b. SEC file number | 8-44218 |
c. CRD number | 000029299 |
d. LEI, if any | 549300S41SMIODVIT266 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 32 | |
a. Full Name | Daiwa Capital Markets America Inc. |
b. SEC file number | 8-12242 |
c. CRD number | 000001576 |
d. LEI, if any | M67H5PRC0NQKM73ZAS82 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 33 | |
a. Full Name | Citadel Securities LLC |
b. SEC file number | 8-53574 |
c. CRD number | 000116797 |
d. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 34 | |
a. Full Name | ABN AMRO Clearing Chicago LLC |
b. SEC file number | 8-34354 |
c. CRD number | 000014020 |
d. LEI, if any | 549300U16G4LU3V6C598 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 35 | |
a. Full Name | Scotia Capital (USA) Inc. |
b. SEC file number | 8-3716 |
c. CRD number | 000002739 |
d. LEI, if any | 549300BLWPABP1VNME36 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 36 | |
a. Full Name | Natixis Securities Americas LLC |
b. SEC file number | 8-719 |
c. CRD number | 000001101 |
d. LEI, if any | 549300L8G1E7ZHVEOG75 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 37 | |
a. Full Name | RBS SECURITIES INC. |
b. SEC file number | 8-37135 |
c. CRD number | 000011707 |
d. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 38 | |
a. Full Name | SG Americas Securities, LLC |
b. SEC file number | 8-66125 |
c. CRD number | 000128351 |
d. LEI, if any | 549300F35UE0BOM1WJ55 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 39 | |
a. Full Name | Wedbush Securities Inc. |
b. SEC file number | 8-12987 |
c. CRD number | 000000877 |
d. LEI, if any | 549300CSX55MXZ47EI78 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 40 | |
a. Full Name | RBC Capital Markets, LLC |
b. SEC file number | 8-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 41 | |
a. Full Name | Citigroup Global Markets Inc. |
b. SEC file number | 8-8177 |
c. CRD number | 000007059 |
d. LEI, if any | MBNUM2BPBDO7JBLYG310 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 42 | |
a. Full Name | Mizuho Securities USA LLC |
b. SEC file number | 8-37710 |
c. CRD number | 000019647 |
d. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 43 | |
a. Full Name | Industrial and Commercial Bank of China Financial Services LLC |
b. SEC file number | 8-66471 |
c. CRD number | 000131487 |
d. LEI, if any | 5493003O0P1GJ0O8CI80 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 44 | |
a. Full Name | Jane Street Capital, LLC |
b. SEC file number | 8-52275 |
c. CRD number | 000103782 |
d. LEI, if any | 549300ZM16HMPEPNV857 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 7146644.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 45 | |
a. Full Name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 0.00000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 0.00000000 |
Authorized Participants Record: 46 | |
a. Full Name | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
b. SEC file number | 8-7221 |
c. CRD number | 000007691 |
d. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: | 137967936.48000000 |
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: | 85211224.75000000 |
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ![]() ![]() |
Item E.3. Creation units.
Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 75000.00000000 |
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 5.84347826 % |
ii. The standard deviation of the percentage of that value composed of cash: | 14.79250158 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 94.15652173 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 14.79250158 % |
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
i. The average percentage of that value composed of cash: | 10.11941176 % |
ii. The standard deviation of the percentage of that value composed of cash: | 6.06598161 % |
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 89.88058823 % |
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 6.06598161 % |
d. For creation units purchased by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 4891.30434782 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 4891.30434782 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
e. For creation units redeemed by authorized participants during the reporting period, provide: |
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 5000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 5000.00000000 |
3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000 % |
Item E.5. In-Kind ETF.
Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ![]() ![]() |
N-CEN:Part G: Attachments
Item G.1a. Attachments.
Attachments applicable to all Registrants. All Registrants shall file the following attachments, as applicable, with the current report. Indicate the attachments filed with the current report by checking the applicable items below: | ![]() ![]() ![]() ![]() ![]() ![]() |
Instructions. 1. Item G.1.a.i. Legal proceedings. (a) If the Registrant responded "YES" to Item B.11.a., provide a brief description of the proceedings. As part of the description, provide the case or docket number (if any), and the full names of the principal parties to the proceeding. (b) If the Registrant responded "YES" to Item B.11.b., identify the proceeding and give its date of termination. 2. Item G.1.a.ii. Provision of financial support. If the Registrant responded "YES" to Item B.14., provide the following information (unless the Registrant is a Money Market Fund): (a) Description of nature of support. (b) Person providing support. (c) Brief description of relationship between the person providing support and the Registrant. (d) Date support provided. (e) Amount of support. (f) Security supported (if applicable). Disclose the full name of the issuer, the title of the issue (including coupon or yield, if applicable) and at least two identifiers, if available (e.g., CIK, CUSIP, ISIN, LEI). (g) Value of security supported on date support was initiated (if applicable). (h) Brief description of reason for support. (i) Term of support. (j) Brief description of any contractual restrictions relating to support. 3. Item G.1.a.iii. Independent public accountant's report on internal control (management investment companies other than small business investment companies only). Each management investment company shall furnish a report of its independent public accountant on the company's system of internal accounting controls. The accountant's report shall be based on the review, study and evaluation of the accounting system, internal accounting controls, and procedures for safeguarding securities made during the audit of the financial statements for the reporting period. The report should disclose any material weaknesses in: (a) the accounting system; (b) system of internal accounting control; or (c) procedures for safeguarding securities which exist as of the end of the Registrant's fiscal year. The accountant's report shall be furnished as an exhibit to the form and shall: (1) be addressed to the Registrant's shareholders and board of directors; (2) be dated; (3) be signed manually; and (4) indicate the city and state where issued. Attachments that include a report that discloses a material weakness should include an indication by the Registrant of any corrective action taken or proposed. The fact that an accountant's report is attached to this form shall not be regarded as acknowledging any review of this form by the independent public accountant. 4. Item G.1.a.iv. Change in accounting principles and practices. If the Registrant responded "YES" to Item B.21, provide an attachment that describes the change in accounting principles or practices, or the change in the method of applying any such accounting principles or practices. State the date of the change and the reasons therefor. A letter from the Registrant's independent accountants, approving or otherwise commenting on the change, shall accompany the description. 5. Item G.1.a.v. Information required to be filed pursuant to exemptive orders. File as an attachment any information required to be reported on Form N-CEN or any predecessor form to Form N-CEN (e.g., Form N-SAR) pursuant to exemptive orders issued by the Commission and relied on by the Registrant. 6. Item G.1.a.vi. Other information required to be included as an attachment pursuant to Commission rules and regulations. File as an attachment any other information required to be included as an attachment pursuant to Commission rules and regulations. |
N-CEN: Signature
Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. | ||
Registrant | iShares, Inc. | |
Date | 2018-11-12 | |
Signature | Jack Gee | |
Title | Treasurer |