Every Spring it seems like ETP providers decide to “update” their website reports. So last year wasn’t done right? But this year we’ll get it right, right? In any event, this sort of thing keeps you busy. I believe things are settling down now. With the season of change more or less behind us, I will again focus on including the Bloomberg Identifier (FIGIs) for all constituents. We already accomplished a pretty thorough start on this toward the end of last year.
246 additional ETFs are now added to our ETP coverage. This includes 5 Crypto Based ETFs, 14 Derivative Based ETFs, 55 Equity ETFs, and 26 US and global fixed-income ETFs.
We now cover 3124 ETPs and 121 US and global indexes.
For a free look at the current files please click here (no credit card required).
Please let me know if I can help at lc@americanetp.com.
246 additional ETFs are now
included in the ConstituentData42.csv File, ETFDATA42.csv file, and
Fundamentals.csv file as follows:
| CompositeSymbol | CompositeName | ETFtype | Summary |
|---|---|---|---|
| SAWS | AAM Sawgrass U.S. Small Cap Quality Growth ETF | US Equity ETF | The fund is an actively managed exchange-traded fund (ETF) that invests in U.S.-listed equity securities of small-capitalization companies. Under normal circumstances the fund will invest at least 80% of its net assets (plus any borrowings for investment purposes) in U.S.-listed small-capitalization companies. |
| ABOT | Abacus FCF Innovation Leaders ETF | US Equity ETF | The investment seeks to provide investment results that closely correspond before fees and expenses to the performance of the FCF US Quality Innovation Index. To pursue its investment objective the fund invests under normal market circumstances at least 80% of its net assets (plus any borrowings for investment purposes) in component securities of the index. The index is designed to track the performance of a strategy that seeks to provide equity exposure to U.S. publicly traded companies with strong free cash flow and strong research and development (‘R&D’) investment. |
| ABLG | Abacus FCF International Leaders ETF | Global Equity ETF | The investment seeks to generate long-term total returns. The fund is an actively managed exchange-traded fund (ETF). Under normal market circumstances at least 80% of its net assets (plus any borrowings for investment purposes) in equity securities of companies from foreign countries or depositary receipts representing such securities. |
| ABFL | Abacus FCF Leaders ETF | US Equity ETF | The Adviser utilizes proprietary systematic stock selection models to select securities eligible for inclusion in the funds portfolio. Approximately 150 of the highest ranked securities are selected by the Systematic Models and reweighted to create a modified market capitalization log weighted portfolio which allows for increased exposure to companies with the strongest proprietary free cash flow rankings while enhancing issuer diversification as compared to a market capitalization weighted portfolio. |
| ABLD | Abacus FCF Real Assets Leaders ETF | US Equity ETF | The investment seeks to provide investment results that closely correspond before fees and expenses to the performance of the FCF Yield Enhanced Real Asset Index. The fund invests under normal market circumstances at least 80% of its net assets in component securities of the underlying index. The underlying index is sponsored and maintained by FCF Indexes LLC (the index provider) an affiliate of FCF Advisors LLC the funds investment adviser. The underlying index is designed to track the investment results of a rules-based strategy that aims to provide exposure to real assets equities based on the advisers proprietary research. |
| ABHY | Abacus Tactical High Yield ETF | US Fund of Funds ETF | The investment seeks to provide investment results that closely correspond before fees and expenses to the performance of the FCF Tactical High Yield Index. To pursue its investment objective the fund invests under normal market circumstances at least 80% of its net assets (plus any borrowings for investment purposes) in component securities of the index. The index is designed to track the performance of a strategy that seeks to provide risk-managed exposure to exchange-traded funds (‘ETFs’) that investment primarily in high yield debt instruments. |
| YYY | YieldShares High Income ETF | US Asset Allocation 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). |
| BOXA | Alpha Architect Aggregate Bond ETF | US Fixed Income ETF | The fund is an actively managed exchange-traded fund (ETF) that seeks to generate a total return in excess of the Solactive US Aggregate Bond Index (the Benchmark). To accomplish the funds investment objective the fund invests in options on either ETFs or indexes which are expected to provide performance that approximates that of the benchmark. The fund is non-diversified. |
| ADFI | Anfield Dynamic Fixed Income ETF | US Fund of Funds ETF | The investment seeks to provide total return with capital preservation as a secondary objective. The fund is an actively managed ETF that is a ‘fund of funds’ meaning that it primarily invests its assets in securities of other ETFs. It normally invests at least 80% of its net assets including any borrowings for investment purposes in other unaffiliated ETFs that invest in any facet of the global debt markets including corporate bonds U.S. government and agency securities private debt foreign sovereign bonds convertible securities bank loans asset-backed securities mortgage-backed securities and cash equivalent instruments. |
| AESR | Anfield U.S. Equity Sector Rotation ETF | US Equity ETF | The investment seeks to outperform traditional large-cap equity indices and styles over full market cycles by investing in various sectors of the equity market. The fund is an actively managed exchange traded fund that normally invests at least 80% of its net assets including any borrowings for investment purposes in a diversified portfolio of ETFs that each invest at least 80% of their assets in U.S. equity securities. It may also invest in various types of derivatives including exchange listed and over the counter futures options total return swaps forwards and repurchase agreements. |
| GQQQ | Astoria US Quality Growth Kings ETF | US Equity ETF | The investment seeks to provide long-term capital appreciation. The fund is an actively managed exchange-traded fund (ETF) that seeks to achieve its investment objective by investing under normal circumstances at least 80% of its net assets (plus the amount of any borrowings for investment purposes) in equity securities (including depositary receipts) of issuers outside the U.S. that the funds sub-adviser Astoria Portfolio Advisors LLC (the Sub-Adviser) believes has the potential for growth. Benchmark: N/A |
| KNO | AXS Knowledge Leaders ETF | Global Equity ETF | The fund invests primarily in equities the advisor considers to be highly innovative companies or knowledge leaders. The portfolio will include a diversified mix of mid- and large-cap companies from the developed world including North America Europe and Asia. Under normal circumstances at least 80% of the funds assets will be invested in securities the funds advisor identifies as knowledge leaders at the time of investment with not more than 25% in any one industry. |
| CVIE | Calvert International Responsible ETF | Global Equity ETF | The investment seeks to track the performance of the Calvert International Responsible Index. Under normal circumstances the fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in securities included in the underlying index. The index is composed of common stocks of large companies in developed markets excluding the U.S. that operate their businesses in a manner consistent with the Calvert Principles for Responsible Investment. |
| CVSB | Calvert Ultra-Short Investment Grade ETF | Global Fixed Income ETF | The investment seeks to maximize income to the extent consistent with preservation of capital through investment in short-term bonds and income-producing securities. The fund seeks to achieve its investment objective by investing under normal circumstances at least 80% of its net assets (including any borrowings for investment purposes) in a portfolio of investment grade short-term fixed variable and floating-rate securities. The fund is actively managed not designed to track a benchmark and therefore not constrained by the composition of a benchmark. |
| CVLC | Calvert US Large-Cap Core Responsible Index ETF | US Equity ETF | The investment seeks to track the performance of the Calvert US Large-Cap Core Responsible Index. Under normal circumstances the fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in securities included in the underlying index. The index is composed of common stocks of large companies that operate their businesses in a manner consistent with the Calvert Principles for Responsible Investment. |
| CDEI | Calvert US Large-Cap Diversit Equity and Inclusion Index ETF | US Equity ETF | The investment seeks to track the performance of the Calvert US Large-Cap Diversity Research Index. Under normal circumstances the fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in securities included in the underlying index. The index is composed of common stocks of large companies that operate their businesses in a manner consistent with the Calvert Principles for Responsible Investment. The fund is non-diversified. |
| CVMC | Calvert US Mid-Cap Core Responsible Index ETF | US Equity ETF | The investment seeks to track the performance of the Calvert US Mid-Cap Core Responsible Index. Under normal circumstances the fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in securities included in the underlying index. The index is composed of common stocks of mid-size companies that operate their businesses in a manner consistent with the Calvert Principles for Responsible Investment. |
| CVSE | Calvert US Select Equity ETF | US Equity ETF | The investment seeks to provide long-term capital appreciation. Under normal circumstances at least 80% of the funds net assets (plus any borrowings for investment purposes) will be invested in the equity securities of U.S. issuers. The fund is actively managed not designed to track a benchmark and therefore not constrained by the composition of a benchmark. The fund primarily invests in the equity securities of large capitalization U.S. issuers that are involved in economic activities that address global environmental or societal challenges that relate to areas such as environmental sustainability and resource efficiency. |
| TAX | Cambria Tax Aware ETF | US Equity ETF | The investment seeks to provide a tax-efficient investment return consisting of capital appreciation. The fund is an actively managed exchanged-traded fund (ETF) that invests in U.S.-listed equity securities that have a market capitalization of greater than $5 billion. Utilizing its own quantitative model the funds investment sub-adviser Cambria Investment Management L.P. (Cambria or the Sub-Adviser) selects value stocks with lower dividend distributions which are generally taxed as ordinary income. |
| CGCV | Capital Group Conservative Equity ETF | US Equity ETF | The fund seeks to invest primarily in common stocks of companies that are likely to participate in the growth of the American economy and whose dividends appear to be sustainable. Under normal market conditions the fund will invest at least 80% of its net assets in common stocks and other equity-type securities. The fund invests primarily in the United States and Canada. The fund is non-diversified. |
| CGBL | Capital Group Core Balanced ETF | US Equity ETF | In seeking to pursue its investment objective the fund varies its mix of direct or indirect exposure to equity securities debt securities and money market instruments and cash. Under normal market conditions the funds investment adviser will maintain the following investment mix: 50%-75% in equity securities at least 25% in debt securities and the remainder of the funds assets (if any) in money market instruments and cash. The fund is non-diversified. |
| CGCB | Capital Group Core Bond ETF | US Fixed Income ETF | The fund advisor seeks to maximize the investors level of current income and preserve the investors capital by investing primarily in bonds. Normally the fund invests at least 80% of its assets in bonds and other debt securities which may be represented by derivatives such as futures contracts and swaps. The fund is non-diversified. |
| CGDG | Capital Group Dividend Growers ETF | Global Equity ETF | The fund invests primarily in common stocks of companies around the world that the investment adviser believes have the potential to provide combinations of current yield and dividend growth over the long-term. The fund is non-diversified. |
| CGGE | Capital Group Global Equity ETF | Global Equity ETF | The fund invests primarily in common stocks of issuers around the world that the investment adviser believes have the potential for growth many of which have the potential to pay dividends. Under normal market conditions the fund will invest at least 80% of its net assets in equity-type securities. The fund is non-diversified. |
| CGIB | Capital Group International Bond ETF (USD-Hedged) | Global Fixed Income ETF | The fund seeks to maximize the investors’ level of current income and preserve the investors’ capital by investing primarily in bonds. It will invest at least 80% of its assets in bonds and other debt securities which may be represented by derivatives. Under normal market conditions the fund will invest at least 40% of its assets outside the United States. The fund is non-diversified. |
| CGIC | Capital Group International Core Equity ETF | Global Equity ETF | The fund invests primarily in stocks of larger well-established companies domiciled outside the United States including in emerging markets and developing countries that the investment adviser believes have the potential for growth and/or to pay dividends. Under normal market conditions the fund will invest at least 80% of its net assets in common stocks and other equity-type securities. The fund is non-diversified. |
| CGIE | Capital Group International Equity ETF | Global Equity ETF | The fund invests primarily in common stocks of issuers outside of the United States that the investment adviser believes have the potential for growth many of which have the potential to pay dividends. Under normal market conditions the fund will invest at least 80% of its net assets in equity securities and at least 80% of its net assets in securities outside the United States. The fund is non-diversified. |
| CGHM | Capital Group Municipal High-Income ETF | US Fixed Income ETF | Under normal circumstances the fund will invest at least 80% of its assets in or derive at least 80% of its income from securities that are exempt from regular federal income tax. The fund invests at least 60% of its portfolio in debt securities rated BBB+ or below or Baa1 or below by Nationally Recognized Statistical Rating Organizations designated by the funds investment adviser or unrated but determined by the funds investment adviser to be of equivalent quality. |
| CGNG | Capital Group New Geography Equity ETF | Global Equity ETF | The fund invests primarily in common stocks of companies with significant exposure to countries with developing economies and/or markets. The securities markets of these countries may be referred to as emerging markets. Under normal market conditions the fund will invest at least 80% of its assets in equity securities. The fund is non-diversified. |
| CGSM | Capital Group Short Duration Municipal Income ETF | US Fixed Income ETF | The fund will normally invest at least 80% of its assets in or derive at least 80% of its income from securities that are exempt from regular federal income tax. Such securities consist of municipal bonds which are debt obligations that pay interest that is exempt from federal income taxation with payments made from a wide variety of sources including governmental revenue streams and private enterprises. The fund is non-diversified. |
| CGMM | Capital Group U.S. Small and Mid Cap ETF | Global Equity ETF | Under normal market conditions the fund invests at least 80% of its net assets in common stocks and other equity-type securities of small and mid-capitalization companies in the United States. The investment adviser currently defines small and mid-capitalization companies to be companies whose market capitalizations typically fall within the range of the Russell 2500 Index or the Russell Midcap Index. The fund is non-diversified. |
| CGUI | Capital Group Ultra Short Income ETF | US Fixed Income ETF | The fund will invest at least 80% of its assets in bonds and other debt securities that accrue income which may be represented by derivatives. Under normal circumstances the fund will invest primarily in investment grade U.S. dollar denominated short-term debt including: high-quality short-term money market instruments such as commercial paper and certificates of deposit; U.S. treasury securities and other government securities guaranteed or issued by an agency or instrumentality of the U.S. government; corporate securities. |
| ROPE | Coastal Compass 100 ETF | US Equity ETF | The fund is an actively-managed exchange-traded fund (ETF) that invests primarily in common stocks but may at times seek to provide downside protection by investing up to 100% of the funds assets into cash or cash equivalents depending on market conditions. Coastal Equity Management LLC the funds sub-adviser (the Sub-Adviser) uses a trend following approach that seeks to participate in upward trends in U.S. equity markets while providing downside protection. The fund is non-diversified. |
| RIOX | Daily Target 2X Long RIOT ETF | US Derivative Based ETF | The fund is an actively managed exchange traded fund (ETF) that attempts to achieve two times (200%) the daily percentage change in the share price of the underlying security by employing derivatives namely swap agreements and/or listed options contracts. The fund is non-diversified. |
| DHSB | Day Hagan Smart Buffer ETF | US Fund of Funds ETF | The fund is an actively managed ETF that under normal circumstances seeks to achieve its investment objective principally by investing in U.S.-listed exchange-traded funds that replicate the performance of broad-based U.S. equity indexes equity securities of companies within such indexes and utilizing options and/or options spreads on U.S. equity investments. The fund is non-diversified. |
| SIXG | Defiance Connective Technologies ETF | US Equity ETF | The fund uses a passive management approach to track the total return performance before fees and expenses of the index. The index is a rules-based index that consists of a tiered modified market capitalization-weighted portfolio of the U.S.-listed equity securities including depositary receipts of companies that derive at least 50% of their revenues from business activities products or services. |
| AVGX | Defiance Daily Target 2X Long AVGO ETF | US Derivative Based ETF | The investment seeks daily leveraged investment results of two times (200%) the daily percentage change in the share price of Broadcom Inc. (Nasdaq: AVGO) (the Underlying Security or AVGO). The fund is an actively managed exchange traded fund (ETF) that attempts to achieve two times (200%) the daily percentage change in the share price of the underlying security by entering into swap agreements on the underlying security. The fund is non-diversified. |
| LLYX | Defiance Daily Target 2X Long LLY ETF | US Derivative Based ETF | The fund is an actively managed exchange traded fund (ETF) that attempts to achieve two times (200%) the daily percentage change in the share price of the Underlying Security by employing derivatives namely swap agreements and/or listed options contracts. The fund is non-diversified. |
| MSTX | Defiance Daily Target 2X Long MSTR ETF | US Derivative Based ETF | The fund will enter into one or more swap agreements with financial institutions for a specified period which may range from one day to longer than a year. The advisor has adopted a policy to have at least 80% exposure to financial instruments with economic characteristics that should perform 2X the daily performance of the underlying securitys shares. The fund is non-diversified. |
| NVOX | Defiance Daily Target 2X Long NVO ETF | US Derivative Based ETF | The fund is an actively managed exchange traded fund (ETF) that attempts to achieve two times (200%) the daily percentage change in the share price of the underlying security by employing derivatives namely swap agreements and/or listed options contracts. The fund is non-diversified. |
| SMCX | Defiance Daily Target 2X Long SMCI ETF | US Derivative Based ETF | The investment seeks daily investment results before fees and expenses of two times (200%) the daily percentage change in the share price of Super Micro Computer Inc. (Nasdaq: SMCI). The fund is an actively managed exchange traded fund (ETF) that attempts to achieve two times (200%) the daily percentage change in the share price of the underlying security by entering into swap agreements on the underlying security. The fund is non-diversified. |
| URAX | Defiance Daily Target 2X Long Uranium ETF | US Derivative Based ETF | The fund is an actively managed ETF that attempts to achieve two times (200%) the daily percentage change in the share price of the underlying security by entering into swap agreements on the underlying security. The fund is non-diversified. |
| SMST | Defiance Daily Target 2X Short MSTR ETF | US Derivative Based ETF | The investment seeks daily inverse investment results before fees and expenses of -2.0 times (-200%) the daily percentage change in the share price of MSTR. The fund advisor has adopted a policy to have at least 80% of its investment exposure to financial instruments with economic characteristics that should provide 2 times the inverse exposure to the daily performance of the underlying security. The fund is non-diversified. |
| XMAG | Defiance Large Cap Ex-Magnificent Seven ETF | US Equity ETF | The investment seeks to track the performance before fees and expenses of the BITA US 500 ex-Magnificent 7 Index. The index aims to provide a comprehensive and balanced representation of the U.S. equity market by including the largest 500 publicly traded equity securities while specifically excluding the seven largest technology companies commonly referred to as the Magnificent 7. Under normal circumstances at least 80% of the funds net assets plus borrowings for investment purposes will be invested in equity securities of large-cap companies. |
| QQQY | Defiance Nasdaq 100 Enhanced Options 0DTE Income ETF | US Option Based ETF | The fund is an actively managed exchange-traded fund (ETF) that seeks current income while maintaining the opportunity for indirect exposure to the value of the index subject to a limit on potential gains from increases in the value of the index. The fund is non-diversified. |
| QQQT | Defiance NASDAQ 100 Income Target ETF | US Option Based ETF | The fund is an actively managed exchange-traded fund (ETF) that primarily seeks to generate current income. Its strategy involves holding shares of unaffiliated passively managed ETFs that seek to track the performance of the Index (Index ETFs) and selling daily credit call spreads on the index. The fund is non-diversified. |
| USOY | Defiance Oil Enhanced Options Income ETF | US Option Based ETF | The fund is an actively managed ETF that seeks current income while maintaining the opportunity for indirect exposure to the share price of United States Oil Fund LP subject to a limit on potential gains related to increases in the price of USOs shares. The fund is non-diversified. |
| IWMY | Defiance R2000 Enhanced Options 0DTE Income ETF | US Fixed Income ETF | The fund is an actively managed exchange-traded fund (ETF) that seeks current income while maintaining the opportunity for indirect exposure to the value of the index subject to a limit on potential gains from increases in the value of the index. The fund is non-diversified. |
| WDTE | Defiance S&P 500 Enhanced Options 0DTE Income ETF | US Option Based ETF | The investment seeks seek current income; exposure to the performance of the S&P 500 Index subject to a limit on potential investment gains is the secondary consideration. The fund is an actively managed exchange-traded fund (ETF) that seeks current income while maintaining the opportunity for indirect exposure to the value of the index subject to a limit on potential gains from increases in the value of the index. The fund is non-diversified. |
| SPYT | Defiance S&P 500 Income Target ETF | US Option Based ETF | The funds strategy involves holding shares of unaffiliated passively managed ETFs that seek to track the performance of the index (Index ETFs) and selling daily credit call spreads on the index. Its daily credit call spread strategy consists of selling a call option and simultaneously buying another call option at a higher strike price for income generation. The fund is non-diversified. |
| EDGE | Ea Ser Trust – Ea Ser Trust – Mrbl Enhanced Equity Etf | US Option Based ETF | Under normal circumstances the fund will invest at least 80% of its net assets plus any borrowings for investment purposes in equity securities and derivative instruments that provide exposure to equity securities. To gain this exposure the fund will primarily invest in one or more ETFs or options on an ETF or index (each a reference asset). The fund is non-diversified. |
| AAVM | EA Series Trust – Alpha Architect Value Momentum Trend ETF | US Fund of Funds ETF | The investment seeks long term capital appreciation. Under normal circumstances the fund will invest at least 80% of its net assets (plus any borrowings for investment purposes) in equity securities. The fund is a fund of funds meaning that it primarily invests its assets in the shares of other exchange-traded funds (ETFs) rather than in securities of individual companies. Benchmark: Solactive GBS Glb Mar L&M Cap TR USD |
| TRIO | EA Series Trust – MC Trio Equity Buffered ETF | US Option Based ETF | The fund is an actively managed ETF that seeks to achieve its investment objective by investing in a combination of exchange-traded options contracts that provide exposure to ETFs that invest in U.S. large-capitalization U.S. small-capitalization and international developed market equity securities while seeking to protect against a predetermined amount of losses (e.g. 10%) in such ETFs. The fund is non-diversified. |
| LENS | EA Series Trust – Sarmaya Thematic ETF | US Equity ETF | The fund is an actively managed exchange-traded fund (ETF) that will invest primarily in domestic and foreign equity securities of companies considered by Sarmaya Partners LLC the sub-adviser to the fund (the Sub-Adviser) to reflect an emerging or prevailing market theme. The Sub-Adviser defines emerging or prevailing market theme as market sectors asset classes or regions that are believed to be poised for future growth through the market cycle (i.e the period of time between two major lows for a market. The fund is non-diversified. |
| MAVF | EA Series Trust ETF | US Equity ETF | Under normal circumstances the fund will invest at least 80% of its net assets (plus borrowings for investment purposes) in U.S. companies that satisfy Matrix Asset Advisors Inc.s (Matrix or the Sub-Adviser) definition of value. The fund is non-diversified. |
| EMPB | EA Series Trust – Efficient Market Portfolio Plus ETF\ | US Fund of Funds ETF | The fund is an actively managed ETF that seeks to achieve its investment objective by utilizing an investment strategy that leverages NextGen EMP Incs the funds sub-adviser proprietary algorithm to estimate which asset classes or sectors of the economy are likely to exceed the returns of the overall U.S. equity market. The fund is non-diversified. |
| DSMC | ETFS Distillate Small/Mid Cash Flow ETF | US Equity ETF | The fund is an actively managed exchange-traded fund (ETF) that seeks to achieve its investment objective by investing in equity securities of small- and mid-capitalization companies. The fund’s managers consider companies whose market capitalization at the time of purchase places them in the lowest 12.5% of the total market capitalization of the U.S. equity market to be small-cap and mid-cap companies. |
| DSTL | ETFS Distillate U.S. Fundamental Stability & Value ETF | US Equity ETF | The investment seeks to track the performance before fees and expenses of the Distillate U.S. Fundamental Stability & Value Index (the ‘index’). Under normal circumstances at least 80% of the fund s net assets plus borrowings for investment purposes will be invested in U.S. assets. The index was developed in 2018 by Distillate Capital Partners LLC the fund s investment adviser and index provider (the ‘Adviser’) and uses an objective rules-based methodology to measure the performance of U.S.-listed large-capitalization equity securities selected based on certain fundamental factors. |
| DSTX | ETFX Distillate International Fundamental Stability & Value ETF | US Equity ETF | The investment seeks to track the performance before fees and expenses of the Distillate International Fundamental Stability & Value Index. The index was developed in 2020 by the investment adviser and index provider and measures the performance of globally listed large- and mid-capitalization equity securities and depositary receipts of non-U.S. companies selected based on certain fundamental factors. To the extent the index concentrates in the securities of a particular industry or group of related industries the fund will concentrate its investments to approximately the same extent as the index. The fund is non-diversified. |
| TSEP | First Trust Vest Emerging Markets Buffer ETF – September | US Fund of Funds ETF | Under normal market conditions the fund will invest substantially all of its assets in FLexible EXchange® Options that reference the price performance of the iShares MSCI Emerging Markets ETF. The underlying ETF is an exchange-traded fund that generally invests at least 80% of its assets in securities of the MSCI Emerging Markets Index and in depositary receipts representing securities of the MSCI Emerging Markets Index. The fund is non-diversified. |
| BUFY | First Trust Vest Laddered International Moderate Buffer ETF | Global Equity ETF | The investment seeks to provide investors with capital appreciation. The fund seeks to achieve its investment objective by providing investors with international developed market equity exposure while attempting to limit downside risk through a laddered portfolio of FT Vest International Equity Moderate Buffer ETFs. The term ‘laddered portfolio’ refers to the fund’s investment in multiple Underlying ETFs that have target outcome period expiration dates which occur on a rolling or periodic basis. The fund is non-diversified. |
| YYY | YieldShares High Income ETF | US Asset Allocation ETF | The investment seeks investment results that correspond generally to the price and yield of an equity index called the Cboe S&P 500 Dividend Aristocrats Target Income Index Monthly Series. The fund invests at least 80% of its total assets in the common stocks and call options that comprise the index. The index is designed with the primary goal of generating an annualized level of income from stock dividends and option premiums that is approximately 3% over the annual dividend yield of the S&P 500 Index and a secondary goal of generating capital appreciation based on the price returns of the equity securities contained in the index. It is non-diversified. |
| RSSE | First Trust Vest U.S. Equity Equal Weight Buffer ETF – September | US Fund of Funds ETF | Under normal market conditions the fund will invest substantially all of its assets in FLexible EXchange® Options that reference the price performance of the Invesco S&P 500® Equal Weight ETF Trust. The fund is non-diversified. |
| SEPM | First Trust Vest U.S. Equity Max Buffer ETF – September | US Fund of Funds ETF | Under normal market conditions the fund will invest substantially all of its assets in FLexible EXchange® Options (FLEX Options) that reference the price performance of the Underlying ETF. The fund is non-diversified. |
| EZBC | Franklin Bitcoin ETF | Crypto Based ETF | The shares are intended to offer a convenient means of making an investment similar to an investment in bitcoin relative to acquiring holding and trading bitcoin directly on a peer-to-peer or other basis or via a digital asset exchange. The shares have been designed to remove obstacles associated with the complexities and operational burdens involved in a direct investment in bitcoin by providing an investment with a value that reflects the price of the bitcoin owned by the fund at such time less the funds expenses. |
| EZET | Franklin Ethereum ETF | Crypto Based ETF | The shares are intended to offer a convenient means of making an investment similar to an investment in ether relative to acquiring holding and trading ether directly on a peer-to-peer or other basis or via a digital asset platform. The fund is not a proxy for a direct investment in ether. |
| FFOG | Franklin Focused Growth ETF FOCUSED GROWTH ETF | US Equity ETF | The fund invests predominantly in equity securities of companies that the investment manager believes offer compelling growth opportunities. In selecting securities the investment manager considers many factors including historical and potential growth in revenues and earnings assessment of strength and quality of management and determination of a companys strategic positioning in its industry. The equity securities in which it invests are predominantly common stock. The fund is non-diversified. |
| FLEU | Franklin FTSE Eurozone ETF | Global Equity ETF | The investment seeks a return linked to a leveraged participation in the quarterly performance of the STOXX Europe 50 USD (Gross Return) Index (the ‘index’). The index is composed of 50 European blue-chip companies (the ‘index constituents’) selected from within the STOXX Europe 600 Index. |
| INCE | Franklin Income Equity Focus ETF | Global Equity ETF | Under normal market conditions the fund will invest at least 80% of its net assets in equity securities and in derivatives and other instruments that have economic characteristics and provide investment exposure similar to equity securities. |
| INCM | Franklin Income Focus ETF Income Focus ETF | US Equity ETF | Under normal market conditions the fund invests in a diversified portfolio of debt and equity securities. The fund may invest up to 30% of its assets in equity index-linked notes with respect to which interest payments are typically derived from the implied volatility of an equity index (e.g. the S&P 500 Index) and 10% of its assets in equity linked notes (ELNs). |
| FGDL | Franklin Responsibly Sourced Gold ETF | Commodity Based ETF | 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. |
| MLPD | Global X MLP & Energy Infrastructure Covered Call ETF | US Option Based ETF | The fund invests at least 80% of its net assets plus borrowings for investment purposes (if any) in the constituent securities of the underlying index. The underlying index measures the performance of a theoretical portfolio that employs a covered call strategy as determined by Cboe Global Indices LLC. The fund is non-diversified. |
| PTEC | Global X PropTech ETF | Global Equity ETF | The fund invests at least 80% of its net assets plus borrowings for investments purposes (if any) in the securities of the Global X PropTech Index which may include common stocks American Depositary Receipts (‘ADRs’) and Global Depositary Receipts (‘GDRs’) based on the securities in the underlying index. The underlying index is owned and was developed by Global X Management Company LLC an affiliate of the fund and the fund’s investment adviser. The fund is non-diversified. |
| RSSL | Global X Russell 2000 ETF | Commodity Based ETF | 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. The underlying index is an equity benchmark which measures the performance of the small-capitalization sector of the U.S. equity market as defined by FTSE Russell. |
| QDCC | Global X S&P 500 Quality Dividend Covered Call ETF | US Option Based ETF | The fund invests at least 80% of its net assets plus borrowings for investment purposes (if any) in the constituent securities of the underlying index. The underlying index measures the performance of a theoretical portfolio that employs a covered call strategy as determined by Cboe Global Indices LLC. The fund is non-diversified. |
| GCLN | Goldman Sachs Bloomberg Clean Energy Equity ETF | Global Equity ETF | The Goldman Sachs Bloomberg Clean Energy Equity ETF (the Fund ) seeks to provide investment results that closely correspond before fees and expenses to the performance of the Bloomberg Goldman Sachs Global Clean Energy Index (the Index ). |
| GMUN | Goldman Sachs Community Municipal Bond ETF | US Fixed Income ETF | The fund seeks to achieve its investment objective by investing 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 the municipal securities market with remaining maturities between one and fifteen years with screens that take into account certain social or environmental factors. |
| GCAL | Goldman Sachs Dynamic California Municipal Income ETF | US Fixed Income ETF | The fund invests under normal circumstances at least 80% of its net assets plus any borrowings for investment purposes in fixed income securities issued by or on behalf of the state of California and its political subdivisions agencies and instrumentalities and other states territories and possessions of the United States and the political subdivisions agencies and instrumentalities thereof the interest on which is exempt from regular federal income tax and California personal income tax. The fund is non-diversified. |
| GMNY | Goldman Sachs Dynamic New York Municipal Income ETF | US Fixed Income ETF | The fund invests under normal circumstances at least 80% of its net assets plus any borrowings for investment purposes in fixed income securities issued by or on behalf of the state of New York and its political subdivisions agencies and instrumentalities thereof and other states territories and possessions of the United States. The fund is non-diversified. |
| BTC | Grayscale Bitcoin Mini Trust | Crypto Based ETF | The investment seeks the value of the Shares (based on Bitcoin per Share) to reflect the value of Bitcoin held by the trust determined by reference to the index Price less the trusts expenses and other liabilities. While an investment in the shares is not a direct investment in Bitcoin the shares are designed to provide investors with a cost-effective and convenient way to gain investment exposure to Bitcoin. |
| ETH | Grayscale Ethereum Mini Trust | Crypto Based ETF | The investment seeks the value of the Shares to reflect the value of Ether held by the Trust determined by reference to the index price less the Trusts expenses and other liabilities. While an investment in the Shares is not a direct investment in Ether the Shares are designed to provide investors with a cost-effective and convenient way to gain investment exposure to Ether. |
| ETHE | Grayscale Ethereum Trust | Crypto Based ETF | The investment seeks to track the ETH market price less fees and expenses. The fund enables investors to gain exposure to the price movement of ETH through a traditional investment vehicle without the challenges of buying storing and safekeeping Ethereum. |
| HCOM | Hartford Schroders Commodity Strtgy ETF | Commodity Based ETF | Hartford Schroders Commodity Strategy ETF is an exchange-traded fund incorporated in the USA. The ETF will invest predominantly in a range of commodity related derivative instruments principally comprising futures and other commodity linked derivative instruments and cash or cash equivalents including certificates of deposit treasury bills and floating rate notes. |
| TJUL | Innovator Equity Defined Protection ETFs | US Equity ETF | The fund invests at least 80% of its net assets in FLexible EXchange® Options (FLEX Options) that reference the SPDR® S&P 500® ETF Trust (the Underlying ETF). FLEX Options are exchange-traded option contracts with uniquely customizable terms. The fund is non-diversified. |
| AAPR | Innovator Equity Defined Protection ETFs | US Option Based ETF | The fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in FLexible EXchange® Options that reference the SPDR® S&P 500® ETF Trust. FLEX Options are exchange-traded option contracts with uniquely customizable terms. The fund is non-diversified. |
| AJAN | Innovator Equity Defined Protection ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match the upside price return of the SPDR® S&P 500® ETF Trust. The fund invests at least 80% of its net assets in FLexible EXchange® Options (FLEX Options) that reference the SPDR® S&P 500® ETF Trust (the Underlying ETF). FLEX Options are exchange-traded option contracts with uniquely customizable terms. The fund is non-diversified. |
| AJUL | Innovator Equity Defined Protection ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match the upside price return of the SPDR® S&P 500® ETF Trust up to the upside cap of 18.20% (prior to taking into account management fees and other fees) while providing a buffer against 100% of SPDR® S&P 500® ETF Trust losses (prior to taking into account management fees and other fees) over the period from July 1 2024 through June 30 2026. under normal circumstances the fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in investments that provide exposure to the SPDR ® S&P 500 ® ETF Trust. The fund is non-diversified. |
| AOCT | Innovator Equity Defined Protection ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match the upside price return of the SPDR® S&P 500® ETF Trust. The fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in FLexible EXchange® Options (FLEX Options) that reference the SPDR® S&P 500® ETF Trust. The fund is non-diversified. |
| APOC | Innovator Equity Defined Protection ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match the upside price return of the SPDR® S&P 500® ETF Trust up to the upside cap of 3.79% (prior to taking into account management fees and other fees) while providing a buffer against 100% of SPDR® S&P 500® ETF Trust losses (prior to taking into account management fees and other fees) over the period from October 1 2024 through April 30 2025. The fund has adopted a policy pursuant to Rule 35d-1 under the 1940 Act to invest under normal circumstances at least 80% of its net assets in investments that provide exposure to the SPDR® S&P 500® ETF Trust. The fund is non-diversified. |
| APRD | Innovator Premium Income Barrier ETFs | US Option Based ETF | The investment seeks to provide investors with an investment that provides a high level of income. The fund is an actively managed exchange-traded fund (ETF) that invests in U.S. Treasury bills (the U.S. Treasuries) and FLexible EXchange® Options (FLEX Options) that use as a reference asset a broad-based U.S. equity index specifically the S&P 500® Price Return Index. The fund is non-diversified. |
| APRH | Innovator Premium Income Barrier ETFs | US Option Based ETF | The investment seeks to provide investors with an investment that provides a high level of income. The fund invests at least 80% of its net assets in U.S. Treasury bills (the U.S. Treasuries) and FLexible EXchange® Options (FLEX Options) that are based on the value of a broad-based U.S. equity index such as the S&P 500® Price Return Index (the U.S. Equity index). FLEX options are exchange-traded option contracts with uniquely customizable terms. The fund is non-diversified. |
| APRJ | Innovator Premium Income Barrier ETFs | US Option Based ETF | The investment seeks to provide investors with an investment that provides a high level of income. The fund is an actively managed exchange-traded fund (ETF) that invests in U.S. Treasury bills (the U.S. Treasuries) and FLexible EXchange® Options (FLEX Options) that use as a reference asset a broad-based U.S. equity index specifically the S&P 500® Price Return Index. The fund is non-diversified. |
| APRQ | Innovator Premium Income Barrier ETFs | US Option Based ETF | The investment seeks to provide investors with an investment that provides a high level of income. The fund invests at least 80% of its net assets in U.S. Treasury bills (the U.S. Treasuries) and FLexible EXchange® Options (FLEX Options) that are based on the value of a broad-based U.S. equity index such as the S&P 500® Price Return Index (the U.S. Equity index). FLEX options are exchange-traded option contracts with uniquely customizable terms. The fund is non-diversified. |
| BAUG | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match those of the S&P 500 Price Index. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the S&P 500 Price Return Index (‘S&P 500 Price Index’). FLEX Options are exchange-traded options contracts with uniquely customizable terms. It is non-diversified. |
| BDEC | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match those of the S&P 500 Price Index. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the S&P 500 Price Return Index (‘S&P 500 Price Index’). FLEX Options are exchange-traded options contracts with uniquely customizable terms. Although guaranteed for settlement by the Options Clearing Corporation (the ‘OCC’) FLEX Options are still subject to counterparty risk with the OCC and may be less liquid than more traditional exchange-traded options. It is non-diversified. |
| BFEB | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match the price return of the SPDR S&P 500 ETF Trust. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the SPDR S&P 500 ETF Trust (the ‘Underlying ETF’). FLEX Options are exchange-traded options contracts with uniquely customizable terms. Although guaranteed for settlement by the Options Clearing Corporation (the ‘OCC’) FLEX Options are still subject to counterparty risk with the OCC and may be less liquid than more traditional exchange-traded options. It is non-diversified. |
| BJAN | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match the price return of the SPDR S&P 500 ETF Trust. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the SPDR S&P 500 ETF Trust (the ‘Underlying ETF’). FLEX Options are exchange-traded options contracts with uniquely customizable terms. Through its use of FLEX Options on the Underlying ETF the fund will have exposure to companies in the information technology sector. The fund is non-diversified. |
| BJUL | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match those of the S&P 500 Price Index. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the S&P 500 Price Return Index (‘S&P 500 Price Index’). FLEX Options are exchange-traded options contracts with uniquely customizable terms. The fund s investment sub-adviser has constructed a portfolio principally composed of seven FLEX Options on the S&P 500 Price Index that are each set to expire on the last day of the Outcome Period. The fund is non-diversified. |
| BJUN | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match those of the S&P 500 Price Index. The fund invests at least 80% of its net assets in FLexible EXchange Options that reference the S&P 500 Price Return Index. FLEX Options are exchange-traded options contracts with uniquely customizable terms. Although guaranteed for settlement by the Options Clearing Corporation FLEX Options are still subject to counterparty risk with the OCC and may be less liquid than more traditional exchange-traded options. It is non-diversified. |
| BMAR | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match those of the S&P 500 Price Index. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the S&P 500 Price Return Index (‘S&P 500 Price Index’). FLEX Options are exchange-traded options contracts with uniquely customizable terms. Although guaranteed for settlement by the Options Clearing Corporation (the ‘OCC’) FLEX Options are still subject to counterparty risk with the OCC and may be less liquid than more traditional exchange-traded options. It is non-diversified. |
| BMAY | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match those of the S&P 500 Price Index. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the S&P 500 Price Return Index (‘S&P 500 Price Index’). FLEX Options are exchange-traded options contracts with uniquely customizable terms. Although guaranteed for settlement by the Options Clearing Corporation (the ‘OCC’) FLEX Options are still subject to counterparty risk with the OCC and may be less liquid than more traditional exchange-traded options. It is non-diversified. |
| BNOV | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match those of the S&P 500 Price Index. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the S&P 500 Price Return Index (‘S&P 500 Price Index’). FLEX Options are exchange-traded options contracts with uniquely customizable terms. Although guaranteed for settlement by the Options Clearing Corporation (the ‘OCC’) FLEX Options are still subject to counterparty risk with the OCC and may be less liquid than more traditional exchange-traded options. It is non-diversified. |
| BOCT | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match those of the S&P 500 Price Index. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the S&P 500 Price Return Index (‘S&P 500 Price Index’). The reference asset for all of the fund s FLEX Options is the S&P 500 Price Index a large-cap market-weighted U.S. equities index that tracks the price (excluding dividends) of the 500 leading companies in leading industries. The fund is non-diversified. |
| BSEP | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match those of the S&P 500 Price Index. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the S&P 500 Price Return Index (‘S&P 500 Price Index’). FLEX Options are exchange-traded options contracts with uniquely customizable terms. Although guaranteed for settlement by the Options Clearing Corporation (the ‘OCC’) FLEX Options are still subject to counterparty risk with the OCC and may be less liquid than more traditional exchange-traded options. It is non-diversified. |
| BSTP | Innovator Buffer Step-Up Strategy ETF | US Option Based ETF | The investment seeks to provide investors with investment exposure to the price return of the SPDR® S&P 500® ETF Trust. The fund is an actively managed exchange-traded fund (ETF) that seeks to provide risk-managed investment exposure to the SPDR® S&P 500® ETF Trust (the Underlying ETF). It seeks to achieve its investment objective by investing substantially all of its assets in exchange-traded options contracts on the Underlying ETF. The Advisor intends to implement its investment strategy through an Options Portfolio comprised of FLexible EXchange® Options that reference the Underlying ETF with one-year expiration dates. It is non-diversified. |
| BUFB | Innovator Laddered Allocation Buffer ETF | US Option Based ETF | The investment seeks results that generally correspond (before fees and expenses) to the performance of the MerQube U.S. Large Cap Equity Buffer Laddered Index (the Index). The fund will invest at least 80% of its net assets (including investment borrowing) in the ETFs that comprise the index. The index seeks to provide laddered investing in the underlying ETFs. Laddered investing refers to investments in several similar securities that have different reset dates with the goal of mitigating timing risks associated with investing in a single investment. The fund is non-diversified. |
| EALT | Innovator Gold Strategy PLUS Income ETF | US Option Based ETF | The fund invests at least 80% of its net assets in FLexible EXchange® Options that reference the SPDR® S&P 500® ETF Trust. FLEX Options are exchange-traded options contracts with uniquely customizable terms. The fund is non-diversified. |
| EBUF | Innovator Gold Strategy PLUS Income ETF | US Option Based ETF | The fund invests at least 80% of its net assets in FLexible EXchange® Options that reference the iShares MSCI Emerging Markets ETF. The fund is non-diversified. |
| EJUL | Innovator Emerging Markets Power Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match those of the MSCI Emerging Markets Investable Market Index – Price Return (‘MSCI Emerging Markets Price Index’). The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the MSCI Emerging Markets Price Index. FLEX Options are exchange-traded options contracts with uniquely customizable terms. The reference asset for all of the fund s FLEX Options is the MSCI Emerging Markets Price Index a quarterly reviewed index designed to represent the performance of mid- and large-cap securities in emerging market countries. It is non-diversified. |
| EOCT | Innovator Emerging Markets Power Buffer ETFs | US Option Based ETF | The Innovator Emerging Markets Power Buffer ETF – October is an exchange-traded fund incorporated in the USA. The ETF seeks to provide investors with returns t- hat match the price return of the iShares MSCI Emerging Markets ETF (to a prede- termined cap) with 1:1 downside exposure over the outcome period (approximately 1 year). The ETF can be held indefinitely resetting at the end of each period. |
| HAPR | Innovator Gold Strategy PLUS Income ETF | US Option Based ETF | The fund is an actively managed exchange-traded fund (ETF) that invests in U.S. Treasury bills (the U.S. Treasuries) and FLexible EXchange® Options (FLEX Options) that use as a reference asset the SPDR® S&P 500® ETF Trust (the Underlying ETF). The fund is non-diversified. |
| HJUL | Innovator Premium Income Buffer ETFs | US Option Based ETF | The investment seeks to provide investors over the period from July 1 2024 through June 30 2025 with an investment that provides a high level of income through a Defined Distribution Rate of 7.15% (prior to taking into account management fees and other fees) while providing a buffer against the first 9% of SPDR® S&P 500® ETF Trust losses. The fund is an actively managed exchange-traded fund (ETF) that invests in U.S. Treasury bills (the U.S. Treasuries) and FLexible EXchange® Options (FLEX Options) that use as a reference asset the SPDR® S&P 500® ETF Trust (the Underlying ETF). The fund is non-diversified. |
| HOCT | Innovator Premium Income Buffer ETFs | US Option Based ETF | The fund is an actively managed exchange-traded fund (ETF) that invests in U.S. Treasury bills (the U.S. Treasuries) and FLexible EXchange® Options (FLEX Options) that use as a reference asset the SPDR® S&P 500® ETF Trust. The fund is non-diversified. |
| IAUG | Innovator International Developed Power Buffer ETFs | US Option Based ETF | The fund invests under normal circumstances at least 80% of its net assets (plus any borrowings for investment purposes) in investments that provide exposure to the iShares MSCI EAFE ETF. FLEX Options are exchange-traded option contracts with uniquely customizable terms. The fund is non-diversified. |
| IBUF | Innovator Gold Strategy PLUS Income ETF | US Option Based ETF | The fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in FLexible EXchange® Options that reference the iShares MSCI EAFE ETF. FLEX Options are exchange-traded option contracts with uniquely customizable terms. The fund is non-diversified. |
| IDEC | Innovator International Developed Power Buffer ETFs | US Option Based ETF | The fund invests under normal circumstances at least 80% of its net assets (plus any borrowings for investment purposes) in investments that provide exposure to the iShares MSCI EAFE ETF. FLEX Options are exchange-traded option contracts with uniquely customizable terms. The fund is non-diversified. |
| IFEB | Innovator International Developed Power Buffer ETFs | US Option Based ETF | The fund invests at least 80% of its net assets in FLexible EXchange® Options (FLEX Options) that reference the iShares MSCI EAFE ETF (the underlying ETF). FLEX Options are exchange-traded option contracts with uniquely customizable terms. Although guaranteed for settlement by the Options Clearing Corporation (the OCC) FLEX Options are still subject to counterparty risk with the OCC and may be less liquid than more traditional exchange-traded option contracts. The fund is non-diversified. |
| IGTR | Innovator Gradient Tactical Rotation Strategy ETF | US Option Based ETF | The investment seeks to provide long term capital appreciation with an objective of providing excess returns over the S&P Global Broad Market Index. The index is a market capitalization-weighted index providing a broad measure of global equities markets. The fund seeks to achieve its investment objective by identifying the global equity market segment that is displaying the strongest price momentum metrics. It is non-diversified. |
| IJUL | Innovator International Developed Power Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match those of the MSCI EAFE Price Index. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the MSCI EAFE Price Return Index. FLEX Options are exchange-traded options contracts with uniquely customizable terms. The reference asset for all of the fund s FLEX Options is the MSCI EAFE Price Index a quarterly reviewed index designed to represent the performance of large and mid-cap securities across 21 developed markets. It is non-diversified. |
| IJUN | Innovator International Developed Power Buffer ETFs | US Option Based ETF | The fund invests under normal circumstances at least 80% of its net assets (plus any borrowings for investment purposes) in investments that provide exposure to the iShares MSCI EAFE ETF (the Underlying ETF). FLEX Options are exchange-traded option contracts with uniquely customizable terms. The fund is non-diversified. |
| IMAR | Innovator International Developed Power Buffer ETFs | US Option Based ETF | The fund has adopted a policy pursuant to Rule 35d-1 under the 1940 Act to invest under normal circumstances at least 80% of its net assets (plus any borrowings for investment purposes) in investments that provide exposure to the iShares MSCI EAFE ETF (the Underlying ETF). The fund is non-diversified. |
| IMAY | Innovator International Developed Power Buffer ETFs | US Option Based ETF | The fund invests at least 80% of its net assets in FLexible EXchange® Options (FLEX Options) that reference the iShares MSCI EAFE ETF (the Underlying ETF). FLEX Options are exchange-traded option contracts with uniquely customizable terms. The fund is non-diversified. |
| INOV | Innovator International Developed Power Buffer ETFs | US Option Based ETF | The fund invests at least 80% of its net assets in FLexible EXchange® Options that reference the iShares MSCI EAFE ETF. FLEX Options are exchange-traded option contracts with uniquely customizable terms. It’s strategy has been specifically designed to produce the outcomes based upon the performance of the underlying ETFs share price over the duration of the outcome period. The fund is non-diversified. |
| IOCT | Innovator International Developed Power Buffer ETFs | US Option Based ETF | The Innovator International Developed Power Buffer ETF – October is an exchange- traded fund incorporated in the USA. The ETF seeks to provide investors with re- turns that match the price return of the iShares MSCI EAFE ETF (to a predetermin ed cap) with 1:1 downside exposure over the outcome period (approximately 1 year ). The ETF can be held indefinitely resetting at the end of each period/ |
| ISEP | Innovator International Developed Power Buffer ETFs | US Option Based ETF | The fund invests at least 80% of its net assets in FLexible EXchange® Options that reference the iShares MSCI EAFE ETF. The underlying ETF is an exchange-traded fund which seeks to track a quarterly reviewed index the MSCI EAFE Index designed to represent the performance of large and mid-cap securities across 21 developed markets including countries in Europe Australasia and the Far East excluding the United States and Canada. The fund is non-diversified. |
| JAJL | Innovator Equity Defined Protection ETFs | US Option Based ETF | The fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in FLexible EXchange® Options (FLEX Options) that reference the SPDR® S&P 500® ETF Trust (the Underlying ETF). The fund is non-diversified. |
| JANH | Innovator Premium Income Barrier ETFs | US Option Based ETF | The fund is an actively managed exchange-traded fund (ETF) that invests in U.S. Treasury bills (the U.S. Treasuries) and FLexible EXchange® Options (FLEX Options) that use as a reference asset a broad-based U.S. equity index specifically the S&P 500® Price Return Index (the U.S. Equity Index). The fund is non-diversified. |
| JANJ | Innovator Premium Income Barrier ETFs | US Option Based ETF | The fund is an actively managed exchange-traded fund (ETF) that invests in U.S. Treasury bills (the U.S. Treasuries) and FLexible EXchange® Options (FLEX Options) that use as a reference asset a broad-based U.S. equity index specifically the S&P 500® Price Return Index (the U.S. Equity Index). The fund is non-diversified. |
| JULD | Innovator Premium Income Barrier ETFs | US Option Based ETF | The fund is an actively managed exchange-traded fund (ETF) that invests in U.S. Treasury bills (the U.S. Treasuries) and FLexible EXchange® Options (FLEX Options) that use as a reference asset a broad-based U.S. equity index specifically the S&P 500® Price Return Index (the U.S. Equity index). -null-. The fund is non-diversified. |
| JULH | Innovator Gold Strategy PLUS Income ETF | US Option Based ETF | The fund is an actively managed exchange-traded fund (ETF) that invests in U.S. Treasury bills (the U.S. Treasuries) and FLexible EXchange® Options (FLEX Options) that use as a reference asset a broad-based U.S. equity index specifically the S&P 500® Price Return Index (the U.S. Equity index). The fund is non-diversified. |
| JULJ | Innovator Premium Income Barrier ETFs | US Option Based ETF | The fund is an actively managed exchange-traded fund (ETF) that invests in U.S. Treasury bills (the U.S. Treasuries) and FLexible EXchange® Options (FLEX Options) that use as a reference asset a broad-based U.S. equity index specifically the S&P 500® Price Return Index (the U.S. Equity index). The fund is non-diversified. |
| JULQ | Innovator Premium Income Barrier ETFs | US Option Based ETF | The fund is an actively managed exchange-traded fund (ETF) that invests in U.S. Treasury bills (the U.S. Treasuries) and FLexible EXchange® Options (FLEX Options) that use as a reference asset a broad-based U.S. equity index specifically the S&P 500® Price Return Index (the U.S. Equity index). The fund is non-diversified. |
| KAUG | Innovator Growth-100 Power Buffer ETFs | US Option Based ETF | The fund invests under normal circumstances at least 80% of its net assets (plus any borrowings for investment purposes) in investments that provide exposure to the iShares Russell 2000 ETF (the Underlying ETF). FLEX Options are exchange-traded option contracts with uniquely customizable terms. The fund is non-diversified. |
| KDEC | Innovator Growth-100 Power Buffer ETFs | US Option Based ETF | The fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in FLexible EXchange® Options (FLEX Options) that reference the iShares Russell 2000 ETF (the Underlying ETF). It is non-diversified. |
| KJAN | Innovator Growth-100 Power Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match the price return of the iShares Russell 2000 ETF. The fund invests at least 80% of its net assets in FLexible Exchange Options ( FLEX Options ) that reference the iShares Russell 2000 ETF (the Underlying ETF ). FLEX Options are exchange-traded options contracts with uniquely customizable terms. The Underlying ETF is an exchange-traded fund that seeks to track the investment results of the Russell 2000 Index which is a float-adjusted capitalization-weighted index of equity securities issued by the approximately 2000 smallest issuers in the Russell 3000 Index. It is non-diversified. |
| KJUN | Innovator Growth-100 Power Buffer ETFs | US Option Based ETF | The fund invests at least 80% of its net assets in FLexible Exchange® Options that reference the iShares Russell 2000 ETF. FLEX Options are exchange-traded option contracts with uniquely customizable terms. The fund is non-diversified. |
| KNOV | Innovator Growth-100 Power Buffer ETFs | US Option Based ETF | The fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in FLexible EXchange® Options (FLEX Options) that reference the iShares Russell 2000 ETF (the Underlying ETF). The fund is non-diversified. |
| KOCT | Innovator Growth-100 Power Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match those of the Russell 2000 Price Index. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the Russell 2000 Price Index. FLEX Options are exchange-traded options contracts with uniquely customizable terms. Although guaranteed for settlement by the Options Clearing Corporation (the ‘OCC’) FLEX Options are still subject to counterparty risk with the OCC and may be less liquid than more traditional exchange-traded options. It is non-diversified. |
| KSEP | Innovator Growth-100 Power Buffer ETFs | US Option Based ETF | The fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in FLexible EXchange® Options (FLEX Options) that reference the iShares Russell 2000 ETF (the Underlying ETF). The fund is non-diversified. |
| LAPR | Innovator Premium Income Buffer ETFs | US Option Based ETF | The fund is an actively managed exchange-traded fund (ETF) that invests in U.S. Treasury bills (the U.S. Treasuries) and FLexible EXchange® Options (FLEX Options) that use as a reference asset the SPDR® S&P 500® ETF Trust (the Underlying ETF). The fund is non-diversified. |
| LJAN | Innovator Premium Income Buffer ETFs | US Option Based ETF | The fund is an actively managed exchange-traded fund (ETF) that invests in U.S. Treasury bills (the U.S. Treasuries) and FLexible EXchange® Options (FLEX Options) that use as a reference asset the SPDR® S&P 500® ETF Trust (the Underlying ETF). The fund is non-diversified. |
| LJUL | Innovator Premium Income Buffer ETFs | US Option Based ETF | The fund is an actively managed exchange-traded fund (ETF) that invests in U.S. Treasury bills (the U.S. Treasuries) and FLexible EXchange® Options that use as a reference asset the SPDR® S&P 500® ETF Trust. The fund is non-diversified. |
| LOCT | Innovator Premium Income Buffer ETFs | US Option Based ETF | The fund is an actively managed exchange-traded fund (ETF) that invests in U.S. Treasury bills (the U.S. Treasuries) and FLexible EXchange® Options (FLEX Options) that use as a reference asset the SPDR® S&P 500® ETF Trust. The fund is non-diversified. |
| NAUG | Innovator Growth-100 Power Buffer ETFs | US Option Based ETF | The fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in FLexible Exchange® Options (FLEX Options) that reference the Invesco QQQ TrustSM Series 1 (the Underlying ETF). FLEX Options are exchange-traded option contracts with uniquely customizable terms. The fund is non-diversified. |
| NDEC | Innovator Growth-100 Power Buffer ETFs | US Option Based ETF | The fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in FLexible EXchange® Options (FLEX Options) that reference the Invesco QQQ TrustSM Series 1. The fund is non-diversified. |
| NJAN | Innovator Growth-100 Power Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match the price return of the Invesco QQQ TrustSM Series 1. The fund invests at least 80% of its net assets in FLexible Exchange Options (‘FLEX Options’) that reference the Invesco QQQ TrustSM Series 1 (the ‘Underlying ETF’). FLEX Options are exchange-traded options contracts with uniquely customizable terms. In general an option contract is an agreement between a buyer and seller that gives the purchaser of the option the right to buy or sell a particular asset at a specified future date at an agreed upon price. It is non-diversified. |
| NJUN | Innovator Growth-100 Power Buffer ETFs | US Option Based ETF | The fund invests at least 80% of its net assets in FLexible Exchange® Options that reference the Invesco QQQ TrustSM Series 1. FLEX Options are exchange-traded option contracts with uniquely customizable terms. An option contract is an agreement between a buyer and seller that gives the purchaser of the option the right to buy or sell a particular asset at a specified future date at an agreed upon price. -null-. The fund is non-diversified. |
| NNOV | Innovator Growth-100 Power Buffer ETFs | US Option Based ETF | The fund invests under normal circumstances at least 80% of its net assets in investments that provide exposure to the Invesco QQQ Trust SM Series 1. FLEX Options are exchange-traded option contracts with uniquely customizable terms. The fund is non-diversified. |
| NOCT | Innovator Growth-100 Power Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match those of the NASDAQ-100 Price Index. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the NASDAQ-100 Price Index. FLEX Options are exchange-traded options contracts with uniquely customizable terms. Although guaranteed for settlement by the Options Clearing Corporation (the ‘OCC’) FLEX Options are still subject to counterparty risk with the OCC and may be less liquid than more traditional exchange-traded options. It is non-diversified. |
| NSEP | Innovator Growth-100 Power Buffer ETFs | US Option Based ETF | The fund invests under normal circumstances at least 80% of its net assets (plus any borrowings for investment purposes) in investments that provide exposure to the Invesco QQQ Trust SM Series 1 (the Underlying ETF). FLEX Options are exchange-traded option contracts with uniquely customizable terms. The fund is non-diversified. |
| OCTD | Innovator Premium Income Barrier ETFs | US Option Based ETF | The fund is an actively managed exchange-traded fund (ETF) that invests in U.S. Treasury bills (the U.S. Treasuries) and FLexible EXchange® Options (FLEX Options) that use as a reference asset a broad-based U.S. equity index specifically the S&P 500® Price Return Index (the U.S. Equity Index). The fund is non-diversified. |
| OCTH | Innovator Premium Income Barrier ETFs | US Option Based ETF | The fund is an actively managed exchange-traded fund (ETF) that invests in U.S. Treasury bills (the U.S. Treasuries) and FLexible EXchange® Options (FLEX Options) that use as a reference asset a broad-based U.S. equity index specifically the S&P 500® Price Return Index. The fund is non-diversified. |
| OCTJ | Innovator Premium Income Barrier ETFs | US Option Based ETF | The fund is an actively managed exchange-traded fund (ETF) that invests in U.S. Treasury bills (the U.S. Treasuries) and FLexible EXchange® Options (FLEX Options) that use as a reference asset a broad-based U.S. equity index specifically the S&P 500® Price Return Index. The fund is non-diversified. |
| OCTQ | Innovator Premium Income Barrier ETFs | US Option Based ETF | The fund is an actively managed exchange-traded fund (ETF) that invests in U.S. Treasury bills and FLexible EXchange® Options that use as a reference asset a broad-based U.S. equity index specifically the S&P 500® Price Return Index. The fund is non-diversified. |
| PAUG | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match those of the S&P 500 Price Index. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the S&P 500 Price Return Index (‘S&P 500 Price Index’). FLEX Options are exchange-traded options contracts with uniquely customizable terms. It is non-diversified. |
| PDEC | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match those of the S&P 500 Price Index. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the S&P 500 Price Return Index (‘S&P 500 Price Index’). FLEX Options are exchange-traded options contracts with uniquely customizable terms. Although guaranteed for settlement by the Options Clearing Corporation (the ‘OCC’) FLEX Options are still subject to counterparty risk with the OCC and may be less liquid than more traditional exchange-traded options. It is non-diversified. |
| PFEB | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match the price return of the SPDR S&P 500 ETF Trust. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the SPDR S&P 500 ETF Trust (the ‘Underlying ETF’). FLEX Options are exchange-traded options contracts with uniquely customizable terms. Although guaranteed for settlement by the Options Clearing Corporation (the ‘OCC’) FLEX Options are still subject to counterparty risk with the OCC and may be less liquid than more traditional exchange-traded options. It is non-diversified. |
| PJAN | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match the price return of the SPDR S&P 500 ETF Trust. The fund invests at least 80% of its net assets in FLexible EXchange Options ( FLEX Options ) that reference the SPDR S&P 500 ETF Trust (the Underlying ETF ). FLEX Options are exchange-traded options contracts with uniquely customizable terms. Although guaranteed for settlement by the Options Clearing Corporation (the OCC ) FLEX Options are still subject to counterparty risk with the OCC and may be less liquid than more traditional exchange-traded options. The fund is non-diversified. |
| PJUN | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match those of the S&P 500 Price Index. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the S&P 500 Price Return Index. FLEX Options are exchange-traded options contracts with uniquely customizable terms. Although guaranteed for settlement by the Options Clearing Corporation FLEX Options are still subject to counterparty risk with the OCC and may be less liquid than more traditional exchange-traded options. It is non-diversified. |
| PMAR | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match the price return of the SPDR S&P 500 ETF Trust. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the SPDR S&P 500 ETF Trust (the ‘Underlying ETF’). FLEX Options are exchange-traded options contracts with uniquely customizable terms. Although guaranteed for settlement by the Options Clearing Corporation (the ‘OCC’) FLEX Options are still subject to counterparty risk with the OCC and may be less liquid than more traditional exchange-traded options. It is non-diversified. |
| PMAY | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match those of the S&P 500 Price Index. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the S&P 500 Price Return Index (‘S&P 500 Price Index’). FLEX Options are exchange-traded options contracts with uniquely customizable terms. Although guaranteed for settlement by the Options Clearing Corporation (the ‘OCC’) FLEX Options are still subject to counterparty risk with the OCC and may be less liquid than more traditional exchange-traded options. It is non-diversified. |
| PNOV | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match those of the S&P 500 Price Index. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the S&P 500 Price Return Index (‘S&P 500 Price Index’). FLEX Options are exchange-traded options contracts with uniquely customizable terms. Although guaranteed for settlement by the Options Clearing Corporation (the ‘OCC’) FLEX Options are still subject to counterparty risk with the OCC and may be less liquid than more traditional exchange-traded options. It is non-diversified. |
| POCT | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match those of the S&P 500 Price Index. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the S&P 500 Price Return Index (‘S&P 500 Price Index’). The reference asset for all of the fund s FLEX Options is the S&P 500 Price Index a large-cap market-weighted U.S. equities index that tracks the price (excluding dividends) of the 500 leading companies in leading industries. The fund is non-diversified. |
| PSEP | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match those of the S&P 500 Price Index. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the S&P 500 Price Return Index (‘S&P 500 Price Index’). FLEX Options are exchange-traded options contracts with uniquely customizable terms. Although guaranteed for settlement by the Options Clearing Corporation (the ‘OCC’) FLEX Options are still subject to counterparty risk with the OCC and may be less liquid than more traditional exchange-traded options. It is non-diversified. |
| PSTP | Innovator Power Buffer Step-Up Stgy ETF | US Option Based ETF | The investment seeks to provide investors with investment exposure to the price return of the SPDR® S&P 500® ETF Trust. The fund is an actively managed exchange-traded fund (ETF) that seeks to provide risk-managed investment exposure to the SPDR® S&P 500® ETF Trust (the Underlying ETF). It seeks to achieve its investment objective by investing substantially all of its assets in exchange-traded options contracts on the Underlying ETF. The Advisor intends to implement its investment strategy through an Options Portfolio comprised of FLexible EXchange® Options that reference the Underlying ETF with one-year expiration dates. It is non-diversified. |
| QBUF | Innovator Gold Strategy PLUS Income ETF | US Option Based ETF | The investment seeks capital appreciation with a measure of downside protection by providing investors with returns that match the price return of the Invesco QQQ TrustSM Series 1. The fund invests at least 80% of its net assets in FLexible EXchange® Options that reference the Invesco QQQ TrustSM Series 1. The fund is non-diversified. |
| QFLR | Innovator Gold Strategy PLUS Income ETF | US Option Based ETF | The fund is an actively managed exchange-traded fund (ETF) that under normal market circumstances seeks to provide capital appreciation through participation in the large-capitalization U.S. equity securities of the Nasdaq-100® Index (the Nasdaq-100) while limiting the potential for maximum losses. The fund is non-diversified. |
| QHDG | Innovator Gold Strategy PLUS Income ETF | US Option Based ETF | The fund is an actively managed ETF that under normal market circumstances seeks to provide capital appreciation through exposure to the constituents in the Nasdaq-100® Index while providing a level of downside or hedged protection. It will invest at least 80% of its net assets in equity securities and option contracts that provide economic exposure to the Nasdaq-100. |
| QTOC | Innovator Growth Accelerated Plus ETFs® | US Option Based ETF | The Innovator Growth Accelerated Plus ETF – October is an exchange-traded fund incorporated in the USA. The ETF seeks to provide investors with returns that a- re triple those of the Invesco QQQ Trust (to a predetermined cap) with 1:1 down- side exposure over the outcome period (approximately 1 year). |
| RBUF | Innovator Gold Strategy PLUS Income ETF | US Option Based ETF | The fund invests at least 80% of its net assets in FLexible EXchange® Options (FLEX Options) that reference the iShares Russell 2000 ETF (the Underlying ETF). FLEX Options are exchange-traded option contracts with uniquely customizable terms. The fund is non-diversified. |
| RFLR | Innovator Gold Strategy PLUS Income ETF | US Option Based ETF | The fund will invest at least 80% of its net assets (including borrowings for investment purposes) in equity securities of U.S. small capitalization companies and option contracts that give economic exposure to equity securities of U.S. small capitalization companies. The fund is non-diversified. |
| SFLR | Innovator Equity Managed Floor ETF | US Option Based ETF | The investment seeks to provide capital appreciation while seeking to limit the amount of losses experienced by investors. The fund is an actively managed ETF that seeks to provide capital appreciation through participation in the large-capitalization U.S. equity markets while limiting the potential for maximum losses. The Advisor intends to invest in a diversified portfolio of equity securities that are included in the Solactive GBS United States 500 Index together with put and call option contracts in an effort to reduce the potential for losses associated with the returns of U.S. large capitalization equity market investments. It is non-diversified. |
| TJAN | Innovator Equity Defined Protection ETFs | US Option Based ETF | The fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in FLexible EXchange® Options (FLEX Options) that reference the SPDR® S&P 500® ETF Trust (the Underlying ETF). The fund is non-diversified. |
| TJUL | Innovator Equity Defined Protection ETFs | US Equity ETF | The fund invests at least 80% of its net assets in FLexible EXchange® Options (FLEX Options) that reference the SPDR® S&P 500® ETF Trust (the Underlying ETF). FLEX Options are exchange-traded option contracts with uniquely customizable terms. The fund is non-diversified. |
| UAUG | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match those of the S&P 500 Price Index. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the S&P 500 Price Return Index (‘S&P 500 Price Index’). FLEX Options are exchange-traded options contracts with uniquely customizable terms. It is non-diversified. |
| UDEC | Innovator S&P 500 Ultra Buffer ETF | US Option Based ETF | The investment seeks to provide investors with returns that match those of the S&P 500 Price Index. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the S&P 500 Price Return Index (‘S&P 500 Price Index’). FLEX Options are exchange-traded options contracts with uniquely customizable terms. Although guaranteed for settlement by the Options Clearing Corporation (the ‘OCC’) FLEX Options are still subject to counterparty risk with the OCC and may be less liquid than more traditional exchange-traded options. It is non-diversified. |
| UFEB | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match the price return of the SPDR S&P 500 ETF Trust. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the SPDR S&P 500 ETF Trust (the ‘Underlying ETF’). FLEX Options are exchange-traded options contracts with uniquely customizable terms. Although guaranteed for settlement by the Options Clearing Corporation (the ‘OCC’) FLEX Options are still subject to counterparty risk with the OCC and may be less liquid than more traditional exchange-traded options. It is non-diversified. |
| UJAN | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match the price return of the SPDR S&P 500 ETF Trust. The fund invests at least 80% of its net assets in FLexible EXchange Options ( FLEX Options ) that reference the SPDR S&P 500 ETF Trust (the Underlying ETF ). FLEX Options are exchange-traded options contracts with uniquely customizable terms. The reference asset for all of the fund s FLEX Options is the Underlying ETF an exchange-traded unit investment trust that seeks to provide investment results that before expenses correspond generally to the price and yield performance of the S&P 500 Index. The fund is non-diversified. |
| UJUN | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match those of the S&P 500 Price Index. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the S&P 500 Price Return Index. FLEX Options are exchange-traded options contracts with uniquely customizable terms. Although guaranteed for settlement by the Options Clearing Corporation FLEX Options are still subject to counterparty risk with the OCC and may be less liquid than more traditional exchange-traded options. It is non-diversified. |
| UMAR | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match the price return of the SPDR S&P 500 ETF Trust. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the SPDR S&P 500 ETF Trust (the ‘Underlying ETF’). FLEX Options are exchange-traded options contracts with uniquely customizable terms. Although guaranteed for settlement by the Options Clearing Corporation (the ‘OCC’) FLEX Options are still subject to counterparty risk with the OCC and may be less liquid than more traditional exchange-traded options. It is non-diversified. |
| UMAY | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match those of the S&P 500 Price Index. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the S&P 500 Price Return Index (‘S&P 500 Price Index’). FLEX Options are exchange-traded options contracts with uniquely customizable terms. Although guaranteed for settlement by the Options Clearing Corporation (the ‘OCC’) FLEX Options are still subject to counterparty risk with the OCC and may be less liquid than more traditional exchange-traded options. It is non-diversified. |
| UNOV | Innovator U.S. Equity Ultra Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match those of the S&P 500 Price Index. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the S&P 500 Price Return Index (‘S&P 500 Price Index’). FLEX Options are exchange-traded options contracts with uniquely customizable terms. Although guaranteed for settlement by the Options Clearing Corporation (the ‘OCC’) FLEX Options are still subject to counterparty risk with the OCC and may be less liquid than more traditional exchange-traded options. It is non-diversified. |
| UOCT | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match those of the S&P 500 Price Index. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the S&P 500 Price Return Index (‘S&P 500 Price Index’). The reference asset for all of the fund s FLEX Options is the S&P 500 Price Index a large-cap market-weighted U.S. equities index that tracks the price (excluding dividends) of the 500 leading companies in leading industries. The fund is non-diversified. |
| USEP | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match those of the S&P 500 Price Index. The fund invests at least 80% of its net assets in FLexible EXchange Options (‘FLEX Options’) that reference the S&P 500 Price Return Index (‘S&P 500 Price Index’). FLEX Options are exchange-traded options contracts with uniquely customizable terms. Although guaranteed for settlement by the Options Clearing Corporation (the ‘OCC’) FLEX Options are still subject to counterparty risk with the OCC and may be less liquid than more traditional exchange-traded options. It is non-diversified. |
| XBOC | Innovator U.S. Equity Accelerated 9 Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that are twice those of the SPDR S&P 500 ETF Trust. The fund will invest at least 80% of its net assets in a portfolio of FLexible EXchange® Options (FLEX Options) that reference the SPDR® S&P 500® ETF Trust (the underlying ETF). The underlying ETF seeks to track the investment results of the S&P 500 Index a large-cap market-weighted U.S. equities index that tracks the performance of 500 leading companies in leading industries. The fund is non-diversified. |
| XDOC | Innovator U.S. Equity Accelerated ETFs® | US Option Based ETF | The Innovator U.S. Equity Accelerated ETF – October is an exchange-traded fund incorporated in the USA. The ETF seeks to provide investors with returns that a- re double those of the SPDR S&P 500 ETF Trust (to a predetermined cap) with 1:1 downside exposure over the outcome period (approximately 1 year). The ETF can be held indefinitely resetting at the end of each outcome period. |
| XTOC | Innovator U.S. Equity Accelerated Plus ETFs® | US Option Based ETF | The Innovator U.S. Equity Accelerated Plus ETF – October is an exchange-traded fund incorporated in the USA. The ETF seeks to provide investors with returns that are triple those of the SPDR S&P 500 ETF Trust (to a predetermined cap) w- ith 1:1 downside exposure over the outcome period (approximately 1 year). The E- TF can be held indefinitely resetting at the end of each outcome period/ |
| XUSP | Innovator Uncapped Accelerated US Eq ETF | US Option Based ETF | The investment seeks to provide investors prior to taking into account management fees and other fees with the potential for rates of return that outperform the price return of the SPDR® S&P 500® ETF Trust after achieving performance thresholds. The fund is an actively managed ETF that invests in option contracts designed to provide returns at the expiration of the funds option contracts that are at a rate that is greater than the price return increases if any of the SPDR® S&P 500® ETF Trust following the point in which the Underlying ETF exceeds performance threshold levels established by the fund. It is non-diversified. |
| ZALT | Innovator Gold Strategy PLUS Income ETF | US Option Based ETF | The fund invests at least 80% of its net assets in FLexible EXchange® Options that reference the SPDR® S&P 500® ETF Trust. FLEX Options are exchange-traded options contracts with uniquely customizable terms. The fund is non-diversified. |
| ZAUG | Innovator Equity Defined Protection ETFs | US Option Based ETF | The fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in FLexible EXchange® Options (FLEX Options) that reference the SPDR® S&P 500® ETF Trust (the Underlying ETF). The fund is non-diversified. |
| ZDEK | Innovator Equity Defined Protection ETFs | US Option Based ETF | The fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in FLexible EXchange® Options (FLEX Options) that reference the SPDR® S&P 500® ETF Trust. The fund is non-diversified. |
| ZJAN | Innovator Equity Defined Protection ETFs | US Option Based ETF | The fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in FLexible EXchange® Options (FLEX Options) that reference the SPDR® S&P 500® ETF Trust (the Underlying ETF). The fund is non-diversified. |
| ZJUL | Innovator Equity Defined Protection ETFs | US Option Based ETF | The fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in FLexible EXchange® Options (FLEX Options) that reference the SPDR® S&P 500® ETF Trust (the Underlying ETF). The fund is non-diversified. |
| ZNOV | Innovator Equity Defined Protection ETFs | US Option Based ETF | The fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in FLexible EXchange® Options (FLEX Options) that reference the SPDR® S&P 500® ETF Trust (the Underlying ETF). The fund is non-diversified. |
| ZOCT | Innovator Equity Defined Protection ETFs | US Option Based ETF | The fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in FLexible EXchange® Options (FLEX Options) that reference the SPDR® S&P 500® ETF Trust. The fund is non-diversified. |
| ZSEP | Innovator Equity Defined Protection ETFs | US Option Based ETF | The fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in FLexible EXchange® Options (FLEX Options) that reference the SPDR® S&P 500® ETF Trust (the Underlying ETF). The fund is non-diversified. |
| UJUL | Innovator U.S. Equity Buffer ETFs | US Option Based ETF | The investment seeks to provide investors with returns that match those of the S&P 500 Price Index. The fund invests at least 80% of its net assets in FLexible EXchange Options that reference the S&P 500 Price Return Index. The S&P 500 Price Index is a large-cap market-weighted U.S. equities index that tracks the price (excluding dividends) of the 500 leading companies in leading industries. The fund is non-diversified. |
| YYY | YieldShares High Income ETF | US Asset Allocation ETF | The investment seeks to track the investment results (before fees and expenses) of the Nasdaq BulletShares USD Corporate Bond 2025 Index (the ‘underlying index’). The fund generally will invest at least 80% of its total assets in securities that comprise the underlying index. The underlying index seeks to measure the performance of a portfolio of U.S. dollar-denominated investment grade corporate bonds with maturities or in some cases ‘effective maturities’ in the year 2025 (collectively ‘2025 Bonds’). |
| YYY | YieldShares High Income ETF | US Asset Allocation ETF | The investment seeks to track the investment results (before fees and expenses) of the S&P/LSTA U.S. Leveraged Loan 100 Index. The fund generally will invest at least 80% of its total assets in the components of the index. Strictly in accordance with its guidelines and mandated procedures. S&P Dow Jones Indices LLC compiles maintains and calculates the index which tracks the market value weighted performance of the largest institutional leveraged loans based on market weightings spreads and interest payments. |
| TOV | JLens 500 Jewish Advocacy U.S. ETF | US Equity ETF | The index is designed to provide exposure to large cap U.S. equity securities included in the VettaFi US Equity Large-Cap 500 Index while maintaining alignment with JLens Jewish value pillars. Under normal circumstances at least 80% of the net assets plus borrowings for investment purposes of the fund will be invested in securities that are principally traded in the United States. |
| JHCR | John Hancock Core Bond ETF | US Fixed Income ETF | Under normal market conditions the fund invests at least 80% of its net assets in investment-grade bonds (securities rated from AAA to BBB by S&P Global Ratings (S&P) and Fitch Ratings Inc. (Fitch Ratings) and Aaa to Baa by Moodys Investors Service Inc. (Moodys) or equivalent by any nationally recognized statistical rating organization (NRSRO) or their unrated equivalents as determined to be of comparable credit quality by the funds manager). |
| JHCP | John Hancock Core Plus Bond ETF | US Fixed Income ETF | Under normal market conditions the fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in a diversified portfolio of bonds. These may include corporate bonds debentures and notes convertible securities hybrid securities mortgage-backed and asset-backed securities To-be-announced mortgage contracts U.S. dollar denominated securities of foreign governments and corporations U.S. government and agency securities and variable and floating rate securities. |
| JDVI | John Hancock Disciplined Value International Select ETF | Global Equity ETF | Under normal market conditions the fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in a portfolio of equity and equity-related securities issued by non-U.S. large and mid-capitalization companies that meet the funds value criteria. The fund generally invests in the equity securities of issuers the manager believes are undervalued. The fund is non-diversified. |
| JHMU | John Hancock Dynamic Municipal Bond ETF | US Fixed Income ETF | The investment seeks to provide investment results that closely correspond before fees and expenses to the performance of the John Hancock Dimensional Utilities Index (the index). The fund normally invests at least 80% of its net assets (plus any borrowings for investment purposes) in securities that compose the fund s index. The index is designed to comprise securities in the utilities sector within the U.S. Universe whose market capitalizations are larger than that of the 1001st largest U.S. company at the time of reconstitution. The fund is non-diversified. |
| JHHY | John Hancock High Yield ETF | US Fixed Income ETF | Under normal market conditions the fund invests at least 80% of its net assets in U.S.-dollar-denominated high-yield corporate bonds. Such corporate bonds are below-investment-grade securities rated from BB+ to D by S&P Global Ratings or by Fitch Ratings Inc. or from Ba1 to D by Moodys Investors Service Inc. or a comparable rating by any nationally recognized statistical rating organization (NRSRO) or unrated equivalents. |
| ORR | Militia Long/Short Equity ETF | Global Equity ETF | The investment seeks capital appreciation. The fund is an actively managed exchange-traded fund (ETF) that seeks to achieve its investment objective by investing in both long and short positions in equity securities or ETFs that Militia Investments LLC the sub-adviser to the fund (the Sub-Adviser) believes offer the potential for capital appreciation. The fund is non-diversified. |
| NBCM | Neuberger Berman Commodity Strategy ETF | Commodity Based ETF | The investment seeks total return. The fund seeks to achieve its goal by investing under normal circumstances in commodity-linked derivative instruments and fixed income instruments. Commodities are assets such as oil natural gas agricultural products or metals. The funds fixed income investments will be primarily in investment grade fixed income securities and are intended to provide liquidity and preserve capital and may serve as collateral for the funds derivative instruments. |
| PAPI | Parametric Equity Premium Income ETF | US Equity ETF | The fund is an actively managed exchange-traded fund. Under normal circumstances the fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in equity securities. Equity securities in which the fund may invest include common stocks. |
| PHEQ | Parametric Hedged Equity ETF | US Equity ETF | The fund seeks to provide capital appreciation by investing its net assets in equity securities of certain U.S. large capitalization companies that are constituents of the Solactive GBS U.S. 500 at the time of purchase. |
| PAAA | PGIM AAA CLO ETF | US Fixed Income ETF | Under normal circumstances the fund invests at least 80% of its investable assets in U.S. dollar-denominated collateralized loan obligations (?CLOs?) that are at the time of purchase rated AAA (or equivalent) by at least one nationally recognized statistical rating organization (?NRSRO?) or if unrated determined by the subadviser to be of comparable quality. The fund is non-diversified. |
| PSDM | PGIM short duration multi-sector ETF | US Fixed Income ETF | The fund seeks to achieve its objective by investing in fixed income instruments whereby issuers borrow money from investors in return for either a fixed or variable rate of interest and eventual repayment of the amount borrowed. The fund invests under normal circumstances at least 80% of its investable assets in fixed income instruments with varying maturities. |
| CMDT | PIMCO Commodity Strategy Active ETF | Commodity Based ETF | The fund seeks to achieve its investment objective by investing under normal circumstances in commodity-linked derivative instruments backed by an actively managed and diversified portfolio of Fixed Income Instruments of varying maturities and may also invest directly in commodities. The fund is non-diversified. |
| PMBS | PIMCO Mortgage-Backed Securities Active ETF | US Fixed Income ETF | The investment seeks maximum total return consistent with preservation of capital and prudent investment management. The fund seeks to achieve its investment objective by investing under normal circumstances at least 80% of its assets in a diversified portfolio of mortgage-related fixed income instruments of varying maturities which may be represented by forwards or derivatives such as options futures contracts or swap agreements. |
| PYLD | PIMCO Multisector Bond Active ETF | Global Fixed Income ETF | The fund seeks to achieve its investment objective by investing under normal circumstances at least 80% of its assets in a multi-sector portfolio of Fixed Income Instruments of varying maturities which may be represented by forwards or derivatives such as options futures contracts or swap agreements. Fixed Income Instruments include bonds debt securities and other similar instruments issued by various U.S. and non-U.S. public- or private-sector entities. |
| BILZ | PIMCO Ultra Short Government Active ETF | US Fixed Income ETF | The investment seeks maximum current income consistent with preservation of capital and daily liquidity. The fund invests 100% of its total assets in (i) cash (ii) U.S. government securities such as U.S. Treasury bills notes and other obligations issued by or guaranteed as to principal and interest by the U.S. government (including its agencies and instrumentalities) and (iii) repurchase agreements that are collateralized fully by such U.S. government securities or cash. |
| SKYU | ProShares Ultra Cloud Computing ETF | US Equity ETF | The index is comprised of companies classified as ‘cloud computing’ companies by the CTA. The fund will obtain leveraged exposure to at least 80% of its total assets in component securities of the index or in instruments with similar economic characteristics. It is non-diversified. |
| RCGE | RockCreek Global Equality ETF | Global Equity ETF | The investment seeks to achieve long-term capital appreciation. Under normal circumstances the fund will invest in equity securities of companies that have demonstrated a commitment to managing their organizations with a gender-balance approach (e.g. seeking gender balance across its management or employees). The fund will typically invest in common and preferred stocks ADRs and GDRs of companies located in a number of countries throughout the world including issuers located in emerging markets. The fund is non-diversified. |
| MAXI | Simplify Bitcoin Strategy PLUS Income ETF | Commodity Based ETF | The fund is an actively managed exchange-traded fund (an ETF). The funds adviser seeks to achieve its investment objective by using three strategies: (1) a Bitcoin strategy (2) an income strategy and (3) an option overlay strategy. Under normal market conditions the adviser selects investments in Bitcoin related instruments so that the total value of economic Bitcoin exposure is approximately 50% to 200% of the net assets of the fund. It is non-diversified. |
| CAS | Simplify China A Shares PLUS Income ETF | US Derivative Based ETF | The investment seeks capital appreciation and income. Under normal circumstances the fund invests at least 80% of its net assets in China A Shares and/or through instruments that have economic characteristics substantially similar to China A Shares. China A Shares are equity securities issued by companies incorporated in mainland China and are denominated and traded in renminbi (RMB) on stock exchanges in mainland China such as the Shenzhen Shanghai and Beijing Stock Exchanges. The fund is non-diversified. |
| HARD | Simplify Commodities Strategy No K-1 ETF | Commodity Based ETF | The adviser seeks to achieve the funds investment objective by investing in commodity futures contracts. Under normal market conditions the fund invests in a portfolio of futures contracts on commodities and commodity indices. The advisor attempts to capture the economic benefit derived from rising trends based on the price changes of the futures contracts. |
| RFIX | Simplify Downside Interest Rate Hedge Strategy ETF | US Derivative Based ETF | The fund is an actively managed ETF. The adviser seeks to achieve the funds investment objective by allocating the funds assets between interest rate related derivatives and interest income producing debt instruments. The fund is non-diversified. |
| HIGH | Simplify Enhanced Income ETF | US Option Based ETF | The fund invests primarily in interest income producing U.S. Treasury securities such as bills notes and bonds and fixed income ETFs that invest primarily in U.S. Treasuries. The fund targets an average securities portfolio duration of two years or less but does not restrict individual security maturity. The fund adviser expects to gain exposure to certain options markets by investing up to 25% of its assets in a wholly owned subsidiary of the fund organized under the laws of the Cayman Islands. |
| GAEM | Simplify Gamma Emerging Market Bond ETF 6 | US Fixed Income ETF | The fund is an actively managed exchange-traded fund that seeks to achieve its investment objective by investing primarily in bonds issued by or tied economically to issuers in emerging markets denominated in USD or local currency. Under normal circumstances the fund will invest at least 80% of its net assets (plus any borrowings for investment purposes) in debt securities of issuers in emerging markets. It is non-diversified. |
| YGLD | Simplify Gold Strategy PLUS Income ETF | Commodity Based ETF | Under normal market conditions at the start of each quarter the adviser selects gold futures so that the total value of economic gold exposure is up to approximately 150% of the net assets of the fund. To generate income the fund employs an exchange traded and over-the-counter (OTC) option spread writing strategy on equity fixed income and currency ETFs. The fund is non-diversified. |
| FIG | Simplify Macro Strategy ETF 3 | US Derivative Based ETF | The fund will primarily invest in equity fixed income and alternative ETFs that are managed by the adviser. It may invest up to 20% of the funds portfolio in derivatives. Such derivatives include equity treasury commodity and currency futures (derivative contracts that obligate the buyer or seller to transact at a set price and predetermined time) and exchange-traded and over the counter (OTC) put and call options on equities treasuries commodities and currencies or futures. |
| EQLS | Simplify Market Neutral Equity Long/Short ETF | US Derivative Based ETF | The fund invests in equity securities primarily through total return swaps that provide the returns long or short of a basket of common stocks. The companies in the swap basket are selected using a third-party multi-factor quantitative ranking system based on machine learning. The ranking system seeks to identify the factors that are driving both positive and negative returns. |
| MTBA | Simplify MBS ETF | US Fixed Income ETF | The fund invests at least 80% of its net assets in mortgage-backed securities. The advisor defines MBS as any agency or non-agency residential or commercial mortgage-backed security and any futures contract forward agreement swap contract or option linked to the preceding. It is an actively managed exchange-traded fund that seeks to achieve its investment objectives by investing primarily in MBSs issued by the Government National Mortgage Association Federal National Mortgage Association and Federal Home Loan Mortgage Corporation. |
| QIS | Simplify Multi-QIS Alternative ETF | US Derivative Based ETF | The fund is an actively managed ETF that seeks to achieve its investment objective by investing primarily through total return swaps in a diversified portfolio of third-party quantitative investment strategies across equities interest rates commodities and currencies. The swaps provide returns to the fund that are based on model portfolios generated by the quantitative investment strategies. |
| NMB | Simplify National Muni Bond ETF | US Fixed Income ETF | The fund is an actively managed exchange-traded fund that seeks to achieve its investment objectives by investing primarily in investment grade U.S. municipal bonds and applying an income generating option strategy. Under normal circumstances the fund will invest at least 80% of its net assets (plus any borrowings for investment purposes) in U.S. municipal bonds. |
| NXTI | Simplify NEXT Intangible Core Index ETF | Global Equity ETF | The fund seeks to achieve its investment objective by investing at least 80% of its net assets (plus any borrowings for investment purposes) in securities included in the index. The index is designed to measure the performance of U.S. stocks of companies that exhibit relatively high intangible capital-to-book assets ratios within their respective sector. |
| NXTV | Simplify NEXT Intangible Value Index ETF | Global Equity ETF | The fund seeks to achieve its investment objective by investing at least 80% of its net assets (plus any borrowings for investment purposes) in securities included in the index. The index is designed to measure the performance of U.S. stocks of companies that exhibit low equity valuations relative to their intangible-adjusted book values within their respective sector. |
| CRDT | Simplify Opportunistic Income ETF | US Fixed Income ETF | The fund is an actively managed exchange-traded fund (ETF) that seeks to achieve its investment objective by investing primarily in fixed income securities. Under normal circumstances the fund invests primarily in income producing securities including U.S. and foreign investment grade and high yield (junk) corporate bonds and preferred stock bonds issued by the U.S. Treasury and bank loans. |
| SURI | Simplify Propel Opportunities ETF 7 | Global Equity ETF | The fund is an actively managed exchange-traded fund. The Sub-Adviser concentrates the fund’s investments (i.e. invests more than 25% of its net assets) in the securities of issuers in the biotechnology pharmaceuticals healthcare technology and life science tools and services industries. The Sub-Adviser employs an actively managed opportunistic multi-asset strategy that focuses on common stock preferred stock convertible bonds structured notes corporate notes and bonds and ETFs that primarily invest in the preceding security types. The fund is non-diversified. |
| TUA | Simplify Short Term Treasury Futures Strategy ETF 2 | US Fixed Income ETF | The fund invests primarily in futures contracts call options and put options on U.S. Treasury futures U.S. government securities such as bills notes and bonds issued by the U.S. Treasury or fixed income ETFs that invest in U.S. Treasuries. The fund will hold cash and cash-like instruments or high-quality short term fixed income securities. |
| IOPP | Simplify Tara India Opportunities ETF 5 | Global Equity ETF | Under normal circumstances the fund invests at least 80% of its assets in securities of Indian issuers. The manager define Indian issuers as entities: (i) organized in India; (ii) having a class of securities whose principal securities market is in India; (iii) deriving more than 50% of total revenues or earnings from goods produced sales made or services provided in India; or (iv) maintaining more than 50% of its employees assets investments operations or other business activity in India. |
| BUCK | Simplify Treasury Option Income ETF | US Fixed Income ETF | The investment seeks to provide monthly income. The funds investment adviser seeks to fulfill the funds investment objective by using two income strategies: (1) an interest income strategy and (2) an income generating option strategy. The fund invests primarily in interest income producing U.S. Treasury securities such as bills notes and bonds and fixed income ETFs that invest primarily in U.S. Treasuries. To generate additional income the fund employs an option spread writing strategy on equity ETFs and fixed income ETFs. |
| SPQ | Simplify US Equity PLUS QIS ETF | US Fund of Funds ETF | The fund invests at least 80% of its net assets in equity securities of U.S. entities. The advisor defines equity securities as common stock preferred stock and futures on common stock. Additionally the advisor defines U.S. entities as those organized in the U.S.; having a class of securities whose principal securities market is in the U.S.; or deriving more than 50% of its total revenues or earnings from goods produced sales made or services provided in the U.S. or maintaining more than 50% of its employees assets investments operations or other business activity in the U.S. |
| SCY | Simplify US Small Cap PLUS Income ETF | US Option Based ETF | The adviser seeks to achieve the funds investment objective by investing primarily in equity securities of U.S. small cap companies and applying an income generating option strategy. Under normal circumstances the fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in securities of U.S. small-capitalization companies primarily by purchasing exchange-traded funds (ETFs). The fund is non-diversified. |
| TESL | Simplify Volt TSLA Revolution ETF | US Option Based ETF | Under normal circumstances the fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in Tesla-related instruments. The manager defines Tesla-related instruments as Tesla common stock Tesla linked ETFs Tesla linked swap contracts and Tesla call options. The fund includes any leveraging effect of ETFs swaps and call options for the purposes of the 80% test. It is non-diversified. |
| WUSA | Simplify Wolfe US Equity 150/50 ETF | US Derivative Based ETF | The fund invests primarily in total return swaps that provide the returns long or short of a basket of common stocks. Under normal circumstances the fund invests at least 80% of its net assets (plus any borrowings for investment purposes) in equity securities of U.S. companies. Equity securities include investments that provide long or short exposure to equity securities including total return swaps. |
| STSB | Stance Sustainable Beta ETF | US Equity ETF | At least 80% of the funds net assets plus borrowings for investment purposes will be invested in the equity securities of Eligible Companies that do not derive any revenue from fossil fuel production fossil fuel power generation tobacco production production of GMOs nuclear power generation weapons production or hazardous pesticide production. The index measures the performance of an equal-weighted portfolio of approximately 100 large- mid-capitalization equity securities of U.S.-listed companies. |
| SHUS | Stratified LargeCap Hedged ETF | US Equity ETF | The fund will also invest in index options for risk management purposes and to seek to generate additional returns. Syntaxs Stratified Weight methodology is designed to correct for business risk concentrations that regularly occur in capitalization-weighted indices and equal-weighted indices. |
| LBO | WHITEWOLF Publicly Listed Private Equity ETF | US Equity ETF | The fund is an actively managed exchange-traded fund (ETF) that seeks to achieve its investment objective by investing under normal circumstances at least 80% of its net assets (plus the amount of any borrowings for investment purposes) in securities of U.S. publicly listed private equity companies. It defines listed private equity companies as Leverage Finance Providers and Buyout Firms Sponsors and Asset Managers (collectively Listed Private Equity Companies) that are listed and traded on a U.S. national securities exchange. The fund is non-diversified. |
| YYY | YieldShares High Income ETF | US Asset Allocation ETF | The investment seeks to track the price and yield performance before fees and expenses of the WisdomTree Emerging Markets High Dividend Index. Under normal circumstances at least 95% of the fund s total assets (exclusive of collateral held from securities lending) will be invested in component securities of the index and investments that have economic characteristics that are substantially identical to the economic characteristics of such component securities. The index is a fundamentally weighted index that is comprised of the highest dividend-yielding common stocks selected from the WisdomTree Emerging Markets Dividend Index. The fund is non-diversified. |
| DFE | WisdomTree Europe SmallCap Dividend Fund | Global Equity ETF | The investment seeks to track the price and yield performance before fees and expenses of the WisdomTree Europe SmallCap Dividend Index. Under normal circumstances at least 95% of the fund s total assets (exclusive of collateral held from securities lending) will be invested in component securities of the index and investments that have economic characteristics that are substantially identical to the economic characteristics of such component securities. The index is a fundamentally weighted index that is comprised of the small-capitalization segment of the European dividend-paying market. The fund is non-diversified. |
| YOKE | YOKE Core ETF | US Equity ETF | The investment seeks to achieve capital appreciation. The fund is an actively managed exchange-traded fund (ETF) that seeks to achieve its investment objective by investing in a dynamic tactical asset allocation portfolio across domestic and international equity markets. It invests in domestic and international equity securities (including common stock other ETFs real estate investment trusts (REITs) American Depositary Receipts (ADRs) and Global Depositary Receipts (GDRs)). |
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