154 additional ETPs are now added to our ETP coverage. This includes 19 Global Equity ETFs, 17 US equity ETFs, 9 US Fixed Income ETFs, and 88 Exchange Traded Notes (ETNs). We now cover 2854 ETPs and 122 US and global indexes. Please note that ETNs do not have constituents, but they are included in several other reports.
To download the current holding file with no signup or commitment, click here. This file is about 230 MB and is safe to download. Let me know if I can help at lc@masterdata.com.
One Hundred Fifty–Four additional ETPs are now included in the ConstituentData42.csv File, ETFDATA42.csv file, and Fundamentals file as follows:
| ETF Symbol | ETF Name | Holdings | ETF Type | Summary |
|---|---|---|---|---|
| DECT | AllianzIM U.S. Large Cp Buffer10 Dec ETF | n/a | US Option Based ETF | The investment seeks to match at the end of the current Outcome Period the share price returns of the SPDR® S&P 500® ETF Trust up to a specified upside Cap while providing a Buffer against the first 10% of Underlying ETF losses. Specifically the Advisor intends to invest substantially all of its assets in FLEX Options that reference the Underlying ETF. FLEX Options are customized equity or index options contracts that trade on an exchange but provide investors with the ability to customize key contract terms like exercise prices styles and expiration dates. It is non-diversified. |
| FEBT | AllianzIM U.S. Large Cp Buffer10 Feb ETF | n/a | US Option Based ETF | The investment seeks to match at the end of the current Outcome Period the share price returns of the SPDR® S&P 500® ETF Trust up to a specified upside Cap while providing a Buffer against the first 10% of Underlying ETF losses. Under normal market conditions the fund invests at least 80% of its net assets in instruments with economic characteristics similar to U.S. large cap equity securities. FLEX Options are customized equity or index options contracts that trade on an exchange but provide investors with the ability to customize key contract terms like exercise prices styles and expiration dates. It is non-diversified. |
| DECW | AllianzIM U.S. Large Cp Buffer20 Dec ETF | n/a | US Option Based ETF | The investment seeks to match at the end of the current Outcome Period the share price returns of the SPDR® S&P 500® ETF Trust up to a specified upside Cap while providing a Buffer against the first 20% of Underlying ETF losses. Specifically the Advisor intends to invest substantially all of its assets in FLexible EXchange Options (FLEX Options) that reference the Underlying ETF. FLEX Options are customized equity or index options contracts that trade on an exchange but provide investors with the ability to customize key contract terms like exercise prices styles and expiration dates. It is non-diversified. |
| FEBW | AllianzIM U.S. Large Cp Buffer20 Feb ETF | n/a | US Option Based ETF | The investment seeks to match at the end of the current Outcome Period the share price returns of the SPDR® S&P 500® ETF Trust up to a specified upside Cap while providing a Buffer against the first 20% of Underlying ETF losses. Under normal market conditions the fund invests at least 80% of its net assets in instruments with economic characteristics similar to U.S. large cap equity securities. FLEX Options are customized equity or index options contracts that trade on an exchange but provide investors with the ability to customize key contract terms like exercise prices styles and expiration dates. It is non-diversified. |
| BOXX | Alpha Architect 1-3 Month Box ETF | 12 | US Option Based ETF | The investment seeks to provide investment results that before fees and expenses equals or exceeds the price and yield performance of an investment that tracks the 1-3 month sector of the United States Treasury Bill market. Under normal market conditions the fund generally invests substantially all but at least 80% of its total assets in the Box Spreads such that the weighted average maturity of the Box Spreads based upon expiration dates is less than 90 days. The principal investment strategy of the fund will be to utilize an exchange-listed options strategy called a box spread (Box Spread). |
| TGN | AXS Brendan Wood TopGun ETF | 25 | US Equity ETF | The investment seeks to track the performance before fees and expenses of the Brendan Wood TopGun Index. Under normal circumstances at least 80% of the funds net assets plus borrowings for investment purposes will be invested in the component securities of the index. The index generally contains approximately 25 TopGun companies. To the extent the index concentrates (i.e. holds more than 25% of its total assets) in the securities of a particular industry the fund will concentrate its investments to approximately the same extent as the index. It is non-diversified. |
| THCX | AXS Cannabis ETF | 25 | US Equity ETF | The investment seeks to provide investment results that before fees and expenses correspond generally to the total return performance of the Innovation Labs Cannabis Index. The fund will invest at least 80% of its total assets in the component securities of the index. It will also invest under normal circumstances at least 80% of its net assets plus borrowings for investment purposes in exchange listed common stock (or corresponding American Depositary Receipts ('ADRs') of Cannabis Companies. The index is a proprietary rules-based index designed to track the performance of a portfolio of Cannabis Companies. The fund is non-diversified. |
| WUGI | AXS Esoterica NextG Economy ETF | 28 | US Equity ETF | The investment seeks capital appreciation. The fund is an actively-managed ETF that will invest under normal circumstances at least 80% of its total assets in domestic and foreign equity securities of companies whose economic fortunes are significantly tied to the fifth generation digital cellular network technology ('5G') enabled digital economy including companies involved in the production of 5G technology and companies that may benefit from the use of 5G. The fund is non-diversified. |
| CLOA | BlackRock AAA CLO ETF | 24 | US Fixed Income ETF | The investment seeks to provide capital preservation and current income by investing principally in a portfolio composed of U.S. dollar-denominated AAA?rated collateralized loan obligations (CLOs). The fund seeks to achieve its investment objective by investing under normal circumstances at least 80% of its assets in U.S. dollar-denominated CLOs that are at the time of purchase rated AAA (or equivalent) by at least one of the major rating agencies or if unrated determined by the fund management team to be of similar quality. The fund may invest in CLOs of any maturity. It is non-diversified. |
| BKGI | BNY Mellon Global Infras Inc ETF | 27 | Global Equity ETF | The investment seeks long-term total return (consisting of capital growth and income). To pursue its goal the fund normally invests at least 80% of its net assets (plus the amount of any borrowings for investment purposes) in securities issued by dividend-paying infrastructure companies. The fund invests in securities of companies located throughout the world including in the United States. Under normal market conditions the fund will invest at least 40% of its net assets unless market conditions are deemed unfavorable by Newton (and in all cases at least 30% of its net assets) in foreign companies. It is non-diversified. |
| RHCB | BNY Mellon Responsible Hrzns Corp Bd ETF | 228 | Global Fixed Income ETF | The investment seeks total return consisting of capital appreciation and income. The fund normally invests at least 80% of its net assets plus the amount of any borrowings for investment purposes in corporate debt securities issued by companies that demonstrate attractive investment attributes and attractive business practices based on an environmental social and governance (ESG) evaluation methodology. The fund normally invests primarily in fixed-income securities rated at the time of purchase investment grade or the unrated equivalent as determined by the fund's sub-adviser. |
| BKSE | BNY Mellon US Small Cap Core Equity ETF | 772 | US Equity ETF | The investment seeks to track the performance of the Morningstar US Small Cap IndexSM. Under normal circumstances the fund generally invests in all of the stocks in the index in proportion to their weighting in the index. The index is a float-adjusted market capitalization weighted index designed to measure the performance of U.S. small-capitalization stocks. It is non-diversified. |
| GCE | Claymore CEF GS Connect ETN | n/a | ETN | The investment seeks to replicate net of expenses the Claymore CEF Index. The index measures the performance of a basket of closed-end funds selected and weighted based on a predefined set of criteria such as liquidity distributions and market valuation among other factors. |
| INFR | Franklin ClearBridge Sustainable Infrastructure ETF | n/a | Global Equity ETF | The investment seeks to track the investment results of the RARE Global Infrastructure Index (the 'underlying index'). The fund will invest at least 80% of its net assets plus borrowings for investment purposes if any in securities that compose its underlying index. The underlying index is composed of equity securities in developed and developing markets that are included in the MSCI ACWI All Cap Index. Companies in the MSCI ACWI All Cap Index are screened to include only companies within the Global Industry Classification Standard (GICS) sub-industries and are classified into infrastructure sectors. |
| FEUL | Credit Suisse FI Enh Eurp 50 ETN FEUL | n/a | ETN | The investment seeks to provide a quarterly compounded 2x leveraged exposure to the STOXX Europe 50 USD (Gross Return) Index (the index ) reduced by the applicable ETN Fees. The ETNs are medium-term note the return on which is linked to the performance of the index on a leveraged basis. The index is composed of the equity securities of 50 blue-chip European companies by free-float market capitalization selected from within the STOXX Europe 600 Index (the parent index ). |
| FLGE | Credit Suisse FI Large Cap Gr Enh ETN | n/a | ETN | The investment seeks a leveraged return linked to the performance of the Russell 1000 Growth Index Total Return (the index ) an index that seeks to track the performance of the large-cap growth segment of the U.S. equity market. The ETNs are subject to a leverage factor of 2.0 but the effective leverage will vary with changes in the Closing Indicative Value of the ETNs since the previous Rebalance Event. |
| MLPO | Credit Suisse S&P MLP ETN | n/a | ETN | The investment seeks to provide exposure to the price return version of the S&P MLP Index (the index ). The index includes both master limited partnerships and publicly traded limited liability companies. In addition the ETNs allow investors the potential to receive quarterly coupons that generally reflect the net cash distributions made by the index constituents reduced by the application of the fees. |
| GLDI | Credit Suisse X-Links Gold Cov Call ETN | n/a | ETN | The investment seeks to replicate net of expenses the Credit Suisse NASDAQ Gold FLOWSTM 103 Index. The index measures the return of a covered call strategy on the shares of the SPDR Gold Trust (the GLD Shares ) by reflecting changes in the price of the GLD Shares and the notional option premiums received from the sale of monthly call options on the GLD Shares less notional trading costs incurred in connection with the covered call strategy. |
| SLVO | Credit Suisse X-Links Silver CovCall ETN | n/a | ETN | The investment seeks a return linked to the performance of the Credit Suisse NASDAQ Silver FLOWSTM 106 Index. The index measures the return of a covered call strategy on the shares of the iShares Silver Trust (the SLV Shares ) by reflecting changes in the price of the SLV Shares and the notional option premiums received from the notional sale of monthly call options on the SLV Shares less notional transaction costs incurred in connection with the covered call strategy. |
| USOI | Credit Suisse X-Lnks Crde OlShrsCvCllETN | n/a | ETN | The investment seeks a return linked to the performance of the price return version of the Credit Suisse Nasdaq WTI Crude Oil FLOWSTM 106 Index (the index ). The index measures the return of a covered call strategy on the shares of the United States Oil Fund LP (the USO Fund and such shares the USO Shares ) by reflecting changes in the price of the USO Shares and the notional option premiums received from the notional sale of monthly call options on the USO Shares less the Notional Transaction Costs incurred in connection with the implementation of the covered call strategy. |
| AGF | DB Agriculture Long ETN | n/a | ETN | The investment seeks to replicate as closely as possible before fees and expenses the price and yield performance of the Deutsche Bank Liquid Commodity index - Optimum Yield Agriculture. The fund is a senior unsecured obligation. The index is composed of roughly equal percentages of corn wheat soybean and sugar futures contracts. |
| DPU | DB Commodity Long ETN | n/a | ETN | The investment seeks to replicate net of expenses the Deutsche Bank Liquid Commodity Index - Optimum Yield. The index is intended to reflect changes in the market value of certain commodity futures contracts based on crude oil heating oil corn wheat gold and aluminum. The T-Bill Index is intended to approximate the returns from investing in 3-month United States Treasury bills on a rolling basis. |
| OLOXF | DB Crude Oil Long ETN | n/a | ETN | The investment seeks to track the price and yield performance before fees and expenses of the Deutsche Bank Liquid Commodity index - Optimum Yield Oil Excess Return. The index is a rules-based index composed of futures contracts on light sweet crude oil (WTI) and is intended to reflect the performance of crude oil. |
| FIEG | DB FI Enhanced Global High Yield ETN | n/a | ETN | The investment seeks a return Linked to the MSCI World High Dividend Yield USD Gross Total Return Index due October 12 2023 (the securities ). |
| DFCF | Dimensional Core Fixed Income ETF | 1903 | US Fixed Income ETF | Dimensional Core Fixed Income ETF is an exchange-traded fund incorporated in the USA. The Fund will seek total return comprised of income and capital appreciation through exposure to a broad portfolio of U.S. and foreign investment grade fixed income securities. |
| DFGR | Dimensional Global Real Estate ETF | 411 | Global Equity ETF | The investment seeks to achieve long-term capital appreciation. The Portfolio using a market capitalization weighted approach purchases a broad and diverse set of securities of U.S. and non-U.S. companies principally engaged in the real estate industry including developed and emerging markets with a particular focus on real estate investment trusts (REITs) and companies the Advisor considers to be REIT-like entities. The Portfolio invests in companies of all sizes. |
| DFSB | Dimensional Global Sstby Fxd Inc ETF | 319 | Global Fixed Income ETF | The investment seeks to maximize total returns from the universe of debt securities in which the Portfolio invests.; total return is comprised of income and capital appreciation. The fund invests in a broad portfolio of investment grade debt securities (e.g. rated BBB? or above by S&P or Fitch or Baa3 or above by Moodys of U.S. and non?U.S. corporate and government issuers including mortgage-backed securities while excluding or underweighting securities of corporate and certain non?sovereign government issuers based upon the Portfolios sustainability impact considerations. |
| DFIP | Dimensional Inflation-Protected Sec ETF | 13 | US Fixed Income ETF | Dimensional Inflation-Protected Securities ETF is an exchange-traded fund incorporated in the USA. The Fund will see inflation protection and earn current income through investing in inflation-protected securities issued by the U.S. Government and its agencies. |
| DFNM | Dimensional National Municipal Bond ETF | 799 | US Fixed Income ETF | Dimensional National Municipal Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to provide current income exempt from federal personal income tax through investing primarily in a universe of investment grade municipal securities. |
| DFSD | Dimensional Short-Duration Fixed Inc ETF | 934 | US Fixed Income ETF | Dimensional Short-Duration Fixed Income ETF is an exchange-traded fund incorporated in the USA. The Fund will seek total return comprised of income and capital apprecation through exposure to a broad portfolio of U.S. and foreign corporate debt securities with an investment grade rating. |
| DFAR | Dimensional US Real Estate ETF | 135 | US Equity ETF | The portfolio using a market capitalization weighted approach will concentrate investments in readily marketable equity securities of companies whose principal activities include ownership management development construction or sale of residential commercial or industrial real estate. The Portfolio will principally invest in equity securities of companies in certain REITs and companies engaged in residential construction and firms except partnerships whose principal business is to develop commercial property. |
| FTBD | Fidelity Tactical Bond ETF | 104 | Global Fixed Income ETF | The investment seeks a high level of current income; growth of capital may also be considered. The fund invests at least 80% of assets in debt securities of all types and repurchase agreements for those securities. The advisor allocates assets across the full spectrum of the debt market including investment-grade high yield and emerging markets debt securities across different maturities. The fund invests in both U.S. dollar-denominated and non-U.S. dollar-denominated securities and generally hedging the fund's foreign currency exposures utilizing forward foreign currency exchange contracts. |
| FMET | Fidelity® Metaverse ETF | 44 | US Equity ETF | The investment seeks to provide investment returns that correspond before fees and expenses generally to the performance of the Fidelity Metaverse IndexSM. The fund normally invests at least 80% of assets in securities included in the index and in depositary receipts representing securities included in the index. The index is designed to reflect the performance of a global universe of companies that develop manufacture distribute or sell products or services related to establishing and enabling the Metaverse. The fund is non-diversified. |
| FSBD | Fidelity® Sustainable Core Plus Bond ETF | 156 | US Fixed Income ETF | The investment seeks a high level of current income. The fund normally invests at least 80% of assets in debt securities of all types that the Adviser believes have positive environmental social and governance (ESG) characteristics and repurchase agreements for those securities. It invests up to 20% of assets in lower-quality debt securities (those of less than investment-grade quality also referred to as high yield debt securities or junk bonds). The fund invests in domestic and foreign issuers. |
| FSLD | Fidelity® Sustainable Low Dur Bd ETF | 47 | Global Fixed Income ETF | The investment seeks to obtain a high level of current income consistent with preservation of capital. The fund normally invests at least 80% of assets in investment-grade debt securities (those of medium and high quality) of all types that the Adviser believes have positive environmental social and governance (ESG) characteristics and repurchase agreements for those securities. The advisor normally maintains a dollar-weighted average maturity of two years or less. The fund allocates assets across different market sectors and maturities. |
| LALT | First Trust Multi-Strat Alt ETF | 4 | US Fund of Funds ETF | The investment seeks long-term total return. The fund is an actively managed exchange-traded fund (ETF) that seeks to achieve its investment objective by allocating its assets amongst a variety of alternative asset categories and strategies in an effort to provide lower correlation and diversifying risk exposures compared to traditional equity and fixed income benchmarks (e.g. the S&P 500® Index or Bloomberg Aggregate Bond Index) over various market cycles. The fund is non-diversified. |
| FEEM | FlexShares ESG & Clmt Em Mkts Cr | 268 | Global Equity ETF | The investment seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Northern Trust ESG & Climate Emerging Markets Core IndexSM. The index is designed to reflect the performance of a selection of companies that exhibit certain ESG characteristics while also seeking to provide broad-market core exposure to publicly traded equity securities issued by companies domiciled in emerging market countries. The fund will invest at least 80% of its total assets in the securities of the index and in ADRs and GDRs based on the securities in the index. It is non-diversified. |
| DVAL | Franklin BrandywineGLOBAL-Dynamic US Large Cap Value ETF | 122 | US Equity ETF | The investment seeks long-term capital appreciation by quantitatively investing in U.S. equities. The fund will only invest in U.S. traded companies which may include companies incorporated outside the U.S. which conduct a significant portion of their activities in the U.S. and are considered U.S. companies in the Russell U.S. indices. In addition under normal market conditions the fund invests at least 80% of its net assets in equity securities of large capitalization companies or other instruments with similar economic characteristics. The fund may have significant positions in particular sectors from time to time. |
| INFR | Franklin ClearBridge Sustainable Infrastructure ETF | n/a | Global Equity ETF | The investment seeks to track the investment results of the RARE Global Infrastructure Index (the 'underlying index'). The fund will invest at least 80% of its net assets plus borrowings for investment purposes if any in securities that compose its underlying index. The underlying index is composed of equity securities in developed and developing markets that are included in the MSCI ACWI All Cap Index. Companies in the MSCI ACWI All Cap Index are screened to include only companies within the Global Industry Classification Standard (GICS) sub-industries and are classified into infrastructure sectors. |
| FLRU | Franklin FTSE Russia ETF | 37 | Global Equity ETF | The investment seeks to provide investment results that closely correspond before fees and expenses to the performance of the FTSE Russia RIC Capped Index (the FTSE Russia Capped Index). Under normal market conditions the fund invests at least 80% of its assets in the component securities of the FTSE Russia Capped Index and in depositary receipts representing such securities. The FTSE Russia Capped Index is based on the FTSE Russia Index and is designed to measure the performance of Russian large- and mid-capitalization stocks. The fund is non-diversified. |
| MCSE | Franklin Martin Currie Sustainable International Equity ETF | 23 | Global Equity ETF | The investment seeks long-term capital appreciation. Under normal market conditions the fund invests at least 80% of its net assets in equity and equity-related securities of foreign companies and other investments with similar economic characteristics that meet the sub-advisors environmental social and governance (ESG) criteria for the fund. The fund may seek investment opportunities in any foreign country and under normal market conditions will invest in or have exposure to securities of companies located in at least three foreign countries. It is non-diversified. |
| FGLD | Franklin Responsibly Sourced Gold ETF | n/a | Commodity Based ETF | The investment seeks to reflect the performance of the price of gold bullion less the expenses of the funds operations. The assets of the fund include only gold bullion and cash if any. The fund is not a proxy for investing in physical gold. Rather the Shares are intended to provide a cost-effective means of obtaining investment exposure through the securities markets that is similar to an investment in gold. |
| BITS | Global X Blockchain & Bitcoin Str ETF | 3 | US Derivative Based ETF | The investment seeks long-term capital appreciation. The fund is an actively managed ETF that seeks to achieve its investment objective by investing directly or indirectly in equity securities of U.S. and non-U.S. Blockchain Companies and in long positions in U.S. listed bitcoin futures contracts. Under normal circumstances the fund will invest at least 80% of its net assets plus the amount of any borrowings for investment purposes in Blockchain Companies and in long positions on U.S. listed Bitcoin Futures contracts. It is non-diversified. |
| DJIA | Global X Dow 30 Covered Call ETF | 28 | US Equity ETF | The investment seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of the DJIA Cboe BuyWrite v2 Index. The index measures the performance of a covered call strategy that holds a theoretical portfolio of the underlying stocks of the Dow Jones Industrial Average® (the 'reference index') and 'writes' (or sells) a succession of one-month at-the-money (ATM) covered call options on the Reference Index. The fund invests in the securities reflected in the index and cannot invest directly in the index itself. The fund is non-diversified. |
| GRNR | Global X Green Building ETF | 86 | Global Equity ETF | The investment seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of the Solactive Green Building Index?. The fund invests at least 80% of its total assets plus borrowings for investments purposes (if any) in the securities of the index and in ADRs and GDRs based on the securities in the index. The index is designed to provide exposure to companies that are positioned to benefit from increased demand for buildings that reduce or eliminate negative impacts and/or create positive impacts on the natural environment (Green Building). The fund is non-diversified. |
| TYLG | Global X Information Tch Cvd Cll&Gr ETF | 75 | US Equity ETF | The investment seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of the Cboe S&P Technology Select Sector Half BuyWrite Index. The index measures the performance of a partially covered call strategy that holds a theoretical portfolio of the securities of the Information Technology Select Sector Index. The fund invests in the securities reflected in theindex or in investments that have economic characteristics that are substantially identical to the economic characteristics of such component securities and cannot invest directly in the index itself. It is non-diversified. |
| RATE | Global X Interest Rate Hedge ETF | 7 | US Derivative Based ETF | The investment seeks to provide a hedge against sharp increases in long-term U.S. interest rates and is expected to benefit during periods of market stress when interest rate volatility is elevated. The fund is an actively managed exchange traded fund that seeks to achieve its investment objective primarily by investing in (1) long put options position(s) on exchange traded funds that primarily invest in U.S. Treasuries and/or long put options position(s) on U.S. Treasury futures and/or (2) long interest rate payer swap options (swaptions). The fund is non-diversified. |
| IRVH | Global X Interest Rt Vol & Infl Hdg ETF | 16 | US Option Based ETF | The investment seeks to hedge relative interest rate movements arising from a steepening of the U.S. interest rate curve and to benefit from periods of market stress when interest rate volatility increases while also providing inflation-protected income. The fund is an actively managed exchange traded fund (ETF) that seeks to achieve its investment objective primarily by investing directly or indirectly in a mix of U.S. Treasury Inflation-Protected Securities (TIPS) and long yield curve spread options which are tied to the shape of the U.S. interest rate curve. It is non-diversified. |
| VR | Global X Metaverse ETF | 41 | Global Equity ETF | The investment seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of the Global X Metaverse Index. The fund invests at least 80% of its net assets plus the amount of any borrowings for investment purposes in the securities of the index and in American Depositary Receipts ('ADRs') and Global Depositary Receipts ('GDRs') based on the securities in the index. The index is designed to provide exposure to companies that are positioned to benefit from the development and commercialization of the metaverse. The fund is non-diversified. |
| RYLG | Global X Russell 2000 Cov Cl & Gr ETF | n/a | US Option Based ETF | The investment seeks investment results that correspond generally to the price and yield performance of the Cboe Russell 2000 Half BuyWrite Index. The fund invests at least 80% of its net assets in the securities of the index or in investments that have economic characteristics that are substantially identical to the economic characteristics of such component securities either individually or in the aggregate. The index measures the performance of a covered call strategy that holds a theoretical portfolio of the underlying stocks of the Russell 2000 Index and 'writes' (or sells) a succession of one-month ATM covered call options on the Reference Index. |
| GEMD | Goldman Sachs Access Emrg Mkts USD BdETF | 204 | Global Fixed Income ETF | The investment seeks to provide investment results that closely correspond before fees and expenses to the performance of the FTSE Goldman Sachs Emerging Markets USD Bond Index (the index). The fund seeks to invest at least 80% of its assets in securities included in its underlying index. The index is a rules-based index that is designed to measure the performance of investment grade and high yield bonds issued by emerging market governments or quasi-government entities denominated in U.S. dollars (USD) that meet certain liquidity governance and fundamental screening criteria. |
| GLOV | Goldman Sachs ActBt Wld Lw Vl Ps Eq ETF | 397 | Global Equity ETF | The investment seeks to provide investment results that closely correspond before fees and expenses to the performance of the Goldman Sachs ActiveBeta® World Low Vol Plus Equity Index (the Index). The fund seeks to achieve its investment objective by investing at least 80% of its assets in securities included in its underlying index in depositary receipts representing securities included in its underlying index and in underlying stocks in respect of depositary receipts included in its underlying index. The index is designed to deliver exposure to large- and mid-capitalization equity securities of developed market issuers including the United States. |
| GUSA | Goldman Sachs MarketBeta US 1000 Eq ETF | 1012 | US Equity ETF | The investment seeks to provide investment results that closely correspond to the performance of the Solactive GBS United States 1000 Index (the Index). The fund seeks to invest at least 80% of its assets in securities included in its underlying index in depositary receipts representing securities included in its underlying index and in underlying stocks in respect of depositary receipts included in its underlying index. The index is designed to measure the performance of equity securities of large and mid?capitalization equity issuers covering approximately the largest 1000 of the free-float market capitalization in the U.S. |
| HAPI | Harbor Corporate Culture ETF | 151 | US Equity ETF | The investment seeks to provide investment results that correspond before fees and expenses to the performance of the CIBC Human Capital Index. The fund invests at least 80% of its total assets in securities that are included in the index. The index consists of a modified market capitalization-weighted portfolio of equity securities of approximately 150 U.S. companies identified by Irrational Capital LLC (Irrational Capital) as those the advisor believes to possess strong corporate culture based on its proprietary scoring methodology. |
| GDIV | Harbor Dividend Growth Leaders ETF | 37 | US Equity ETF | The investment seeks long-term growth of capital. Under normal market conditions the fund invests at least 80% of its net assets plus borrowings for investment purposes in dividend-paying equity securities. The fund invests primarily in equity securities principally common and preferred stocks of large capitalization companies with a history of paying dividends or as determined by the Subadvisers analysis the ability to increase dividends in the future. |
| MEDI | Harbor Health Care ETF | n/a | Global Equity ETF | The investment seeks long-term growth of capital. The fund invests primarily in equity securities principally common and preferred stocks of companies of any market capitalization. Under normal market conditions the fund invests at least 80% of its net assets plus borrowings for investment purposes in securities of companies principally engaged in the research development production or distribution of products and services related to the health care industry (health care companies). It is non-diversified. |
| OSEA | Harbor International Compounders ETF | n/a | Global Equity ETF | The investment seeks long-term growth of capital. The fund invests primarily in equity securities of non-U.S. companies including those located in emerging market countries. The fund may also invest in depositary receipts. The fund may invest in foreign currencies and may engage in other foreign currency transactions for investment or hedging purposes. It is non-diversified. |
| WINN | Harbor Long-Term Growers ETF | 74 | US Equity ETF | The investment seeks long-term growth of capital. The fund invests primarily in equity securities principally common and preferred stocks of U.S. companies that the sub-adviser believes to have above-average prospects for long-term growth. The fund may invest up to 20% of its total assets in the securities of foreign issuers including issuers located or doing business in emerging markets. The fund is non-diversified. |
| PGDDF | iPath Asian & Gulf Ccy Reval ETN | n/a | ETN | iPath Asian and Gulf Currency Revaluation ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying strategy which reflects the total return of US dollar investments in 5 currencies: CNY HKD SGD SAR and AED. |
| JJA | iPath B Bloomberg Agltr Ttl Ret ETN | n/a | ETN | The investment seeks return linked to the performance of the Bloomberg Agriculture Subindex Total ReturnSM. The ETN offers exposure to futures contracts and not direct exposure to the physical commodities. The index is composed of one or more futures contracts on the relevant commodity (the index components ) and is intended to reflect the returns that are potentially available through (1) an unleveraged investment in those contracts plus (2) the rate of interest that could be earned on cash collateral invested in specified Treasury Bills. |
| JJU | iPath B Bloomberg Aluminum Ttl Ret ETN | n/a | ETN | The investment seeks return linked to the performance of the Bloomberg Aluminum Subindex Total ReturnSM. The ETN offers exposure to futures contracts and not direct exposure to the physical commodities. The index is composed of one or more futures contracts on the relevant commodity (the index components ) and is intended to reflect the returns that are potentially available through (1) an unleveraged investment in those contracts plus (2) the rate of interest that could be earned on cash collateral invested in specified Treasury Bills. |
| JO | iPath B Bloomberg Coffee Ttl Ret ETN | n/a | ETN | The investment seeks return linked to the performance of the Bloomberg Coffee Subindex Total ReturnSM. The ETN offers exposure to futures contracts and not direct exposure to the physical commodities. The index is composed of one or more futures contracts on the relevant commodity (the index components ) and is intended to reflect the returns that are potentially available through (1) an unleveraged investment in those contracts plus (2) the rate of interest that could be earned on cash collateral invested in specified Treasury Bills. |
| JJC | iPath B Bloomberg Copper Ttl Ret ETN | n/a | ETN | The investment seeks return linked to the performance of the Bloomberg Copper Subindex Total ReturnSM. The ETN offers exposure to futures contracts and not direct exposure to the physical commodities. The index is composed of one or more futures contracts on the relevant commodity (the index components ) and is intended to reflect the returns that are potentially available through (1) an unleveraged investment in those contracts plus (2) the rate of interest that could be earned on cash collateral invested in specified Treasury Bills. |
| BAL | iPath B Bloomberg Cotton Ttl Ret ETN | n/a | ETN | The investment seeks return linked to the performance of the Bloomberg Cotton Subindex Total ReturnSM. The ETN offers exposure to futures contracts and not direct exposure to the physical commodities. The index is composed of one or more futures contracts on the relevant commodity (the index components ) and is intended to reflect the returns that are potentially available through (1) an unleveraged investment in those contracts plus (2) the rate of interest that could be earned on cash collateral invested in specified Treasury Bills. |
| JJE | iPath B Bloomberg Engy Ttl Ret ETN | n/a | ETN | The investment seeks return linked to the performance of the Bloomberg Energy Subindex Total ReturnSM. The ETN offers exposure to futures contracts and not direct exposure to the physical commodities. The index is composed of one or more futures contracts on the relevant commodity (the index components ) and is intended to reflect the returns that are potentially available through (1) an unleveraged investment in those contracts plus (2) the rate of interest that could be earned on cash collateral invested in specified Treasury Bills. |
| JJG | iPath B Bloomberg Grains Ttl Ret ETN | n/a | ETN | The investment seeks return linked to the performance of the Bloomberg Grains Subindex Total ReturnSM. The ETN offers exposure to futures contracts and not direct exposure to the physical commodities. The index is composed of one or more futures contracts on the relevant commodity (the index components ) and is intended to reflect the returns that are potentially available through (1) an unleveraged investment in those contracts plus (2) the rate of interest that could be earned on cash collateral invested in specified Treasury Bills. |
| JJM | iPath B Bloomberg Indl Mtls Ttl Ret ETN | n/a | ETN | The investment seeks return linked to the performance of the Bloomberg Industrial Metals Subindex Total ReturnSM. The ETN offers exposure to futures contracts and not direct exposure to the physical commodities. The index is composed of one or more futures contracts on the relevant commodity (the index components ) and is intended to reflect the returns that are potentially available through (1) an unleveraged investment in those contracts plus (2) the rate of interest that could be earned on cash collateral invested in specified Treasury Bills. |
| COW | iPath B Bloomberg Lvstck Ttl Ret ETN | n/a | ETN | The investment seeks return linked to the performance of the Bloomberg Livestock Subindex Total ReturnSM. The ETN offers exposure to futures contracts and not direct exposure to the physical commodities. The index is composed of one or more futures contracts on the relevant commodity (the index components ) and is intended to reflect the returns that are potentially available through (1) an unleveraged investment in those contracts plus (2) the rate of interest that could be earned on cash collateral invested in specified Treasury Bills. |
| JJN | iPath B Bloomberg Nickel Ttl Ret ETN | n/a | ETN | The investment seeks return linked to the performance of the Bloomberg Nickel Subindex Total ReturnSM. The ETN offers exposure to futures contracts and not direct exposure to the physical commodities. The index is composed of one or more futures contracts on the relevant commodity (the index components ) and is intended to reflect the returns that are potentially available through (1) an unleveraged investment in those contracts plus (2) the rate of interest that could be earned on cash collateral invested in specified Treasury Bills. |
| PGM | iPath B Bloomberg Platinum Ttl Ret ETN | n/a | ETN | The investment seeks return linked to the performance of the Bloomberg Platinum Subindex Total ReturnSM. The ETN offers exposure to futures contracts and not direct exposure to the physical commodities. The index is composed of one or more futures contracts on the relevant commodity (the index components ) and is intended to reflect the returns that are potentially available through (1) an unleveraged investment in those contracts plus (2) the rate of interest that could be earned on cash collateral invested in specified Treasury Bills. |
| JJP | iPath B Bloomberg Prec Mtls Ttl Ret ETN | n/a | ETN | The investment seeks return linked to the performance of the Bloomberg Precious Metals Subindex Total ReturnSM. The ETN offers exposure to futures contracts and not direct exposure to the physical commodities. The index is composed of one or more futures contracts on the relevant commodity (the index components ) and is intended to reflect the returns that are potentially available through (1) an unleveraged investment in those contracts plus (2) the rate of interest that could be earned on cash collateral invested in specified Treasury Bills. |
| JJS | iPath B Bloomberg Softs Ttl Ret ETN | n/a | ETN | The investment seeks return linked to the performance of the Bloomberg Softs Subindex Total ReturnSM. The ETN offers exposure to futures contracts and not direct exposure to the physical commodities. The index is composed of one or more futures contracts on the relevant commodity (the index components ) and is intended to reflect the returns that are potentially available through (1) an unleveraged investment in those contracts plus (2) the rate of interest that could be earned on cash collateral invested in specified Treasury Bills. |
| SGG | iPath B Bloomberg Sugar Ttl Ret ETN | n/a | ETN | The investment seeks return linked to the performance of the Bloomberg Sugar Subindex Total ReturnSM. The ETN offers exposure to futures contracts and not direct exposure to the physical commodities. The index is composed of one or more futures contracts on the relevant commodity (the index components ) and is intended to reflect the returns that are potentially available through (1) an unleveraged investment in those contracts plus (2) the rate of interest that could be earned on cash collateral invested in specified Treasury Bills. |
| JJT | iPath B Bloomberg Tin Ttl Ret ETN | n/a | ETN | The investment seeks return linked to the performance of the Bloomberg Tin Subindex Total ReturnSM. The ETN offers exposure to futures contracts and not direct exposure to the physical commodities. The index is composed of one or more futures contracts on the relevant commodity (the index components ) and is intended to reflect the returns that are potentially available through (1) an unleveraged investment in those contracts plus (2) the rate of interest that could be earned on cash collateral invested in specified Treasury Bills. |
| JJATF | iPath Bloomberg Agriculture SubTR ETN | n/a | ETN | iPath Bloomberg Agriculture Subindex Total Return ETN is an exchange-traded note incorporated in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index the Bloomberg Agriculture Total Return Index. |
| JJUFF | iPath Bloomberg Aluminum SubTR ETN | n/a | ETN | iPath Bloomberg Aluminum Total Return Sub-Index ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index the Bloomberg Aluminum Total Return Sub-Index. |
| DJP | iPath Bloomberg Cmdty TR ETN | n/a | ETN | The investment seeks to provide investors with exposure to the Dow Jones-UBS Commodity Index Total ReturnService Mark. The Dow Jones-UBS Commodity Index Total ReturnService Mark (the 'index') reflects the returns that are potentially available through an unleveraged investment in the futures contracts on physical commodities comprising the index plus the rate of interest that could be earned on cash collateral invested in specified Treasury Bills. The index is a rolling index rebalancing annually. |
| DJP | iPath Bloomberg Cmdty TR ETN | n/a | ETN | The investment seeks to provide investors with exposure to the Dow Jones-UBS Commodity Index Total ReturnService Mark. The Dow Jones-UBS Commodity Index Total ReturnService Mark (the 'index') reflects the returns that are potentially available through an unleveraged investment in the futures contracts on physical commodities comprising the index plus the rate of interest that could be earned on cash collateral invested in specified Treasury Bills. The index is a rolling index rebalancing annually. |
| NIB | iPath Bloomberg Cocoa SubTR ETN | n/a | ETN | The investment seeks to provide investors with exposure to the Jones-UBS Cocoa Subindex Total ReturnService Mark. The Dow Jones-UBS Cocoa Subindex Total ReturnService Mark (the 'index') reflects the returns that are potentially available through an unleveraged investment in the futures contracts on cocoa. The index currently consists of one futures contract on the commodity of cocoa which is included in the Dow Jones-UBS Commodity Index Total ReturnService Mark. |
| JJOFF | iPath Bloomberg Coffee SubTR ETN | n/a | ETN | iPath Bloomberg Coffee Total Return Sub-Index ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index the Bloomberg Coffee Total Return Sub-Index. |
| JJCTF | iPath Bloomberg Copper SubTR ETN | n/a | ETN | iPath Bloomberg Copper Subindex Total Return ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index the Bloomberg Copper Total Return Sub-Index. |
| BALTF | iPath Bloomberg Cotton SubTR ETN | n/a | ETN | iPath Bloomberg Cotton Total Return Sub-Index ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index the Bloomberg Cotton Total Return Sub-Index. |
| JJETF | iPath Bloomberg Energy SubTR ETN | n/a | ETN | iPath Bloomberg Energy Total Return Sub-Index ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index the Bloomberg Energy Total Return Sub-Index. |
| JJETF | iPath Bloomberg Energy SubTR ETN | n/a | ETN | iPath Bloomberg Energy Total Return Sub-Index ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index the Bloomberg Energy Total Return Sub-Index. |
| JJGTF | iPath Bloomberg Grains SubTR ETN | n/a | ETN | The investment seeks to provide investors with exposure to the Dow Jones-UBS Grains Subindex Total ReturnService Mark. The Dow Jones-UBS Grains Subindex Total ReturnService Mark (the 'index') reflects the returns that are potentially available through an unleveraged investment in the futures contracts on grains commodities. The index is currently composed of three futures contracts on grains which are included in the Dow Jones-UBS Commodity Index Total ReturnService Mark. |
| JJMTF | iPath Bloomberg Ind Metals SubTR ETN | n/a | ETN | iPath Bloomberg Industrial Metals Total Return Sub-Index ETN is an exchange traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index the Bloomberg Industrial Metals Sub-Index |
| LD | iPath Bloomberg Lead SubTR ETN | n/a | ETN | The investment seeks to provide investors with exposure to the Dow Jones-UBS Lead Subindex Total ReturnService Mark. The Dow Jones-UBS Lead Subindex Total ReturnService Mark (the 'index') reflects the returns that are potentially available through an unleveraged investment in the futures contracts on lead. The index currently consists of one futures contract on the commodity of lead which is included in the Dow Jones-UBS Commodity Index Total ReturnService Mark. |
| COWTF | iPath Bloomberg Livestock SubTR ETN | n/a | ETN | iPath Bloomberg Livestock Total Return Sub-Index ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index the Bloomberg Livestock Total Return Sub-Index. |
| GAZZF | iPath Bloomberg Natural Gas SubTR ETN | n/a | ETN | Path Bloomberg Natural Gas Subindex Total Return ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index the Bloomberg Natural Gas Total Return Index. |
| GAZ | iPath Bloomberg Natural Gas SubTR ETN B | n/a | ETN | The investment seeks to linked to the performance of the Bloomberg Natural Gas Subindex Total ReturnSM (the index ). The index is a sub-index of the Bloomberg Commodity Index Total ReturnSM (the Commodity Index or the BCOM Index ). The index is composed of one or more futures contracts on commodity of natural gas (the index components ) and is intended to reflect the returns that are potentially available through (1) an unleveraged investment in those contracts plus (2) the rate of interest that could be earned on cash collateral invested in specified Treasury Bills. |
| JJNTF | iPath Bloomberg Nickel SubTR ETN | n/a | ETN | iPath Bloomberg Nickel Total Return Sub-Index ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index the Bloomberg Nickel Total Return Sub-Index. |
| PGMFF | iPath Bloomberg Platinum SubTR ETN | n/a | ETN | iPath Bloomberg Platinum Total Return Sub-Index ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index the Bloomberg Platinum Total Return Sub-Index. |
| JJPFF | iPath Bloomberg Prec Metals SubTR ETN | n/a | ETN | iPath Bloomberg Precious Metals Total Return Sub-Index ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index the Bloomberg Metals Total Return Sub-Index. |
| JJSSF | iPath Bloomberg Softs SubTR ETN | n/a | ETN | iPath Bloomberg Softs Subindex Total Return ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index the Bloomberg Softs Total Return Index. |
| SGGFF | iPath Bloomberg Sugar SubTR ETN | n/a | ETN | iPath Bloomberg Sugar Subindex Total Return ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index the Bloomberg Sugar Total Return Sub-Index. |
| JJTFF | iPath Bloomberg Tin SubTR ETN | n/a | ETN | iPath Bloomberg Tin Total Return Sub-Index ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index the Bloomberg Tin Total Return Sub-Index. |
| EROTF | iPath EUR/USD Exchange Rate ETN | n/a | ETN | iPath EUR/USD Exchange Rate ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of Euro/USD exchange rate defined as the number (or fraction) of U.S. dollars that can be purchased for one Euro. |
| EROTF | iPath EUR/USD Exchange Rate ETN | n/a | ETN | iPath EUR/USD Exchange Rate ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of Euro/USD exchange rate defined as the number (or fraction) of U.S. dollars that can be purchased for one Euro. |
| EROTF | iPath EUR/USD Exchange Rate ETN | n/a | ETN | iPath EUR/USD Exchange Rate ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of Euro/USD exchange rate defined as the number (or fraction) of U.S. dollars that can be purchased for one Euro. |
| GBB | iPath GBP/USD Exchange Rate ETN | n/a | ETN | iPATH GBP/USD Exchange Rate ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the Great British Pound/USD exchange rate defined as the number (or fraction) of U.S. dollars that can be purchased for one Great British Pound. |
| GBB | iPath GBP/USD Exchange Rate ETN | n/a | ETN | iPATH GBP/USD Exchange Rate ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the Great British Pound/USD exchange rate defined as the number (or fraction) of U.S. dollars that can be purchased for one Great British Pound. |
| GBBEF | iPath GBP/USD Exchange Rate ETN | n/a | ETN | iPATH GBP/USD Exchange Rate ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the Great British Pound/USD exchange rate defined as the number (or fraction) of U.S. dollars that can be purchased for one Great British Pound. |
| AYTEF | iPath GEMS Asia 8 ETN | n/a | ETN | iPath GEMS Asia 8 ETN is an exchange-traded note issued in the USA. The Notes will provide investors with monthly coupons and a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index which reflects the total return of US dollar investments in 8 currencies: CNY IDR INR KRW PHP THB MYR and TWD. |
| JEMTF | iPath GEMS ETN | n/a | ETN | iPath GEMS Index ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index the Barclays Global Emerging Markets Strategy (GEMS) Index which reflects the total return of U.S. dollar investments in the 15 emerging market currencies. |
| GRNTF | iPath Global Carbon ETN | n/a | ETN | iPath Global Carbon ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index the Barclays Capital Global Carbon Index Total Return. |
| GBUG | iPath Gold ETN | n/a | ETN | The investment seeks to linked to the performance of the Barclays Gold 3 Month Index Total Return. The index is calculated on a total return basis and is intended to reflect (1) the performance of a rolling position in specified gold futures contracts that will become the first liquid nearby futures contracts three months in the future in accordance with a specified schedule and (2) the return that corresponds to the weekly announced interest rate for specified 3-month U.S. Treasury bills. The ETNs are medium-term notes that are senior unsecured debt obligations of Barclays Bank PLC. |
| JYNFF | iPath JPY/USD Exchange Rate ETN | n/a | ETN | iPath JPY/USD Exchange Rate ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the Japanese Yen/USD exchange rate defined as the number (or fraction) of U.S. dollars that can be purchased for one Japanese Yen. |
| JYNFF | iPath JPY/USD Exchange Rate ETN | n/a | ETN | iPath JPY/USD Exchange Rate ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the Japanese Yen/USD exchange rate defined as the number (or fraction) of U.S. dollars that can be purchased for one Japanese Yen. |
| JYNFF | iPath JPY/USD Exchange Rate ETN | n/a | ETN | iPath JPY/USD Exchange Rate ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the Japanese Yen/USD exchange rate defined as the number (or fraction) of U.S. dollars that can be purchased for one Japanese Yen. |
| ICITF | iPath Optimized Currency Carry ETN | n/a | ETN | iPath Optimized Currency Carry ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index the Barclays Intelligent Carry Index which attempts to capture returns potentially available from the 'carry trade' in G10 currencies. |
| ICITF | iPath Optimized Currency Carry ETN | n/a | ETN | iPath Optimized Currency Carry ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index the Barclays Intelligent Carry Index which attempts to capture returns potentially available from the 'carry trade' in G10 currencies. |
| ICITF | iPath Optimized Currency Carry ETN | n/a | ETN | iPath Optimized Currency Carry ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index the Barclays Intelligent Carry Index which attempts to capture returns potentially available from the 'carry trade' in G10 currencies. |
| BCM | iPath Pure Beta Broad Commodity ETN | n/a | ETN | The investment seeks to provide investors with exposure to the Barclays Commodity Index Pure Beta Total Return. The Barclays Commodity Index Pure Beta Total Return (the 'index') is comprised of a basket of exchange traded futures contracts and reflects the returns that are potentially available through an unleveraged investment in the futures contracts on certain physical commodities. For each commodity the index may roll into one of a number of futures contracts with varying expiration dates as selected using the Barclays Pure Beta Series 2 Methodology. |
| OIL | iPath Pure Beta Crude Oil ETN | n/a | ETN | The investment seeks to provide investors with exposure to the Barclays WTI Crude Oil Pure Beta Total Return Index. The Barclays WTI Crude Oil Pure Beta Total Return Index (the 'index') reflects the returns that are potentially available through an unleveraged investment in the futures contracts in the Crude Oil markets. The index may roll into one of a number of futures contracts with varying expiration dates as selected using the Barclays Pure Beta Series 2 Methodology. |
| OILNF | iPath S&P GSCI Crude Oil TR ETN | n/a | ETN | iPath S&P GSCI Crude Oil Total Return Index ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of its underlying index the S&P GSCI Crude Oil Total Return Index. |
| GSP | iPath S&P GSCI Total Return ETN | n/a | ETN | The investment seeks to provide investors with exposure to the S&P GSCI Total Return Index. The S&P GSCI Total Return Index provides exposure to the returns potentially available through an unleveraged investment in the contracts comprising the S&P GSCI plus the Treasury Bill rate of interest that could be earned on funds committed to the trading of the underlying contracts. |
| GSP | iPath S&P GSCI Total Return ETN | n/a | ETN | The investment seeks to provide investors with exposure to the S&P GSCI Total Return Index. The S&P GSCI Total Return Index provides exposure to the returns potentially available through an unleveraged investment in the contracts comprising the S&P GSCI plus the Treasury Bill rate of interest that could be earned on funds committed to the trading of the underlying contracts. |
| IMLP | iPath S&P MLP ETN | n/a | ETN | The investment seeks to replicate net of expenses the S&P MLP Index. The index is designed to provide exposure to leading partnerships that trade on major U.S. exchanges and are classified in the GICS Energy Sector and GICS Gas Utilities Industry according to the Global Industry Classification Standard ( GICS ). It includes both master limited partnerships ( MLPs ) and publicly traded limited liability companies which have a similar legal structure to MLPs and share the same tax benefits as MLPs (collectively the index constituents ). The index is calculated maintained and published by S&P Dow Jones Indices LLC. |
| GRN | iPath Series B Carbon ETN | n/a | ETN | The investment seeks to link the return of the ETNs to the performance of the Barclays Global Carbon II TR USD Index. The index has the objective of providing exposure to the price of carbon as measured by the return of futures contracts on carbon emissions credits from two of the world s major emissions-related mechanisms. The components currently included in the index are futures contracts that trade on the ICE Futures Europe exchange. |
| CAPD | iPath Shiller CAPE | n/a | ETN | The investment seeks to replicate net of expenses the Shiller Barclays CAPETM US Core Sector Index. The index seeks to provide a notional long exposure to the top four relatively undervalued U.S. equity sectors that also exhibit relatively strong price momentum. It incorporates the CAPE (Cyclically Adjusted Price Earnings) ratio to assess equity market valuations of nine sectors on a monthly basis and to identify the relatively undervalued sectors represented in the S&P 500®. |
| SBUG | iPath Silver ETN | n/a | ETN | The investment seeks to linked to the performance of the Barclays Silver 3 Month Index Total Return. The index is calculated on a total return basis and is intended to reflect (1) the performance of a rolling position in specified silver futures contracts that will become the first liquid nearby futures contracts three months in the future in accordance with a specified schedule and (2) the return that corresponds to the weekly announced interest rate for specified 3-month U.S. Treasury bills. The ETNs are medium-term notes that are senior unsecured debt obligations of Barclays Bank PLC. |
| ERET | iShares Environmentally Aware Rl Est ETF | 380 | US Equity ETF | The investment seeks to track the FTSE EPRA Nareit Developed Green Target Index composed of developed market real estate equities while targeting increased exposure to green certification and energy efficiency relative to the parent index. It invests at least 90% of its assets in the component securities of its index and in investments that have economic characteristics that are substantially identical to the component securities of its index and may invest up to 10% of its assets in certain futures options and swap contracts cash and cash equivalents as well as in securities not included in the index. It is non-diversified. |
| EGUS | iShares ESG Aware MSCI USA Growth ETF | 143 | US Equity ETF | The investment seeks to track the investment results of the MSCI USA Growth Extended ESG Focus Index. The underlying index is an optimized equity index designed to reflect the equity performance of U.S. companies that exhibit growth characteristics as well as positive ESG characteristics. The fund generally will invest at least 90% of its assets in the component securities of the underlying index and may invest up to 10% of its assets in certain futures options and swap contracts cash and cash equivalents as well as in securities not included in the underlying index. The fund is non-diversified. |
| JGRO | JPMorgan Active Growth ETF | 120 | US Equity ETF | The investment seeks to provide long-term capital appreciation. The fund will invest primarily in equity securities of U.S. large-capitalization companies but the adviser has discretion to invest in securities across the whole market capitalization spectrum including securities of mid-capitalization and small-capitalization companies. In implementing its main strategies the fund invests primarily in common stocks. To the extent the fund uses derivatives the fund will primarily use futures contracts to more effectively gain targeted equity exposure from its cash positions. It is non-diversified. |
| AMJ | JPMorgan Alerian MLP ETN | n/a | ETN | The investment seeks to replicate net of expenses the Alerian MLP Index. The index tracks the performance of midstream energy Master Limited Partnerships. |
| BBHY | JPMorgan BetaBuilders $ HY Corp Bnd ETF | 912 | US Fixed Income ETF | The investment seeks investment results that closely correspond before fees and expenses to the performance of the ICE BofA US High Yield Total Return Index. The underlying index which is capitalization weighted based on an issuers current market value of debt outstanding and is designed to measure the performance of U.S. dollar denominated below investment grade (commonly referred to as junk) corporate debt publicly issued in the U.S. domestic market. The fund will invest at least 80% of its assets in securities included in the underlying index. |
| BBCB | JPMorgan BetaBuilders $ InvmGrdCorpBdETF | 690 | Global Fixed Income ETF | The investment seeks investment results that closely correspond before fees and expenses to the performance of the Bloomberg US Corporate Bond Index. The fund will invest at least 80% of its Assets in securities included in the underlying index. The underlying index is market capitalization weighted and is designed to measure the performance of U.S. dollar denominated investment grade corporate debt publicly issued in the U.S. domestic market. The underlying index is a component of the Bloomberg US Credit and Bloomberg US Aggregate indices. |
| BBAG | JPMorgan BetaBuilders US Aggt Bond ETF | 2315 | US Fixed Income ETF | The investment seeks investment results that closely correspond before fees and expenses to the performance of the Bloomberg U.S. Aggregate Bond Index. The underlying index covers the U.S. investment grade fixed rate bond market with index components for government and corporate securities mortgage pass-through securities and asset-backed securities. The fund will invest at least 80% of its assets in securities included in the underlying index. |
| JCPI | JPMorgan Inflation Managed Bond ETF | 977 | US Fixed Income ETF | The investment seeks to maximize inflation protected total return. Under normal circumstances the fund will invest at least 80% of its Assets in bonds. Assets means net assets plus the amount of borrowings for investment purposes. As part of its main investment strategy it may principally invest in corporate bonds U.S. government and agency debt securities asset-backed securities and mortgage-related and mortgage-backed securities. |
| JIRE | JPMorgan International Rsrch Enh Eq ETF | 216 | Global Equity ETF | The investment seeks to provide long-term capital appreciation. Under normal circumstances the fund invests at least 80% of its assets in equity securities. It seeks to outperform the MSCI EAFE Index over time while maintaining similar risk characteristics including sector and geographic risks. In implementing its strategy the fund primarily invests in securities included within the universe of the index. In addition it may also invest in securities not included within the index. The fund only invests in the securities of companies located in developed markets. |
| JMEE | JPMorgan Market Expansion Enh Eq ETF | 615 | US Equity ETF | The investment seeks to provide investment results that correspond to or incrementally exceed the total return performance of the S&P 1000 Index that tracks the performance of the small- and mid-capitalization equity markets. Under normal circumstances the fund will hold at least 80% of its assets in stocks in the index. The index is an index which includes stocks of small- and mid-capitalization companies. The fund may use futures contracts to gain or reduce exposure to its index maintain liquidity and minimize transaction costs. |
| JPRE | JPMorgan Realty Income ETF | 35 | Global Equity ETF | The investment seeks to provide high total investment return through a combination of capital appreciation and current income. The fund seeks to achieve its objective by investing substantially all of its assets and in any event under normal circumstances at least 80% of its net assets (plus the amount of any borrowings for investment purposes) in equity securities of real estate investment trusts (REITs) including REITs with relatively small market capitalizations. It may invest in both equity REITs and mortgage REITs. The fund is non-diversified. |
| UPWD | JPMorgan Social Advancement ETF | 61 | Global Equity ETF | The investment seeks to achieve long-term capital appreciation by investing in companies that the adviser believes are facilitating social and economic advancement. The fund invests primarily in common stocks depositary receipts and real estate investment trusts (REITs). The fund is not managed to an index and may invest in equity securities in both U.S. and foreign markets including emerging markets. The fund may invest a significant portion of its assets in small capitalization companies and have significant positions in specific sectors or markets from time to time. It is non-diversified. |
| CIRC | JPMorgan Sustainable Consumption ETF | 69 | Global Equity ETF | The investment seeks to achieve long-term capital appreciation by investing in companies that the adviser believes are developing solutions that help preserve natural resources improve resource use or reduce waste. The fund invests primarily in common stocks depositary receipts and real estate investment trusts (REITs). The fund is not managed to an index and may invest in equity securities in both U.S. and foreign markets including emerging markets. The fund may invest a significant portion of its assets in small capitalization companies and have significant positions in specific sectors or markets from time to time. It is non-diversified. |
| BLLD | JPMorgan Sustainable Infrastructure ETF | 61 | Global Equity ETF | The investment seeks to achieve long-term capital appreciation by investing in companies that the adviser believes are well-positioned to develop the infrastructure required to facilitate a sustainable and inclusive economy. The fund invests primarily in common stocks real estate investment trusts (REITs) and depositary receipts. The fund is not managed to an index and may invest in equity securities in both U.S. and foreign markets including emerging markets. The fund may invest a significant portion of its assets in small capitalization companies and have significant positions in specific sectors or markets from time to time. It is non-diversified. |
| KLIP | KraneShares China InternetAndCovCllStETF | n/a | Global Equity ETF | The investment seeks to provide current income. The fund invests 80% of its net assets in the component securities of the CSI Overseas China Internet Index or in instruments that have economic characteristics similar to those in the index and writes covered call options on the index or in instruments that have economic characteristics similar to writing covered call options on the index. Currently the adviser intends to invest in KraneShares CSI China Internet ETF (Underlying Fund) and to write (sell) covered call options on the underlying fund. The fund is non-diversified. |
| KMET | KraneShares Electrification Mtls Str ETF | 5 | Commodity Based ETF | The investment seeks to provide investment results that before fees and expenses track the performance of the Bloomberg Electrification Metals Index. In seeking to achieve its investment objective The Advisor attempts to maintain exposure to futures contracts that are substantially the same as those included in the index. The index is designed to measure the performance of metals which will be increasingly required for the energy transition away from fossil fuels by investing in futures contracts on those metals (metal futures). The fund is non-diversified. |
| KSET | KraneShares Global Carbon Offset Str ETF | n/a | Commodity Based ETF | KSET tracks the S&P GSCI Global Voluntary Carbon Liquidity Weighted Index which provides broad coverage of the voluntary carbon market by tracking carbon offset futures contracts. These futures contracts include Nature-Based Global Emission Offsets (N-GEOs) and Global Emission Offsets (GEOs) which trade through the CME Group the world's largest financial derivatives exchange. KSET is designed to dynamically add additional offset markets as they reach scale. |
| KGHG | KraneShares Global Carbon Trnsfm ETF | 47 | Global Equity ETF | The investment seeks long-term growth of capital. To pursue its goal the fund will invest primarily in equity securities and depositary receipts of U.S. and foreign companies including companies located in emerging markets that are Carbon Emissions Reducers. The Adviser seeks to invest in Carbon Emissions Reducers across industries sectors and market capitalizations including the energy utilities materials industrials and information technology sectors. The fund is non-diversified. |
| KDIV | KraneShares S&P Pan As Div Arstcrts ETF | 99 | Global Equity ETF | The investment seeks to provide investment results that before fees and expenses correspond generally to the price and yield performance of a specific equity securities index. The funds current index is the S&P Pan Asia Dividend Aristocrats® Index. It will invest at least 80% of its net assets in instruments in its index or in instruments that have economic characteristics similar to those in the index. The index is designed to measure the performance of constituents in the S&P Pan Asia BMI Index that have followed a policy of consistently increasing dividends every year for the last seven years. It is non-diversified. |
| FIEE | UBS E-TRACS AG FI Enhanced Europe 50 ETN | n/a | ETN | The investment seeks to provide a two times leveraged long exposure to the performance of the index compounded on a quarterly basis reduced by the Accrued Fees. The UBS AG FI Enhanced Europe 50 ETN are a series of FI Enhanced ETNs linked to the STOXX Europe 50 USD (Gross Return) Index. The Securities are senior unsecured debt securities issued by UBS AG (UBS). The index is derived from the STOXX Europe 600 Index (the parent index ) which is further subdivided into 19 STOXX Regional Total Market Index (TMI) Supersector Indices (the Supersector Indices ). The index is composed of 50 European blue-chip companies from within the parent index. |
| FIHD | UBS E-TRACS AG FI Enhanced Global High Yield ETN | n/a | ETN | The investment seeks a return linked to the MSCI World High Dividend Yield USD Gross Total Return Index. The ETN is a series of FI Enhanced ETNs. The Securities are senior unsecured debt securities issued by UBS AG. The Securities are designed to provide a two times leveraged long exposure to the performance of the index compounded on a quarterly basis reduced by the Accrued Fees. The index is designed to track the performance of large- and mid-cap stocks (excluding REITS) across 23 developed markets countries tracked by the MSCI World Index with higher than average dividend yields that are potentially both sustainable and persistent. |
| FBGX | UBS E-TRACS AG FI Enhanced Large Cap Growth ETN | n/a | ETN | The investment seeks a return linked to the Russell 1000 Growth Total Return Index (the index ). The UBS AG FI Enhanced Large Cap Growth ETN due June 19 2024 (the Securities ) are a series of FI Enhanced ETNs. The level of the index reflects both the price performance of the index constituent Securities and the reinvestment of dividends on the index constituent securities. The Securities are two times leveraged with respect to the index and as a result may benefit from two times any positive but will be exposed to two times any negative quarterly performance of the index. |
| AMTR | UBS E-TRACS Alerian Midstream Energy TR ETN | n/a | ETN | ETRACS Alerian Midstream Energy Total Return Index ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index the Alerian Midstream Energy Adjusted Net Total Return Index. |
| AMND | UBS E-TRACS Alerian Midstrm Engy Hi Div ETN | n/a | ETN | The investment seeks a return linked to the performance of the Alerian Midstream Energy Dividend Index (the index ). The index is a fundamentally-weighted index based on the liquid dividend-paying portion of the North American energy infrastructure market. The securities do not have a minimum payment at maturity upon redemption or upon call and are fully exposed to any decline in the index. The payment investors receive on the securities at maturity early redemption or upon exercise by UBS of its call right will depend on the performance of the index as measured by the Current Principal Amount. |
| DJCB | UBS E-TRACS Bloomberg Cmdy Ttl RtnSM ETN B | n/a | ETN | The investment seeks a return on the Securities linked to the performance of the Bloomberg Commodity Index Total ReturnSM. The index is composed of the prices of twenty-one exchange-traded futures contracts on physical commodities. An exchange-traded futures contract is a bilateral agreement providing for the purchase and sale of a specified type and quantity of a commodity or financial instrument during a stated delivery month for a fixed price. |
| AMU | UBS UBS E-TRACS Alerian MLP ETN | n/a | ETN | The investment seeks to replicate net of expenses the Alerian MLP Index. The index measures the performance of 50 prominent energy master limited partnerships. It constituents earn the majority of their cash flow from the transportation storage processing or production of energy commodities. The Alerian MLP Index is calculated maintained and published by S&P in consultation with the index sponsor. |
| AMUB | UBS UBS E-TRACS Alerian MLP ETN Series B | n/a | ETN | The investment seeks to provide exposure to potential price appreciation in the Alerian MLP Index (the index ). The ETRACS Alerian MLP Index ETN Series B due July 18 2042 (the Securities ) is senior unsecured debt securities issued by UBS. The index measures the composite performance of energy master limited partnerships ( MLPs ) and is calculated by S&P Dow Jones Indices using a float-adjusted capitalization-weighted methodology. |
| MLPB | UBS UBS E-TRACS Alerian MLPInfrs ETN SerB | n/a | ETN | The investment seeks to provide exposure to potential price appreciation in the Alerian MLP Infrastructure Index. The ETRACS Alerian MLP Infrastructure Index ETN Series B is senior unsecured debt securities issued by UBS. The index constituents earn the majority of their cash flow from gathering and processing liquefaction midstream services pipeline transportation rail terminaling and storage of energy commodities. |
| MLPG | UBS UBS E-TRACS Alerian Natural Gas MLP ETN | n/a | ETN | The investment seeks to replicate net of expenses the Alerian Natural Gas MLP Index. The index is an equal-weighted composite of the 15 largest natural gas infrastructure Master Limited Partnerships by market capitalization. The index whose constituents earn the majority of their cash flow from the transportation storage and processing of natural gas and natural gas liquids provides investors with a benchmark for the infrastructure component of the natural gas industry. |
| UCIB | UBS UBS E-TRACS BgCstMtCdy(CMCI)TtlRetETNSerB | n/a | ETN | The investment seeks to provide exposure to potential price appreciation in the UBS Bloomberg Constant Maturity Commodity Index Total Return. The ETN Series B is senior unsecured debt securities issued by UBS. The index is designed to be a diversified benchmark for commodities as an asset class. It is comprised of futures contracts on 27 components representing 24 commodities with up to five different maturities for each individual commodity. The overall return on the index is generated by two components: uncollateralized returns on the futures contracts comprising the index and a daily fixed-income return. |
| PYPE | UBS UBS E-TRACS NYSE® PicknsCorMidstream⢠ETN | n/a | ETN | The investment seeks to provide exposure to potential price appreciation in the NYSE Pickens Core Midstream Index (the index ). The securities are senior unsecured medium-term notes issued by UBS with a return linked to the performance of the index. The securities may pay a quarterly coupon during their term. The index measures the performance of the common stock of corporations and units of master limited partnerships ( MLPs ) which represent U.S. midstream energy fundamentals agnostic of entity structure. |
| OILX | UBS UBS E-TRACS S&P GSCI Crd OilTtl Rt ETN | n/a | ETN | The investment seeks to provide exposure to potential price appreciation in the S&P GSCI Crude Oil Total Return Index (the index ). The index is a sub-index of the S&P GSCI commodity index ( S&P GSCI ) and measures the returns from the West Texas Intermediate crude oil futures contract traded on the New York Mercantile Exchange. |
| BDCZ | UBS UBS E-TRACS Wells Fargo® Busn Dev Co ETN | n/a | ETN | The investment seeks to provide exposure to the performance of the Wells Fargo Business Development Company Index. The ETRACS Wells Fargo Business Development Company Index ETN Series B due April 26 2041 are senior unsecured debt securities issued by UBS AG. The index is intended to measure the performance of all business development companies listed on the NYSE or NASDAQ that satisfy specified market capitalization and other eligibility requirements. It refers to the business development companies included in the Wells Fargo Business Development Company Index as the index constituents. The index is a proprietary index of Wells Fargo Securities LLC. |
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