Fund
Name |
Ticker |
Listing
Exchange |
JPMorgan
BetaBuilders Canada ETF (the “BetaBuilders Canada
ETF”) |
BBCA |
Cboe
BZX Exchange, Inc. |
JPMorgan
BetaBuilders Developed Asia Pacific ex-Japan ETF (the
“BetaBuilders
Developed Asia Pacific ex-Japan ETF”) |
BBAX |
Cboe
BZX Exchange, Inc. |
JPMorgan
BetaBuilders Emerging Markets Equity ETF (the “BetaBuilders
Emerging
Markets Equity ETF”) |
BBEM |
Cboe
BZX Exchange, Inc. |
JPMorgan
BetaBuilders Europe ETF (the “BetaBuilders Europe
ETF”) |
BBEU |
Cboe
BZX Exchange, Inc. |
JPMorgan
BetaBuilders International Equity ETF (the “BetaBuilders
International
Equity ETF”) |
BBIN |
Cboe
BZX Exchange, Inc. |
JPMorgan
BetaBuilders Japan ETF (the “BetaBuilders Japan
ETF”) |
BBJP |
Cboe
BZX Exchange, Inc. |
JPMorgan
BetaBuilders U.S. Equity ETF (the “BetaBuilders U.S. Equity
ETF”) |
BBUS |
Cboe
BZX Exchange, Inc. |
JPMorgan
BetaBuilders U.S. Mid Cap Equity ETF (the “BetaBuilders U.S. Mid
Cap
Equity ETF”) |
BBMC |
NYSE
Arca, Inc. |
JPMorgan
BetaBuilders U.S. Small Cap Equity ETF (the “BetaBuilders U.S.
Mid
Cap Equity ETF”) |
BBSC |
NYSE
Arca, Inc. |
JPMorgan
Carbon Transition U.S. Equity ETF (the “Carbon Transition U.S.
Equity
ETF”) |
JCTR |
NYSE
Arca, Inc. |
JPMorgan
Diversified Return Emerging Markets Equity ETF (the “Emerging
Markets
Equity ETF”) |
JPEM |
NYSE
Arca, Inc. |
JPMorgan
Diversified Return International Equity ETF (the “International
Equity
ETF”) |
JPIN |
NYSE
Arca, Inc. |
JPMorgan
Diversified Return U.S. Equity ETF (the “U.S. Equity
ETF”) |
JPUS |
NYSE
Arca, Inc. |
JPMorgan
Diversified Return U.S. Mid Cap Equity ETF (the “U.S. Mid Cap
Equity
ETF”) |
JPME |
NYSE
Arca, Inc. |
JPMorgan
Diversified Return U.S. Small Cap Equity ETF (the “U.S. Small Cap
Equity
ETF”) |
JPSE |
NYSE
Arca, Inc. |
JPMorgan
U.S. Momentum Factor ETF (the “U.S. Momentum Factor
ETF”) |
JMOM |
NYSE
Arca, Inc. |
JPMorgan
U.S. Quality Factor ETF (the “U.S. Quality Factor
ETF”) |
JQUA |
NYSE
Arca, Inc. |
JPMorgan
U.S. Value Factor ETF (the “U.S. Value Factor ETF”) |
JVAL |
NYSE
Arca, Inc. |
FUND
NAME |
FUND
CODE |
BetaBuilders
Canada ETF |
1 |
BetaBuilders
Developed Asia Pacific ex-Japan ETF |
2 |
BetaBuilders
Emerging Markets Equity ETF |
3 |
BetaBuilders
Europe ETF |
4 |
BetaBuilders
International Equity ETF |
5 |
BetaBuilders
Japan ETF |
6 |
BetaBuilders
U.S. Equity ETF |
7 |
BetaBuilders
U.S. Mid Cap Equity ETF |
8 |
BetaBuilders
U.S. Small Cap Equity ETF |
9 |
Carbon
Transition U.S. Equity ETF |
10 |
Emerging
Markets Equity ETF |
11 |
International
Equity ETF |
12 |
U.S.
Equity ETF |
13 |
U.S.
Mid Cap Equity ETF |
14 |
U.S.
Small Cap Equity ETF |
15 |
U.S.
Momentum Factor ETF |
16 |
U.S.
Quality Factor ETF |
17 |
U.S.
Value Factor ETF |
18 |
Instrument |
Fund
Code |
Part
II
Section
Reference |
Bank
Obligations: Bankers’
acceptances, certificates of
deposit
and time deposits. Bankers’ acceptances are bills of
exchange
or time drafts drawn on and accepted by a
commercial
bank. Maturities are generally six months or
less.
Certificates of deposit are negotiable certificates issued
by
a bank for a specified period of time and earning a
specified
return. Time deposits are non-negotiable receipts
issued
by a bank in exchange for the deposit of funds. |
1-18 |
Bank
Obligations |
Borrowings:
A
Fund may borrow for temporary purposes
and/or
for investment purposes. Such a practice will result
in
leveraging of a Fund’s assets and may cause a Fund to
liquidate
portfolio positions when it would not be
advantageous
to do so. A Fund must maintain continuous
asset
coverage of 300% of the amount borrowed, with the
exception
for borrowings not in excess of 5% of a Fund’s
total
assets made for temporary administrative purposes. |
1-18 |
Miscellaneous
Investment
Strategies
and Risks |
Commercial
Paper: Secured
and unsecured short-term
promissory
notes issued by corporations and other entities.
Maturities
generally vary from a few days to nine months. |
1-18 |
Commercial
Paper |
Common
Stock: Shares
of ownership of a company. |
1-18 |
Equity
Securities,
Warrants
and Rights |
Common
Stock Warrants and Rights: Securities,
typically
issued
with preferred stock or bonds, that give the holder the
right
to buy a proportionate amount of common stock at a
specified
price. |
1-18 |
Equity
Securities,
Warrants
and Rights |
Instrument |
Fund
Code |
Part
II
Section
Reference |
Convertible
Securities: Bonds
or preferred stock that can
convert
to common stock. |
1-8,
10-18 |
Convertible
Securities |
Emerging
Market Securities: Securities
issued by issuers or
governments
in countries with emerging economies or
securities
markets which may be undergoing significant
evolution
and rapid development. |
3,
11 |
Foreign
Investments
(including
Foreign
Currencies) |
Exchange-Traded
Funds (“ETFs”): Ownership
interest in
unit
investment trusts, depositary receipts, and other pooled
investment
vehicles that hold a portfolio of securities or
stocks
designed to track the price performance and dividend
yield
of a particular broad-based, sector or international
index.
ETFs include a wide range of investments. |
1-18 |
Investment
Company
Securities
and
Exchange-
Traded
Funds |
Foreign
Currency Transactions: Strategies
used to hedge
against
currency risks, for other risk management purposes
or
to increase income or gain to a Fund. These strategies
may
consist of use of any of the following: options on
currencies,
currency futures, options on such futures,
forward
foreign currency transactions (including non-
deliverable
forwards (“NDFs”)), forward rate agreements
and
currency swaps, caps and floors. |
1-2,
4-8,
11-18 |
Foreign
Investments
(including
Foreign
Currencies) |
Foreign
Investments: Equity
securities of foreign entities
and
obligations of foreign branches of U.S. banks and
foreign
banks. Foreign securities may also include American
Depositary
Receipts (“ADRs”), Global Depositary Receipts
(“GDRs”),
European Depositary Receipts (“EDRs”) and
American
Depositary Securities (“ADSs”). A Fund may also
use
forward foreign currency contracts in connection with
its
foreign investments. |
1-8,
10-18 |
Foreign
Investments
(including
Foreign
Currencies) |
Interfund
Lending: Involves
lending money and borrowing
money
for temporary purposes through a credit facility. |
1-18 |
Miscellaneous
Investment
Strategies
and Risks |
Investment
Company Securities: Shares
of other investment
companies,
including money market funds for which the
Adviser
and/or its affiliates serve as investment adviser or
administrator.
The Adviser will waive certain fees when
investing
in funds for which it serves as investment adviser,
to
the extent required by law or by contract. |
1-18 |
Investment
Company
Securities
and
Exchange-
Traded
Funds |
Master
Limited Partnerships (“MLPs”): Limited
partnerships
that are publicly traded on a securities
exchange. |
7-10,
13-18 |
Master
Limited
Partnerships |
New
Financial Products: New
options and futures contracts
and
other financial products continue to be developed and a
Fund
may invest in such options, contracts and products. |
1-18 |
Miscellaneous
Investment
Strategies
and Risks |
Options
and Futures Transactions: A
Fund may purchase
and
sell (a) exchange traded and over-the-counter put and
call
options on securities, indexes of securities and futures
contracts
on securities and indexes of securities and (b)
futures
contracts on securities and indexes of securities. |
1-18 |
Options
and Futures
Transactions |
Preferred
Stock: A
class of stock that generally pays a
dividend
at a specified rate and has preference over common
stock
in the payment of dividends and in liquidation. |
1-18 |
Equity
Securities,
Warrants
and Rights |
Private
Placements, Restricted Securities and Other
UnregisteredSecurities:
Securities
not registered under the
Securities
Act of 1933, such as privately placed commercial
paper
and Rule 144A securities. |
1-9,
11-18 |
Miscellaneous
Investment
Strategies
and Risks |
Instrument |
Fund
Code |
Part
II
Section
Reference |
Real
Estate Investment Trusts (“REITs”): Pooled
investment
vehicles
which invest primarily in income producing real
estate
or real estate related loans or interest. |
1-18 |
Real
Estate
Investment
Trusts |
Securities
Issued in Connection with Reorganizations
andCorporate
Restructurings: In
connection with
reorganizing
or restructuring of an issuer, an issuer may
issue
common stock or other securities to holders of its debt
securities. |
1-18 |
Miscellaneous
Investment
Strategies
and Risks |
Securities
Lending:
The lending of up to 33 1∕3%
of a Fund’s
total
assets. In return a Fund will receive cash as
collateral. |
1-18 |
Securities
Lending |
U.S.
Government Obligations: May
include direct
obligations
of the U.S. Treasury, including Treasury bills,
notes
and bonds, all of which are backed as to principal and
interest
payments by the full faith and credit of the United
States,
and separately traded principal and interest
component
parts of such obligations that are transferable
through
the Federal book-entry system known as Separate
Trading
of Registered Interest and Principal of Securities
(“STRIPS”)
and Coupons Under Book Entry Safekeeping
(“CUBES”). |
1-18 |
U.S.
Government
Obligations |
When-Issued
Securities, Delayed Delivery Securities and
Forward
Commitments:
Purchase or contract to purchase
securities
at a fixed price for delivery at a future date. |
1-18 |
When-Issued
Securities,
Delayed
Delivery
Securities
and
Forward
Commitments |
|
Fiscal
Year Ended October 31, | |
Fund |
2022 |
2023 |
BetaBuilders
Canada ETF |
5% |
3% |
BetaBuilders
Developed Asia Pacific ex-Japan ETF |
14% |
6% |
BetaBuilders
Emerging Markets Equity ETF1 |
- |
14% |
BetaBuilders
Europe ETF |
7% |
6% |
BetaBuilders
International Equity ETF |
6% |
5% |
BetaBuilders
Japan ETF |
4% |
3% |
BetaBuilders
U.S. Equity ETF |
4% |
3% |
BetaBuilders
U.S. Mid Cap Equity ETF |
30% |
25% |
BetaBuilders
U.S. Small Cap Equity ETF2 |
30% |
41% |
Carbon
Transition U.S. Equity ETF3 |
16% |
20% |
Emerging
Markets Equity ETF |
33% |
33% |
International
Equity ETF |
28% |
26% |
U.S.
Equity ETF |
22% |
28% |
U.S.
Mid Cap Equity ETF |
24% |
24% |
U.S.
Momentum Factor ETF |
43% |
43% |
U.S.
Quality Factor ETF |
18% |
21% |
U.S.
Small Cap Equity ETF |
26% |
28% |
U.S.
Value Factor ETF |
21% |
26% |
Committee |
Fiscal
Year Ended
October
31, 2023 |
Audit
and Valuation Committee |
4 |
Compliance
Committee |
4 |
Governance
Committee |
5 |
Equity
Committee |
7 |
ETF
Committee |
4 |
Fixed
Income Committee |
6 |
Money
Market and Alternative Products Committee |
6 |
Name
of Trustee |
Dollar
Range
of
Equity
Securities
in
BetaBuilders
Canada
ETF |
Dollar
Range
of
Equity
Securities
in
BetaBuilders
Developed
Asia
Pacific
ex-Japan
ETF |
Dollar
Range
of
Equity
Securities
in
BetaBuilders
Emerging
Markets
Equity
ETF |
Dollar
Range
of
Equity
Securities
in
BetaBuilders
Europe
ETF |
Dollar
Range
of
Equity
Securities
in
BetaBuilders
International
Equity
ETF |
Independent
Trustees |
|
|
|
|
|
John
F. Finn |
None |
None |
None |
None |
None |
Stephen
P. Fisher |
None |
None |
None |
None |
None |
Gary
L. French |
None |
None |
None |
None |
None |
Kathleen
M. Gallagher |
None |
None |
None |
None |
None |
Robert
J. Grassi |
None |
$10,001–
$50,000 |
None |
None |
$1–
$10,000 |
Frankie
D. Hughes |
None |
None |
None |
None |
None |
Raymond
Kanner |
None |
None |
None |
None |
None |
Thomas
P. Lemke |
None |
None |
None |
None |
None |
Lawrence
R. Maffia |
None |
None |
None |
None |
Over
$100,000 |
Mary
E. Martinez |
None |
None |
None |
None |
None |
Marilyn
McCoy |
None |
None |
None |
None |
None |
Dr.
Robert A. Oden, Jr. |
None |
None |
None |
None |
None |
Marian
U. Pardo |
None |
None |
None |
None |
None |
Emily
A. Youssouf |
None |
None |
None |
None |
None |
Interested
Trustees |
|
|
|
|
|
Robert
Deutsch |
None |
None |
None |
None |
None |
Nina
O. Shenker |
None |
None |
None |
None |
None |
Name
of Trustee |
Dollar
Range
of
Equity
Securities
in
BetaBuilders
Japan
ETF |
Dollar
Range
of
Equity
Securities
in
BetaBuilders
U.S.
Equity
ETF |
Dollar
Range
of
Equity
Securities
in
BetaBuilders
U.S.
Mid
Cap
Equity
ETF |
Dollar
Range
of
Equity
Securities
in
BetaBuilders
U.S.
Small
Cap
Equity
ETF |
Dollar
Range
of
Equity
Securities
in
Carbon
Transition
U.S.
Equity
ETF |
Independent
Trustees |
|
|
|
|
|
John
F. Finn |
None |
None |
None |
None |
None |
Stephen
P. Fisher |
None |
None |
None |
None |
None |
Gary
L. French |
$1–
$10,000 |
None |
None |
None |
None |
Kathleen
M. Gallagher |
None |
None |
None |
None |
None |
Robert
J. Grassi |
None |
Over
$100,000 |
$10,001–
$50,000 |
$10,001–
$50,000 |
None |
Frankie
D. Hughes |
None |
None |
None |
None |
None |
Raymond
Kanner |
None |
None |
None |
None |
None |
Thomas
P. Lemke |
None |
None |
None |
None |
None |
Lawrence
R. Maffia |
None |
None |
None |
None |
None |
Mary
E. Martinez |
None |
None |
None |
None |
None |
Marilyn
McCoy |
None |
None |
None |
None |
None |
Dr.
Robert A. Oden, Jr. |
None |
None |
None |
None |
None |
Marian
U. Pardo |
None |
None |
None |
None |
None |
Emily
A. Youssouf |
None |
None |
None |
None |
None |
Interested
Trustees |
|
|
|
|
|
Robert
Deutsch |
None |
None |
None |
None |
None |
Nina
O. Shenker |
None |
None |
None |
None |
None |
Name
of Trustee |
Dollar
Range
of
Equity
Securities
in
Emerging
Markets
Equity
ETF |
Dollar
Range
of
Equity
Securities
in
International
Equity
ETF |
Dollar
Range
of
Equity
Securities
in
U.S.
Equity
ETF |
Dollar
Range
of
Equity
Securities
in
U.S.
Mid
Cap
Equity
ETF |
Dollar
Range
of
Equity
Securities
in
U.S.
Momentum
Factor
ETF |
Independent
Trustees |
|
|
|
|
|
John
F. Finn |
None |
None |
None |
None |
None |
Stephen
P. Fisher |
None |
None |
None |
None |
None |
Gary
L. French |
None |
None |
None |
None |
None |
Kathleen
M. Gallagher |
None |
None |
None |
None |
None |
Robert
J. Grassi |
None |
None |
$10,001–
$50,000 |
None |
None |
Frankie
D. Hughes |
None |
None |
None |
None |
None |
Raymond
Kanner |
None |
None |
None |
None |
None |
Thomas
P. Lemke |
None |
None |
None |
None |
None |
Lawrence
R. Maffia |
None |
None |
None |
None |
None |
Mary
E. Martinez |
None |
None |
None |
None |
None |
Marilyn
McCoy |
None |
None |
None |
None |
None |
Dr.
Robert A. Oden, Jr. |
None |
None |
None |
None |
None |
Marian
U. Pardo |
None |
None |
None |
None |
None |
Emily
A. Youssouf |
None |
None |
$10,001–
$50,000 |
None |
None |
Interested
Trustees |
|
|
|
|
|
Robert
Deutsch |
None |
None |
None |
None |
None |
Nina
O. Shenker |
None |
None |
None |
None |
None |
Name
of Trustee |
Dollar
Range
of
Equity
Securities
in
U.S.
Quality
Factor
ETF |
Dollar
Range
of
Equity
Securities
in
U.S.
Small
Cap
Equity
ETF |
Dollar
Range
of
Equity
Securities
in
U.S.
Value
Factor
ETF |
Aggregate
Dollar
Range
of
Equity
Securities
in
All
Registered
Investment
Companies
Overseen
by the
Trustee
in
Family
of
Investment
Companies1,2 |
Independent
Trustees |
|
|
|
|
John
F. Finn |
None |
None |
None |
Over
$100,000 |
Stephen
P. Fisher |
None |
None |
None |
Over
$100,000 |
Gary
L. French |
None |
None |
None |
Over
$100,000 |
Kathleen
M. Gallagher |
None |
None |
None |
Over
$100,000 |
Robert
J. Grassi |
None |
None |
None |
Over
$100,000 |
Frankie
D. Hughes |
None |
None |
None |
Over
$100,000 |
Raymond
Kanner |
None |
None |
None |
Over
$100,000 |
Thomas
P. Lemke |
None |
None |
None |
Over
$100,000 |
Lawrence
R. Maffia |
None |
None |
None |
Over
$100,000 |
Mary
E. Martinez |
None |
None |
None |
Over
$100,000 |
Marilyn
McCoy |
None |
None |
None |
Over
$100,000 |
Dr.
Robert A. Oden, Jr. |
None |
None |
None |
Over
$100,000 |
Marian
U. Pardo |
None |
None |
None |
Over
$100,000 |
Emily
A. Youssouf |
None |
None |
None |
Over
$100,000 |
Interested
Trustees |
|
|
|
|
Robert
Deutsch |
None |
None |
None |
Over
$100,000 |
Nina
O. Shenker |
None |
None |
None |
Over
$100,000 |
Name
of Trustee |
BetaBuilders
Canada
ETF |
BetaBuilders
Developed
Asia
Pacific
ex-Japan
ETF |
BetaBuilders
Emerging
Markets
Equity
ETF |
BetaBuilders
Europe
ETF |
BetaBuilders
International
Equity
ETF |
Independent
Trustees |
|
|
|
|
|
John
F. Finn |
$3,779 |
$3,137 |
$1,000 |
$4,039 |
$2,840 |
Stephen
P. Fisher |
2,815 |
2,452 |
961 |
2,963 |
2,285 |
Gary
L. French |
2,457 |
2,198 |
947 |
2,563 |
2,078 |
Kathleen
M. Gallagher |
2,815 |
2,452 |
961 |
2,963 |
2,285 |
Robert
J. Grassi |
2,457 |
2,198 |
947 |
2,563 |
2,078 |
Frankie
D. Hughes |
2,457 |
2,198 |
947 |
2,563 |
2,078 |
Raymond
Kanner |
2,815 |
2,452 |
961 |
2,963 |
2,285 |
Thomas
P. Lemke |
2,457 |
2,198 |
947 |
2,563 |
2,078 |
Lawrence
R. Maffia |
2,457 |
2,198 |
947 |
2,563 |
2,078 |
Mary
E. Martinez |
3,228 |
2,746 |
978 |
3,424 |
2,523 |
Marilyn
McCoy |
2,457 |
2,198 |
947 |
2,563 |
2,078 |
Dr.
Robert A. Oden, Jr. |
2,815 |
2,452 |
961 |
2,963 |
2,285 |
Marian
U. Pardo |
2,815 |
2,452 |
961 |
2,963 |
2,285 |
Emily
A. Youssouf |
2,457 |
2,198 |
947 |
2,563 |
2,078 |
Interested
Trustees |
|
|
|
|
|
Robert
Deutsch |
2,815 |
2,452 |
961 |
2,963 |
2,285 |
Nina
O. Shenker8 |
2,457 |
2,198 |
947 |
2,563 |
2,078 |
Name
of Trustee |
BetaBuilders
Japan
ETF |
BetaBuilders
U.S.
Equity ETF |
BetaBuilders
U.S.
Mid Cap
Equity
ETF |
BetaBuilders
U.S.
Small Cap
Equity
ETF |
Carbon
Transition
U.S.
Equity ETF |
Independent
Trustees |
|
|
|
|
|
John
F. Finn |
$4,521 |
$2,201 |
$2,128 |
$1,814 |
$1,570 |
Stephen
P. Fisher |
3,235 |
1,923 |
1,882 |
1,704 |
1,567 |
Gary
L. French |
2,757 |
1,820 |
1,791 |
1,664 |
1,566 |
Kathleen
M. Gallagher |
3,235 |
1,923 |
1,882 |
1,704 |
1,567 |
Robert
J. Grassi |
2,757 |
1,820 |
1,791 |
1,664 |
1,566 |
Frankie
D. Hughes |
2,757 |
1,820 |
1,791 |
1,664 |
1,566 |
Raymond
Kanner |
3,235 |
1,923 |
1,882 |
1,704 |
1,567 |
Thomas
P. Lemke |
2,757 |
1,820 |
1,791 |
1,664 |
1,566 |
Lawrence
R. Maffia |
2,757 |
1,820 |
1,791 |
1,664 |
1,566 |
Mary
E. Martinez |
3,786 |
2,042 |
1,987 |
1,751 |
1,568 |
Marilyn
McCoy |
2,757 |
1,820 |
1,791 |
1,664 |
1,566 |
Dr.
Robert A. Oden, Jr. |
3,235 |
1,923 |
1,882 |
1,704 |
1,567 |
Marian
U. Pardo |
3,235 |
1,923 |
1,882 |
1,704 |
1,567 |
Emily
A. Youssouf |
2,757 |
1,820 |
1,791 |
1,664 |
1,566 |
Name
of Trustee |
BetaBuilders
Japan
ETF |
BetaBuilders
U.S.
Equity ETF |
BetaBuilders
U.S.
Mid Cap
Equity
ETF |
BetaBuilders
U.S.
Small Cap
Equity
ETF |
Carbon
Transition
U.S.
Equity ETF |
Interested
Trustees |
|
|
|
|
|
Robert
Deutsch |
$3,235 |
$1,923 |
$1,882 |
$1,704 |
$1,567 |
Nina
O. Shenker8 |
2,757 |
1,820 |
1,791 |
1,664 |
1,566 |
Name
of Trustee |
Emerging
Markets
Equity
ETF |
International
Equity
ETF |
U.S.
Equity
ETF |
U.S.
Mid
Cap
Equity
ETF |
U.S.
Momentum
Factor
ETF |
Independent
Trustees |
|
|
|
|
|
John
F. Finn |
$1,664 |
$1,791 |
$1,742 |
$1,683 |
$1,660 |
Stephen
P. Fisher |
1,620 |
1,692 |
1,664 |
1,631 |
1,617 |
Gary
L. French |
1,603 |
1,655 |
1,635 |
1,611 |
1,602 |
Kathleen
M. Gallagher |
1,620 |
1,692 |
1,664 |
1,631 |
1,617 |
Robert
J. Grassi |
1,603 |
1,655 |
1,635 |
1,611 |
1,602 |
Frankie
D. Hughes |
1,603 |
1,655 |
1,635 |
1,611 |
1,602 |
Raymond
Kanner |
1,620 |
1,692 |
1,664 |
1,631 |
1,617 |
Thomas
P. Lemke |
1,603 |
1,655 |
1,635 |
1,611 |
1,602 |
Lawrence
R. Maffia |
1,603 |
1,655 |
1,635 |
1,611 |
1,602 |
Mary
E. Martinez |
1,639 |
1,734 |
1,697 |
1,653 |
1,635 |
Marilyn
McCoy |
1,603 |
1,655 |
1,635 |
1,611 |
1,602 |
Dr.
Robert A. Oden, Jr. |
1,620 |
1,692 |
1,664 |
1,631 |
1,617 |
Marian
U. Pardo |
1,620 |
1,692 |
1,664 |
1,631 |
1,617 |
Emily
A. Youssouf |
1,603 |
1,655 |
1,635 |
1,611 |
1,602 |
Interested
Trustees |
|
|
|
|
|
Robert
Deutsch |
1,620 |
1,692 |
1,664 |
1,631 |
1,617 |
Nina
O. Shenker8 |
1,603 |
1,655 |
1,635 |
1,611 |
1,602 |
Name
of Trustee |
U.S.
Quality
Factor
ETF |
U.S.
Small
Cap
Equity
ETF |
U.S.
Value
Factor
ETF |
Total
Compensation
Paid
From
Fund
Complex1 |
Independent
Trustees |
|
|
|
|
John
F. Finn |
$2,093 |
$1,700 |
$1,800 |
$660,000 |
Stephen
P. Fisher |
1,862 |
1,640 |
1,697 |
485,000 |
Gary
L. French |
1,776 |
1,618 |
1,658 |
420,0002 |
Kathleen
M. Gallagher |
1,862 |
1,640 |
1,697 |
485,0003 |
Robert
J. Grassi |
1,776 |
1,618 |
1,658 |
420,000 |
Frankie
D. Hughes |
1,776 |
1,618 |
1,658 |
420,000 |
Raymond
Kanner |
1,862 |
1,640 |
1,697 |
485,0004 |
Thomas
P. Lemke |
1,776 |
1,618 |
1,658 |
420,0005 |
Lawrence
R. Maffia |
1,776 |
1,618 |
1,658 |
420,000 |
Mary
E. Martinez |
1,961 |
1,666 |
1,741 |
560,000 |
Marilyn
McCoy |
1,776 |
1,618 |
1,658 |
420,0006 |
Dr.
Robert A. Oden, Jr. |
1,862 |
1,640 |
1,697 |
485,000 |
Marian
U. Pardo |
1,862 |
1,640 |
1,697 |
485,000 |
Emily
A. Youssouf |
1,776 |
1,618 |
1,658 |
420,0002 |
Interested
Trustees |
|
|
|
|
Robert
Deutsch |
1,862 |
1,640 |
1,697 |
485,0007 |
Nina
O. Shenker8 |
1,776 |
1,618 |
1,658 |
420,0006 |
|
Fiscal
Year Ended | ||
Fund |
October
31, 2021 |
October
31, 2022 |
October
31, 2023 |
BetaBuilders
Canada ETF |
$9,726,400 |
$11,811,284 |
$11,280,516 |
BetaBuilders
Developed Asia Pacific ex-Japan ETF |
6,484,147 |
7,680,737 |
7,963,512 |
BetaBuilders
Emerging Markets Equity ETF1 |
N/A |
N/A |
309,273 |
BetaBuilders
Europe ETF |
5,789,550 |
6,656,195 |
5,930,443 |
BetaBuilders
International Equity ETF |
2,317,139 |
2,134,418 |
2,350,840 |
BetaBuilders
Japan ETF |
15,297,547 |
13,462,470 |
14,823,136 |
BetaBuilders
U.S. Equity ETF |
100,002 |
205,372 |
323,743 |
BetaBuilders
U.S. Mid Cap Equity ETF |
1,099,041 |
1,028,162 |
1,043,635 |
BetaBuilders
U.S. Small Cap Equity ETF2 |
258,599 |
403,474 |
588,295 |
Carbon
Transition U.S. Equity ETF3 |
33,812 |
33,879 |
33,396 |
Emerging
Markets Equity ETF |
888,150 |
722,512 |
1,178,031 |
International
Equity ETF |
3,290,283 |
2,840,842 |
2,295,229 |
U.S.
Equity ETF |
1,187,391 |
1,045,759 |
873,022 |
U.S.
Mid Cap Equity ETF |
592,509 |
590,788 |
773,219 |
U.S.
Momentum Factor ETF |
214,553 |
283,720 |
305,452 |
U.S.
Quality Factor ETF |
475,911 |
545,487 |
1,585,255 |
U.S.
Small Cap Equity ETF |
504,263 |
606,846 |
1,062,901 |
U.S.
Value Factor ETF |
678,193 |
614,120 |
744,341 |
|
Non-Performance
Based Fee Advisory Accounts | |||||
|
Registered
Investment
Companies |
Other
Pooled
Investment
Vehicles |
Other
Accounts | |||
Fund |
Number
of
Accounts |
Total
Assets
($
thousands) |
Number
of
Accounts |
Total
Assets
($
thousands) |
Number
of
Accounts |
Total
Assets
($
thousands) |
BetaBuilders
Canada ETF | ||||||
Nicholas
D’Eramo |
19 |
$51,169,296 |
10 |
$28,979,187 |
4 |
$539,250 |
Michael
Loeffler |
19 |
51,169,296 |
10 |
28,979,187 |
4 |
539,250 |
Oliver
Furby |
12 |
34,548,442 |
10 |
28,979,187 |
2 |
227,013 |
Alex
Hamilton |
12 |
34,548,442 |
10 |
28,979,187 |
245 |
5,230,724 |
BetaBuilders
Developed Asia Pacific ex-Japan ETF | ||||||
Nicholas
D’Eramo |
19 |
53,046,369 |
10 |
28,979,187 |
4 |
539,250 |
Michael
Loeffler |
19 |
53,046,369 |
10 |
28,979,187 |
4 |
539,250 |
Oliver
Furby |
12 |
36,425,515 |
10 |
28,979,187 |
2 |
227,013 |
Alex
Hamilton |
12 |
36,425,515 |
10 |
28,979,187 |
245 |
5,230,724 |
BetaBuilders
Emerging Markets Equity ETF | ||||||
Nicholas
D’Eramo |
19 |
56,372,865 |
10 |
28,979,187 |
4 |
539,250 |
Michael
Loeffler |
19 |
56,372,865 |
10 |
28,979,187 |
4 |
539,250 |
Oliver
Furby |
12 |
39,752,012 |
10 |
28,979,187 |
2 |
227,013 |
Alex
Hamilton |
12 |
39,752,012 |
10 |
28,979,187 |
245 |
5,230,724 |
BetaBuilders
Europe ETF | ||||||
Nicholas
D’Eramo |
19 |
51,712,910 |
10 |
28,979,187 |
4 |
539,250 |
Michael
Loeffler |
19 |
51,712,910 |
10 |
28,979,187 |
4 |
539,250 |
|
Non-Performance
Based Fee Advisory Accounts | |||||
|
Registered
Investment
Companies |
Other
Pooled
Investment
Vehicles |
Other
Accounts | |||
Fund |
Number
of
Accounts |
Total
Assets
($
thousands) |
Number
of
Accounts |
Total
Assets
($
thousands) |
Number
of
Accounts |
Total
Assets
($
thousands) |
Oliver
Furby |
12 |
$35,092,057 |
10 |
$28,979,187 |
2 |
$227,013 |
Alex
Hamilton |
12 |
35,092,057 |
10 |
28,979,187 |
245 |
5,230,724 |
BetaBuilders
International Equity ETF | ||||||
Nicholas
D’Eramo |
19 |
53,296,065 |
10 |
28,979,187 |
4 |
539,250 |
Michael
Loeffler |
19 |
53,296,065 |
10 |
28,979,187 |
4 |
539,250 |
Oliver
Furby |
12 |
36,675,211 |
10 |
28,979,187 |
2 |
227,013 |
Alex
Hamilton |
12 |
36,675,211 |
10 |
28,979,187 |
245 |
5,230,724 |
BetaBuilders
Japan ETF | ||||||
Nicholas
D’Eramo |
19 |
48,059,845 |
10 |
28,979,187 |
4 |
539,250 |
Michael
Loeffler |
19 |
48,059,845 |
10 |
28,979,187 |
4 |
539,250 |
Oliver
Furby |
12 |
31,438,991 |
10 |
28,979,187 |
2 |
227,013 |
Alex
Hamilton |
12 |
31,438,991 |
10 |
28,979,187 |
245 |
5,230,724 |
BetaBuilders
U.S. Equity ETF | ||||||
Nicholas
D’Eramo |
19 |
54,683,552 |
10 |
28,979,187 |
4 |
539,250 |
Michael
Loeffler |
19 |
54,683,552 |
10 |
28,979,187 |
4 |
539,250 |
Oliver
Furby |
12 |
38,062,698 |
10 |
28,979,187 |
2 |
227,013 |
Alex
Hamilton |
12 |
38,062,698 |
10 |
28,979,187 |
245 |
5,230,724 |
BetaBuilders
U.S. Mid Cap Equity ETF | ||||||
Nicholas
D’Eramo |
19 |
55,442,162 |
10 |
28,979,187 |
4 |
539,250 |
Michael
Loeffler |
19 |
55,442,162 |
10 |
28,979,187 |
4 |
539,250 |
Oliver
Furby |
12 |
38,821,308 |
10 |
28,979,187 |
2 |
227,013 |
Alex
Hamilton |
12 |
38,821,308 |
10 |
28,979,187 |
245 |
5,230,724 |
BetaBuilders
U.S. Small Cap Equity ETF | ||||||
Nicholas
D’Eramo |
19 |
56,232,548 |
10 |
28,979,187 |
4 |
539,250 |
Michael
Loeffler |
19 |
56,232,548 |
10 |
28,979,187 |
4 |
539,250 |
Oliver
Furby |
12 |
39,611,694 |
10 |
28,979,187 |
2 |
227,013 |
Alex
Hamilton |
12 |
39,611,694 |
10 |
28,979,187 |
245 |
5,230,724 |
Carbon
Transition U.S. Equity ETF | ||||||
Yazann
Romahi |
10 |
5,189,159 |
11 |
2,419,126 |
7 |
643,513 |
Aijaz
Hussain |
3 |
1,715,254 |
15 |
2,551,632 |
4 |
2,114,406 |
Natalia
Zvereva |
8 |
5,135,752 |
0 |
0 |
1 |
233,726 |
Emerging
Markets Equity ETF | ||||||
Yazann
Romahi |
10 |
4,924,893 |
11 |
2,419,126 |
7 |
643,513 |
Joe
Staines |
11 |
7,604,665 |
16 |
3,592,902 |
8 |
7,594,452 |
Kartik
Aiyar |
3 |
1,387,173 |
10 |
3,329,928 |
3 |
419,625 |
Yegang
(Steven) Wu |
10 |
6,184,461 |
12 |
3,551,112 |
4 |
5,151,494 |
Natalia
Zvereva |
8 |
4,871,485 |
0 |
0 |
1 |
233,726 |
International
Equity ETF | ||||||
Yazann
Romahi |
10 |
4,841,664 |
11 |
2,419,126 |
7 |
643,513 |
Joe
Staines |
11 |
7,521,436 |
16 |
3,592,902 |
8 |
7,594,452 |
Kartik
Aiyar |
3 |
1,303,944 |
10 |
3,329,928 |
3 |
419,625 |
Yegang
(Steven) Wu |
10 |
6,101,232 |
12 |
3,551,112 |
4 |
5,151,494 |
Natalia
Zvereva |
8 |
4,788,256 |
0 |
0 |
1 |
233,726 |
U.S.
Equity ETF | ||||||
Yazann
Romahi |
10 |
4,774,667 |
11 |
2,419,126 |
7 |
643,513 |
Joe
Staines |
11 |
7,454,439 |
16 |
3,592,902 |
8 |
7,594,452 |
Yegang
(Steven) Wu |
10 |
6,034,234 |
12 |
3,551,112 |
4 |
5,151,494 |
Natalia
Zvereva |
8 |
4,721,259 |
0 |
0 |
1 |
233,726 |
U.S.
Mid Cap Equity ETF | ||||||
Yazann
Romahi |
10 |
4,884,769 |
11 |
2,419,126 |
7 |
643,513 |
Joe
Staines |
11 |
7,564,541 |
16 |
3,592,902 |
8 |
7,594,452 |
Yegang
(Steven) Wu |
10 |
6,144,336 |
12 |
3,551,112 |
4 |
5,151,494 |
Natalia
Zvereva |
8 |
4,831,361 |
0 |
0 |
1 |
233,726 |
U.S.
Small Cap Equity ETF | ||||||
Yazann
Romahi |
10 |
4,808,624 |
11 |
2,419,126 |
7 |
643,513 |
Joe
Staines |
11 |
7,488,396 |
16 |
3,592,902 |
8 |
7,594,452 |
Yegang
(Steven) Wu |
10 |
6,068,192 |
12 |
3,551,112 |
4 |
5,151,494 |
|
Non-Performance
Based Fee Advisory Accounts | |||||
|
Registered
Investment
Companies |
Other
Pooled
Investment
Vehicles |
Other
Accounts | |||
Fund |
Number
of
Accounts |
Total
Assets
($
thousands) |
Number
of
Accounts |
Total
Assets
($
thousands) |
Number
of
Accounts |
Total
Assets
($
thousands) |
Natalia
Zvereva |
8 |
$4,755,217 |
0 |
$0 |
1 |
$233,726 |
U.S.
Momentum Factor ETF | ||||||
Yazann
Romahi |
10 |
4,892,933 |
11 |
2,419,126 |
7 |
643,513 |
Joe
Staines |
11 |
7,572,704 |
16 |
3,592,902 |
8 |
7,594,452 |
Yegang
(Steven) Wu |
10 |
6,152,500 |
12 |
3,551,112 |
4 |
5,151,494 |
Natalia
Zvereva |
8 |
4,839,525 |
0 |
0 |
1 |
233,726 |
U.S.
Quality Factor ETF | ||||||
Yazann
Romahi |
10 |
2,784,173 |
11 |
2,419,126 |
7 |
643,513 |
Joe
Staines |
11 |
5,463,945 |
16 |
3,592,902 |
8 |
7,594,452 |
Yegang
(Steven) Wu |
10 |
4,043,740 |
12 |
3,551,112 |
4 |
5,151,494 |
Natalia
Zvereva |
8 |
2,730,765 |
0 |
0 |
1 |
233,726 |
U.S.
Value Factor ETF | ||||||
Yazann
Romahi |
10 |
4,511,187 |
11 |
2,419,126 |
7 |
643,513 |
Joe
Staines |
11 |
7,190,959 |
16 |
3,592,902 |
8 |
7,594,452 |
Yegang
(Steven) Wu |
10 |
5,770,754 |
12 |
3,551,112 |
4 |
5,151,494 |
Natalia
Zvereva |
8 |
4,457,779 |
0 |
0 |
1 |
233,726 |
|
Performance
Based Fee Advisory Accounts | |||||
|
Registered
Investment
Companies |
Other
Pooled
Investment
Vehicles |
Other
Accounts | |||
Fund |
Number
of
Accounts |
Total
Assets
($
thousands) |
Number
of
Accounts |
Total
Assets
($
thousands) |
Number
of
Accounts |
Total
Assets
($
thousands) |
BetaBuilders
Canada ETF | ||||||
Nicholas
D’Eramo |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Michael
Loeffler |
0 |
0 |
0 |
0 |
0 |
0 |
Oliver
Furby |
0 |
0 |
0 |
0 |
0 |
0 |
Alex
Hamilton |
0 |
0 |
0 |
0 |
0 |
0 |
BetaBuilders
Developed Asia Pacific ex-Japan ETF | ||||||
Nicholas
D’Eramo |
0 |
0 |
0 |
0 |
0 |
0 |
Michael
Loeffler |
0 |
0 |
0 |
0 |
0 |
0 |
Oliver
Furby |
0 |
0 |
0 |
0 |
0 |
0 |
Alex
Hamilton |
0 |
0 |
0 |
0 |
0 |
0 |
BetaBuilders
Emerging Markets Equity ETF | ||||||
Nicholas
D’Eramo |
0 |
0 |
0 |
0 |
0 |
0 |
Michael
Loeffler |
0 |
0 |
0 |
0 |
0 |
0 |
Oliver
Furby |
0 |
0 |
0 |
0 |
0 |
0 |
Alex
Hamilton |
0 |
0 |
0 |
0 |
0 |
0 |
BetaBuilders
Europe ETF | ||||||
Nicholas
D’Eramo |
0 |
0 |
0 |
0 |
0 |
0 |
Michael
Loeffler |
0 |
0 |
0 |
0 |
0 |
0 |
Oliver
Furby |
0 |
0 |
0 |
0 |
0 |
0 |
Alex
Hamilton |
0 |
0 |
0 |
0 |
0 |
0 |
BetaBuilders
International Equity ETF | ||||||
Nicholas
D’Eramo |
0 |
0 |
0 |
0 |
0 |
0 |
Michael
Loeffler |
0 |
0 |
0 |
0 |
0 |
0 |
Oliver
Furby |
0 |
0 |
0 |
0 |
0 |
0 |
Alex
Hamilton |
0 |
0 |
0 |
0 |
0 |
0 |
BetaBuilders
Japan ETF | ||||||
Nicholas
D’Eramo |
0 |
0 |
0 |
0 |
0 |
0 |
Michael
Loeffler |
0 |
0 |
0 |
0 |
0 |
0 |
Oliver
Furby |
0 |
0 |
0 |
0 |
0 |
0 |
Alex
Hamilton |
0 |
0 |
0 |
0 |
0 |
0 |
BetaBuilders
U.S. Equity ETF | ||||||
Nicholas
D’Eramo |
0 |
0 |
0 |
0 |
0 |
0 |
Michael
Loeffler |
0 |
0 |
0 |
0 |
0 |
0 |
|
Performance
Based Fee Advisory Accounts | |||||
|
Registered
Investment
Companies |
Other
Pooled
Investment
Vehicles |
Other
Accounts | |||
Fund |
Number
of
Accounts |
Total
Assets
($
thousands) |
Number
of
Accounts |
Total
Assets
($
thousands) |
Number
of
Accounts |
Total
Assets
($
thousands) |
Oliver
Furby |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Alex
Hamilton |
0 |
0 |
0 |
0 |
0 |
0 |
BetaBuilders
U.S. Mid Cap Equity ETF | ||||||
Nicholas
D’Eramo |
0 |
0 |
0 |
0 |
0 |
0 |
Michael
Loeffler |
0 |
0 |
0 |
0 |
0 |
0 |
Oliver
Furby |
0 |
0 |
0 |
0 |
0 |
0 |
Alex
Hamilton |
0 |
0 |
0 |
0 |
0 |
0 |
BetaBuilders
U.S. Small Cap Equity ETF | ||||||
Nicholas
D’Eramo |
0 |
0 |
0 |
0 |
0 |
0 |
Michael
Loeffler |
0 |
0 |
0 |
0 |
0 |
0 |
Oliver
Furby |
0 |
0 |
0 |
0 |
0 |
0 |
Alex
Hamilton |
0 |
0 |
0 |
0 |
0 |
0 |
Carbon
Transition U.S. Equity ETF | ||||||
Yazann
Romahi |
0 |
0 |
0 |
0 |
1 |
308,372 |
Aijaz
Hussain |
0 |
0 |
0 |
0 |
0 |
0 |
Natalia
Zvereva |
0 |
0 |
0 |
0 |
0 |
0 |
Emerging
Markets Equity ETF | ||||||
Yazann
Romahi |
0 |
0 |
0 |
0 |
1 |
308,372 |
Joe
Staines |
0 |
0 |
0 |
0 |
0 |
0 |
Kartik
Aiyar |
0 |
0 |
0 |
0 |
1 |
308,372 |
Yegang
(Steven) Wu |
0 |
0 |
0 |
0 |
0 |
0 |
Natalia
Zvereva |
0 |
0 |
0 |
0 |
0 |
0 |
International
Equity ETF | ||||||
Yazann
Romahi |
0 |
0 |
0 |
0 |
1 |
308,372 |
Joe
Staines |
0 |
0 |
0 |
0 |
0 |
0 |
Kartik
Aiyar |
0 |
0 |
0 |
0 |
1 |
308,372 |
Yegang
(Steven) Wu |
0 |
0 |
0 |
0 |
0 |
0 |
Natalia
Zvereva |
0 |
0 |
0 |
0 |
0 |
0 |
U.S.
Equity ETF | ||||||
Yazann
Romahi |
0 |
0 |
0 |
0 |
1 |
308,372 |
Joe
Staines |
0 |
0 |
0 |
0 |
0 |
0 |
Yegang
(Steven) Wu |
0 |
0 |
0 |
0 |
0 |
0 |
Natalia
Zvereva |
0 |
0 |
0 |
0 |
0 |
0 |
U.S.
Mid Cap Equity ETF | ||||||
Yazann
Romahi |
0 |
0 |
0 |
0 |
1 |
308,372 |
Joe
Staines |
0 |
0 |
0 |
0 |
0 |
0 |
Yegang
(Steven) Wu |
0 |
0 |
0 |
0 |
0 |
0 |
Natalia
Zvereva |
0 |
0 |
0 |
0 |
0 |
0 |
U.S.
Small Cap Equity ETF | ||||||
Yazann
Romahi |
0 |
0 |
0 |
0 |
1 |
308,372 |
Joe
Staines |
0 |
0 |
0 |
0 |
0 |
0 |
Yegang
(Steven) Wu |
0 |
0 |
0 |
0 |
0 |
0 |
Natalia
Zvereva |
0 |
0 |
0 |
0 |
0 |
0 |
U.S.
Momentum Factor ETF | ||||||
Yazann
Romahi |
0 |
0 |
0 |
0 |
1 |
308,372 |
Joe
Staines |
0 |
0 |
0 |
0 |
0 |
0 |
Yegang
(Steven) Wu |
0 |
0 |
0 |
0 |
0 |
0 |
Natalia
Zvereva |
0 |
0 |
0 |
0 |
0 |
0 |
U.S.
Quality Factor ETF | ||||||
Yazann
Romahi |
0 |
0 |
0 |
0 |
1 |
308,372 |
Joe
Staines |
0 |
0 |
0 |
0 |
0 |
0 |
Yegang
(Steven) Wu |
0 |
0 |
0 |
0 |
0 |
0 |
Natalia
Zvereva |
0 |
0 |
0 |
0 |
0 |
0 |
U.S.
Value Factor ETF | ||||||
Yazann
Romahi |
0 |
0 |
0 |
0 |
1 |
308,372 |
Joe
Staines |
0 |
0 |
0 |
0 |
0 |
0 |
|
Performance
Based Fee Advisory Accounts | |||||
|
Registered
Investment
Companies |
Other
Pooled
Investment
Vehicles |
Other
Accounts | |||
Fund |
Number
of
Accounts |
Total
Assets
($
thousands) |
Number
of
Accounts |
Total
Assets
($
thousands) |
Number
of
Accounts |
Total
Assets
($
thousands) |
Yegang
(Steven) Wu |
0 |
$0 |
0 |
$0 |
0 |
$0 |
Natalia
Zvereva |
0 |
0 |
0 |
0 |
0 |
0 |
|
Aggregate
Dollar Range of Securities in the Fund | |||||||
Fund |
None |
$1-
$10,000 |
$10,001-
$50,000 |
$50,001-
$100,000 |
$100,001-
$500,000 |
$500,001-
$1,000,000 |
Over
$1,000,000 | |
BetaBuilders
Canada ETF | ||||||||
Nicholas
D’Eramo |
|
X |
|
|
|
|
| |
Michael
Loeffler |
|
X |
|
|
|
|
| |
Oliver
Furby |
|
X |
|
|
|
|
| |
Alex
Hamilton |
|
X |
|
|
|
|
| |
BetaBuilders
Developed Asia Pacific ex-Japan ETF | ||||||||
Nicholas
D’Eramo |
X |
|
|
|
|
|
| |
Michael
Loeffler |
X |
|
|
|
|
|
| |
Oliver
Furby |
X |
|
|
|
|
|
| |
Alex
Hamilton |
X |
|
|
|
|
|
| |
BetaBuilders
Emerging Markets Equity ETF | ||||||||
Nicholas
D’Eramo |
X |
|
|
|
|
|
| |
Michael
Loeffler |
X |
|
|
|
|
|
| |
Oliver
Furby |
X |
|
|
|
|
|
| |
Alex
Hamilton |
X |
|
|
|
|
|
| |
BetaBuilders
Europe ETF | ||||||||
Nicholas
D’Eramo |
X |
|
|
|
|
|
| |
Michael
Loeffler |
X |
|
|
|
|
|
| |
Oliver
Furby |
X |
|
|
|
|
|
| |
Alex
Hamilton |
X |
|
|
|
|
|
| |
BetaBuilders
International Equity ETF | ||||||||
Nicholas
D’Eramo |
|
|
X |
|
|
|
| |
Michael
Loeffler |
|
|
X |
|
|
|
| |
Oliver
Furby |
|
|
X |
|
|
|
| |
Alex
Hamilton |
|
X |
|
|
|
|
| |
BetaBuilders
Japan ETF | ||||||||
Nicholas
D’Eramo |
X |
|
|
|
|
|
| |
Michael
Loeffler |
X |
|
|
|
|
|
| |
Oliver
Furby |
X |
|
|
|
|
|
| |
Alex
Hamilton |
X |
|
|
|
|
|
| |
BetaBuilders
U.S. Equity ETF | ||||||||
Nicholas
D’Eramo |
|
|
X |
|
|
|
| |
Michael
Loeffler |
|
|
X |
|
|
|
| |
Oliver
Furby |
|
|
|
|
X |
|
| |
Alex
Hamilton |
|
|
|
X |
|
|
| |
BetaBuilders
U.S. Mid Cap Equity ETF | ||||||||
Nicholas
D’Eramo |
X |
|
|
|
|
|
| |
Michael
Loeffler |
|
X |
|
|
|
|
| |
Oliver
Furby |
|
|
X |
|
|
|
| |
Alex
Hamilton |
X |
|
|
|
|
|
| |
|
|
|
|
|
|
Aggregate
Dollar Range of Securities in the Fund | |||||||
Fund |
None |
$1-
$10,000 |
$10,001-
$50,000 |
$50,001-
$100,000 |
$100,001-
$500,000 |
$500,001-
$1,000,000 |
Over
$1,000,000 | |
BetaBuilders
U.S. Small Cap Equity ETF | ||||||||
Nicholas
D’Eramo |
X |
|
|
|
|
|
| |
Michael
Loeffler |
|
X |
|
|
|
|
| |
Oliver
Furby |
|
|
X |
|
|
|
| |
Alex
Hamilton |
|
|
X |
|
|
|
| |
Carbon
Transition U.S. Equity ETF | ||||||||
Yazann
Romahi |
X |
|
|
|
|
|
| |
Aijaz
Hussain |
X |
|
|
|
|
|
| |
Natalia
Zvereva |
|
X |
|
|
|
|
| |
Emerging
Markets Equity ETF | ||||||||
Yazann
Romahi |
X |
|
|
|
|
|
| |
Joe
Staines |
X |
|
|
|
|
|
| |
Kartik
Aiyar |
X |
|
|
|
|
|
| |
Yegang
(Steven) Wu |
X |
|
|
|
|
|
| |
Natalia
Zvereva |
|
X |
|
|
|
|
| |
International
Equity ETF | ||||||||
Yazann
Romahi |
X |
|
|
|
|
|
| |
Joe
Staines |
X |
|
|
|
|
|
| |
Kartik
Aiyar |
X |
|
|
|
|
|
| |
Yegang
(Steven) Wu |
X |
|
|
|
|
|
| |
Natalia
Zvereva |
|
X |
|
|
|
|
| |
U.S.
Equity ETF | ||||||||
Yazann
Romahi |
X |
|
|
|
|
|
| |
Joe
Staines |
X |
|
|
|
|
|
| |
Yegang
(Steven) Wu |
X |
|
|
|
|
|
| |
Natalia
Zvereva |
|
X |
|
|
|
|
| |
U.S.
Mid Cap Equity ETF | ||||||||
Yazann
Romahi |
X |
|
|
|
|
|
| |
Joe
Staines |
X |
|
|
|
|
|
| |
Yegang
(Steven) Wu |
X |
|
|
|
|
|
| |
Natalia
Zvereva |
|
X |
|
|
|
|
| |
U.S.
Small Cap Equity ETF | ||||||||
Yazann
Romahi |
X |
|
|
|
|
|
| |
Joe
Staines |
X |
|
|
|
|
|
| |
Yegang
(Steven) Wu |
X |
|
|
|
|
|
| |
Natalia
Zvereva |
|
X |
|
|
|
|
| |
U.S.
Momentum Factor ETF | ||||||||
Yazann
Romahi |
X |
|
|
|
|
|
| |
Joe
Staines |
X |
|
|
|
|
|
| |
Yegang
(Steven) Wu |
X |
|
|
|
|
|
| |
Natalia
Zvereva |
|
X |
|
|
|
|
| |
U.S.
Quality Factor ETF | ||||||||
Yazann
Romahi |
X |
|
|
|
|
|
| |
Joe
Staines |
X |
|
|
|
|
|
| |
Yegang
(Steven) Wu |
X |
|
|
|
|
|
| |
Natalia
Zvereva |
|
X |
|
|
|
|
| |
U.S.
Value Factor ETF | ||||||||
Yazann
Romahi |
X |
|
|
|
|
|
| |
Joe
Staines |
X |
|
|
|
|
|
| |
Yegang
(Steven) Wu |
X |
|
|
|
|
|
| |
Natalia
Zvereva |
|
X |
|
|
|
|
|
Name
of Fund |
Benchmark |
BetaBuilders
Canada ETF |
Morningstar®
Canada
Target Market Exposure IndexSM
|
BetaBuilders
Developed Asia Pacific
ex-Japan
ETF |
Morningstar®
Developed
Asia Pacific ex-Japan Target
Market
Exposure IndexSM
|
BetaBuilders
Emerging Markets Equity ETF |
Morningstar®
Emerging Markets Target Market Exposure
IndexSM |
BetaBuilders
Europe ETF |
Morningstar®
Developed Europe Target Market Exposure
IndexSM
|
BetaBuilders
International Equity ETF |
Morningstar®
Developed Markets ex-North America
Target
Market Exposure IndexSM
|
BetaBuilders
Japan ETF |
Morningstar®
Japan Target Market Exposure IndexSM
|
BetaBuilders
U.S. Equity ETF |
Morningstar® US
Target Market Exposure IndexSM
|
BetaBuilders
U.S. Mid Cap Equity ETF |
Morningstar® US
Mid Cap Target Market Exposure
Extended
IndexSM
|
BetaBuilders
U.S. Small Cap Equity ETF |
Morningstar® US
Small Cap Target Market Exposure
Extended
IndexSM
|
Carbon
Transition U.S. Equity ETF |
JPMorgan
Asset Management Carbon Transition U.S.
Equity
Index |
Russell
1000 Index | |
Emerging
Markets Equity ETF |
JP
Morgan Diversified Factor Emerging Markets Equity
Index |
FTSE
Emerging Index | |
International
Equity ETF |
JP
Morgan Diversified Factor International Equity
Index |
FTSE
Developed ex North America Index | |
U.S.
Equity ETF |
JP
Morgan Diversified Factor US Equity Index |
Russell
1000 Index | |
U.S.
Mid Cap Equity ETF |
JP
Morgan Diversified Factor US Mid Cap Equity Index |
Russell
Midcap Index | |
U.S.
Small Cap Equity ETF |
JP
Morgan Diversified Factor US Small Cap Equity
Index |
Russell
2000 Index | |
U.S.
Momentum Factor ETF |
JP
Morgan US Momentum Factor Index |
Russell
1000 Growth Index | |
U.S.
Quality Factor ETF |
JP
Morgan US Quality Factor Index |
Russell
1000 Index | |
U.S.
Value Factor ETF |
JP
Morgan US Value Factor Index |
Russell
1000 Value Index |
|
Fiscal
Year Ended | ||
Fund |
October
31, 2021 |
October
31, 2022 |
October
31, 2023 |
BetaBuilders
Canada ETF |
$149,517 |
$174,442 |
$148,788 |
BetaBuilders
Developed Asia Pacific ex-Japan ETF |
101,703 |
112,901 |
105,270 |
BetaBuilders
Emerging Markets Equity ETF1 |
N/A |
N/A |
9,516 |
BetaBuilders
Europe ETF |
191,446 |
206,978 |
166,427 |
BetaBuilders
International Equity ETF |
184,187 |
171,015 |
139,599 |
BetaBuilders
Japan ETF |
233,330 |
198,295 |
196,526 |
BetaBuilders
U.S. Equity ETF |
22,500 |
30,076 |
42,791 |
BetaBuilders
U.S. Mid Cap Equity ETF |
46,295 |
41,510 |
37,890 |
|
Fiscal
Year Ended | ||
Fund |
October
31, 2021 |
October
31, 2022 |
October
31, 2023 |
BetaBuilders
U.S. Small Cap Equity ETF2 |
$21,563 |
$22,500 |
$20,262 |
Carbon
Transition U.S. Equity ETF3 |
20,625 |
22,500 |
20,208 |
Emerging
Markets Equity ETF |
22,500 |
22,500 |
20,208 |
International
Equity ETF |
25,558 |
22,811 |
20,232 |
U.S.
Equity ETF |
22,500 |
22,500 |
20,208 |
U.S.
Mid Cap Equity ETF |
22,500 |
22,500 |
20,208 |
U.S.
Momentum Factor ETF |
22,500 |
22,500 |
20,208 |
U.S.
Quality Factor ETF |
22,500 |
22,500 |
35,094 |
U.S.
Small Cap Equity ETF |
22,500 |
22,500 |
20,208 |
U.S.
Value Factor ETF |
24,102 |
22,500 |
20,309 |
|
BetaBuilders
Canada
ETF |
BetaBuilders
Developed
Asia
Pacific
ex-Japan
ETF |
BetaBuilders
Emerging
Markets
Equity
ETF |
BetaBuilders
Europe
ETF |
BetaBuilders
International
Equity
ETF |
Gross
Income from Securities Lending
Activities1 |
$17,599,471 |
$241,799 |
$660 |
$6,954,574 |
$1,866,515 |
Fees
and/or Compensation for Securities
Lending
Activities |
|
|
|
|
|
Revenue
Split2 |
245,100 |
2,842 |
52 |
193,369 |
50,702 |
Cash
Collateral Management Fees3 |
382,744 |
5,662 |
— |
94,446 |
24,775 |
Administrative
Fees |
— |
— |
— |
— |
— |
Indemnification
Fees |
— |
— |
— |
— |
— |
Rebates
to Borrowers |
14,061,834 |
197,697 |
12 |
4,470,888 |
1,203,868 |
Others
Fees |
— |
— |
1 |
— |
— |
Aggregate
Fees/Compensation for Securities
Lending
Activities |
14,689,678 |
206,201 |
65 |
4,758,702 |
1,279,345 |
Net
Income from the Securities Lending
Activities |
2,909,793 |
35,598 |
595 |
2,195,872 |
587,170 |
|
BetaBuilders
Japan
ETF |
BetaBuilders
U.S.
Equity ETF |
BetaBuilders
U.S.
Mid Cap
Equity
ETF |
BetaBuilders
U.S.
Small Cap
Equity
ETF |
Diversified
Return
Emerging
Markets
Equity
ETF |
Gross
Income from Securities
Lending
Activities1 |
$3,103,004 |
$585,316 |
$6,561,959 |
$3,681,173 |
$2,536 |
Fees
and/or Compensation for
Securities
Lending Activities |
|
|
|
|
|
Revenue
Split2 |
31,882 |
8,169 |
158,097 |
111,529 |
59 |
Cash
Collateral Management
Fees3 |
56,451 |
8,097 |
72,038 |
36,357 |
75 |
Administrative
Fees |
— |
— |
— |
— |
— |
Indemnification
Fees |
— |
— |
— |
— |
— |
Rebates
to Borrowers |
2,655,795 |
474,373 |
4,511,291 |
2,249,339 |
1,680 |
Others
Fees |
— |
— |
— |
— |
— |
Aggregate
Fees/Compensation for
Securities
Lending Activities |
2,744,128 |
490,639 |
4,741,426 |
2,397,224 |
1,813 |
Net
Income from the Securities
Lending
Activities |
358,876 |
94,677 |
1,820,533 |
1,283,949 |
723 |
|
Diversified
Return
International
Equity
ETF |
Diversified
Return
U.S.
Equity ETF |
Diversified
Return
U.S.
Mid Cap
Equity
ETF |
Diversified
Return
U.S.
Small Cap
Equity
ETF |
U.S.
Momentum
Factor
ETF |
Gross
Income from
Securities
Lending
Activities1 |
$490,839 |
$290,370 |
$224,650 |
$1,349,635 |
$54,166 |
Fees
and/or
Compensation
for
Securities
Lending
Activities |
|
|
|
|
|
Revenue
Split2 |
13,008 |
998 |
853 |
20,527 |
2,652 |
Cash
Collateral
Management
Fees3 |
6,561 |
4,709 |
3,274 |
17,042 |
1,168 |
Administrative
Fees |
— |
— |
— |
— |
— |
Indemnification
Fees |
— |
— |
— |
— |
— |
Rebates
to
Borrowers |
323,864 |
274,417 |
212,634 |
1,080,343 |
20,904 |
Others
Fees |
— |
— |
— |
— |
— |
Aggregate
Fees/
Compensation
for
Securities
Lending
Activities |
343,433 |
280,125 |
216,761 |
1,117,912 |
24,724 |
Net
Income from the
Securities
Lending
Activities |
147,406 |
10,245 |
7,889 |
231,723 |
29,442 |
|
U.S.
Quality
Factor
ETF |
U.S.
Value
Factor
ETF |
Gross
Income from Securities Lending Activities1 |
$1,945,570 |
$955,721 |
Fees
and/or Compensation for Securities Lending
Activities |
|
|
Revenue
Split2 |
31,409 |
8,200 |
Cash
Collateral Management Fees3 |
26,586 |
13,449 |
Administrative
Fees |
— |
— |
Indemnification
Fees |
— |
— |
Rebates
to Borrowers |
1,530,894 |
840,392 |
Others
Fees |
— |
— |
Aggregate
Fees/Compensation for Securities Lending Activities |
1,588,889 |
862,041 |
Net
Income from the Securities Lending Activities |
356,681 |
93,680 |
|
Fiscal
Year Ended | ||
Fund |
October
31, 2021 |
October
31, 2022 |
October
31, 2023 |
BetaBuilders
Canada ETF | |||
Total
Brokerage Commissions |
$50,162 |
$148,332 |
$68,584 |
Brokerage
Commissions to Affiliated Broker/Dealers |
— |
— |
— |
|
Fiscal
Year Ended | ||
Fund |
October
31, 2021 |
October
31, 2022 |
October
31, 2023 |
BetaBuilders
Developed Asia Pacific ex-Japan ETF | |||
Total
Brokerage Commissions |
$186,094 |
$299,749 |
$176,799 |
Brokerage
Commissions to Affiliated Broker/Dealers |
— |
— |
— |
BetaBuilders
Emerging Markets Equity ETF1 | |||
Total
Brokerage Commissions |
N/A |
N/A |
202,324 |
Brokerage
Commissions to Affiliated Broker/Dealers |
N/A |
N/A |
— |
BetaBuilders
Europe ETF | |||
Total
Brokerage Commissions |
147,901 |
149,460 |
118,041 |
Brokerage
Commissions to Affiliated Broker/Dealers |
— |
— |
— |
BetaBuilders
International Equity ETF | |||
Total
Brokerage Commissions |
65,830 |
64,453 |
61,093 |
Brokerage
Commissions to Affiliated Broker/Dealers |
— |
— |
— |
BetaBuilders
Japan ETF | |||
Total
Brokerage Commissions |
144,898 |
169,898 |
138,032 |
Brokerage
Commissions to Affiliated Broker/Dealers |
— |
— |
— |
BetaBuilders
U.S. Equity ETF | |||
Total
Brokerage Commissions |
3,945 |
3,641 |
6,651 |
Brokerage
Commissions to Affiliated Broker/Dealers |
— |
— |
— |
BetaBuilders
U.S. Mid Cap Equity ETF | |||
Total
Brokerage Commissions |
80,028 |
115,094 |
50,110 |
Brokerage
Commissions to Affiliated Broker/Dealers |
— |
— |
— |
BetaBuilders
U.S. Small Cap Equity ETF2 | |||
Total
Brokerage Commissions |
24,156 |
67,475 |
146,211 |
Brokerage
Commissions to Affiliated Broker/Dealers |
— |
— |
— |
Carbon
Transition U.S. Equity ETF3 | |||
Total
Brokerage Commissions |
1,723 |
823 |
796 |
Brokerage
Commissions to Affiliated Broker/Dealers |
— |
— |
— |
Emerging
Markets Equity ETF | |||
Total
Brokerage Commissions |
87,756 |
76,075 |
95,627 |
Brokerage
Commissions to Affiliated Broker/Dealers |
— |
— |
— |
International
Equity ETF | |||
Total
Brokerage Commissions |
99,641 |
77,479 |
66,658 |
Brokerage
Commissions to Affiliated Broker/Dealers |
— |
— |
— |
U.S.
Equity ETF | |||
Total
Brokerage Commissions |
32,114 |
30,969 |
35,793 |
Brokerage
Commissions to Affiliated Broker/Dealers |
— |
— |
— |
U.S.
Mid Cap Equity ETF | |||
Total
Brokerage Commissions |
18,261 |
13,246 |
21,863 |
Brokerage
Commissions to Affiliated Broker/Dealers |
— |
— |
— |
U.S.
Momentum Factor ETF | |||
Total
Brokerage Commissions |
9,647 |
15,927 |
14,631 |
Brokerage
Commissions to Affiliated Broker/Dealers |
— |
— |
— |
U.S.
Quality Factor ETF | |||
Total
Brokerage Commissions |
12,120 |
18,087 |
42,490 |
Brokerage
Commissions to Affiliated Broker/Dealers |
— |
— |
— |
U.S.
Small Cap Equity ETF | |||
Total
Brokerage Commissions |
24,055 |
27,013 |
65,043 |
Brokerage
Commissions to Affiliated Broker/Dealers |
— |
— |
— |
U.S.
Value Factor ETF | |||
Total
Brokerage Commissions |
48,031 |
32,214 |
43,060 |
Brokerage
Commissions to Affiliated Broker/Dealers |
— |
— |
— |
Fund |
Name
of Broker-Dealer |
Value
of Securities
Owned |
BetaBuilders
Canada ETF |
Bank
of Montreal |
$184,980,515 |
|
Canadian
Imperial Bank of
Commerce |
111,237,546 |
BetaBuilders
Developed Asia Pacific ex-Japan ETF |
Macquarie
Group Limited |
88,380,671 |
BetaBuilders
Europe ETF |
BNP
Paribas SA |
34,507,303 |
|
UBS
Group AG |
39,547,733 |
BetaBuilders
International Equity ETF |
Crédit
Agricole Group |
3,278,127 |
|
Nomura
Holdings, Inc. |
2,764,655 |
|
UBS
Group AG |
17,358,420 |
BetaBuilders
Japan ETF |
Nomura
Holdings, Inc. |
26,960,023 |
BetaBuilders
U.S. Equity ETF |
Bank
of America Corp. |
10,757,730 |
|
Citigroup,
Inc. |
4,492,461 |
|
Equitable
Holdings |
512,376 |
|
Goldman
Sachs Group, Inc.
(The) |
5,914,019 |
|
Morgan
Stanley |
5,338,270 |
BetaBuilders
U.S. Mid Cap Equity ETF |
Jefferies |
2,899,193 |
Carbon
Transition U.S. Equity ETF |
Bank
of America Corp. |
40,511 |
|
Citigroup,
Inc. |
22,786 |
|
Goldman
Sachs Group, Inc.
(The) |
28,236 |
|
Morgan
Stanley |
22,167 |
Diversified
Return U.S. Equity ETF |
Bank
of America Corp. |
932,647 |
|
Morgan
Stanley |
1,271,007 |
|
Virtu
Financial, Inc. |
414,435 |
Diversified
Return U.S. Mid Cap Equity ETF |
Jefferies |
1,167,104 |
|
Virtu
Financial, Inc. |
107,353 |
U.S.
Momentum Factor ETF |
Jefferies |
599,031 |
|
Morgan
Stanley |
1,681,408 |
U.S.
Quality Factor ETF |
Virtu
Financial, Inc. |
1,221,986 |
U.S.
Value Factor ETF |
Citigroup,
Inc. |
3,738,597 |
|
Capital
Loss Carryforward
Character | |
Fund |
Short-Term |
Long-Term |
BetaBuilders
Canada ETF |
$64,270,716 |
$137,634,986 |
BetaBuilders
Developed Asia Pacific ex-Japan ETF |
103,133,156 |
135,762,083 |
BetaBuilders
Emerging Markets Equity ETF |
535,185 |
312,990 |
BetaBuilders
Europe ETF |
123,586,788 |
207,235,489 |
BetaBuilders
International Equity ETF |
29,397,394 |
54,939,789 |
BetaBuilders
Japan ETF |
65,782,769 |
230,823,357 |
BetaBuilders
U.S. Equity ETF |
30,535,955 |
11,801,665 |
BetaBuilders
U.S. Mid Cap Equity ETF |
157,391,651 |
133,598,467 |
BetaBuilders
U.S. Small Cap Equity ETF |
50,557,459 |
29,835,755 |
Carbon
Transition U.S. Equity ETF |
1,455,965* |
1,205,586* |
Emerging
Markets Equity ETF |
27,541,488 |
9,070,037 |
International
Equity ETF |
53,684,631 |
111,916,925 |
U.S.
Equity ETF |
34,559,356 |
22,862,408 |
U.S.
Mid Cap Equity ETF |
21,279,323 |
10,918,611 |
U.S.
Momentum Factor ETF |
31,055,612 |
13,263,139 |
U.S.
Quality Factor ETF |
52,310,857 |
22,883,195 |
U.S.
Small Cap Equity ETF |
30,381,878 |
21,790,847 |
U.S.
Value Factor ETF |
53,754,581 |
28,161,447 |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
JPMORGAN
BETABUILDERS CANADA ETF | ||
|
JPMORGAN
CHASE BANK, NATIONAL
ASSOCIATION*
383
MADISON AVENUE
NEW
YORK, NY 10017 |
47.90% |
|
|
|
|
J.P.
MORGAN SECURITIES LLC*
383
MADISON AVENUE
NEW
YORK, NY 10017 |
29.23% |
|
|
|
|
STATE
STREET BANK AND TRUST
COMPANY
ONE
CONGRESS STREET
BOSTON,
MA 02114 |
7.43% |
|
|
|
|
CITIBANK,
NATIONAL ASSOCIATION
388
GREENWICH ST
NEW
YORK, NY 10013 |
6.04% |
JPMORGAN
BETABUILDERS DEVELOPED ASIA PACIFIC EX-JAPAN ETF | ||
|
JPMORGAN
CHASE BANK, NATIONAL
ASSOCIATION*
383
MADISON AVENUE
NEW
YORK, NY 10017 |
52.59% |
|
|
|
|
J.P.
MORGAN SECURITIES LLC*
383
MADISON AVENUE
NEW
YORK, NY 10017 |
31.74% |
|
|
|
|
MERRILL
LYNCH, PIERCE, FENNER &
SMITH
INCORPORATED
10000
AVALON BLVD
ALPHARETTA,
GA 30009 |
9.97% |
JPMORGAN
BETABUILDERS EMERGING MARKETS EQUITY ETF | ||
|
JPMORGAN
CHASE BANK, NATIONAL
ASSOCIATION*
383
MADISON AVENUE
NEW
YORK, NY 10017 |
95.83% |
JPMORGAN
BETABUILDERS EUROPE ETF | ||
|
JPMORGAN
CHASE BANK, NATIONAL
ASSOCIATION*
383
MADISON AVENUE
NEW
YORK, NY 10017 |
53.18% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
|
|
|
|
J.P.
MORGAN SECURITIES LLC*
383
MADISON AVENUE
NEW
YORK, NY 10017 |
33.69% |
JPMORGAN
BETABUILDERS INTERNATIONAL EQUITY ETF | ||
|
JPMORGAN
CHASE BANK, NATIONAL
ASSOCIATION*
383
MADISON AVENUE
NEW
YORK, NY 10017 |
76.01% |
JPMORGAN
BETABUILDERS JAPAN ETF | ||
|
JPMORGAN
CHASE BANK, NATIONAL
ASSOCIATION*
383
MADISON AVENUE
NEW
YORK, NY 10017 |
46.36% |
|
|
|
|
J.P.
MORGAN SECURITIES LLC*
383
MADISON AVENUE
NEW
YORK, NY 10017 |
27.07% |
JPMORGAN
BETABUILDERS U.S. EQUITY ETF | ||
|
J.P.
MORGAN SECURITIES LLC*
383
MADISON AVENUE
NEW
YORK, NY 10017 |
22.24% |
|
|
|
|
JPMORGAN
CHASE BANK, NATIONAL
ASSOCIATION*
383
MADISON AVENUE
NEW
YORK, NY 10017 |
21.89% |
|
|
|
|
THE
BANK OF NEW YORK MELLON
500
GRANT ST
PITTSBURG,
PA 15219 |
13.93% |
JPMORGAN
BETABUILDERS U.S. MID CAP EQUITY ETF | ||
|
JPMORGAN
CHASE BANK, NATIONAL
ASSOCIATION*
383
MADISON AVENUE
NEW
YORK, NY 10017 |
95.07% |
JPMORGAN
BETABUILDERS U.S. SMALL CAP EQUITY ETF | ||
|
JPMORGAN
CHASE BANK, NATIONAL
ASSOCIATION*
383
MADISON AVENUE
NEW
YORK, NY 10017 |
66.84% |
|
|
|
|
THE
BANK OF NEW YORK MELLON
500
GRANT ST
PITTSBURG,
PA 15219 |
31.18% |
JPMORGAN
CARBON TRANSITION U.S. EQUITY ETF | ||
|
BOFA
SECURITIES, INC.
1
BRYANT PARK
NEW
YORK, NY 10036 |
36.48% |
|
|
|
|
FIDELITY
BROKERAGE SERVICES LLC
10000
RESEARCH BLVD
AUSTIN,TX
78759 |
8.17% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
|
|
|
|
RBC
CAPITAL MARKETS, LLC
3
WORLD FINANCIAL CTR
NEW
YORK, NY 10281 |
7.23% |
|
|
|
|
CHARLES
SCHWAB & CO., INC.
101
MONTEGOMERY ST
SAN
FRANCISCO, CA 94104 |
7.20% |
|
|
|
|
J.P.
MORGAN SECURITIES LLC*
383
MADISON AVENUE
NEW
YORK, NY 10017 |
6.47% |
|
|
|
|
BRIDGE
FINANCIAL PLANNING, LLC
633
CHESTNUT ST
CHATTANOOGA,
TN 37450 |
5.49% |
|
|
|
|
CHARLES
SCHWAB RETAL
10003
WOODLOCH FOREST DR
SPRING,
TX 77380 |
5.05% |
JPMORGAN
DIVERSIFIED RETURN EMERGING MARKETS EQUITY ETF | ||
|
FIDELITY
BROKERAGE SERVICES LLC
10000
RESEARCH BLVD
AUSTIN,TX
78759 |
8.95% |
|
|
|
|
49
FINANCIAL
916
S CAPITAL OF TEXAS HWY
WEST
LAKE HILLS, TX 78746 |
6.62% |
|
|
|
|
MERRILL
LYNCH, PIERCE, FENNER &
SMITH
INCORPORATED
10000
AVALON BLVD
ALPHARETTA,
GA 30009 |
5.82% |
JPMORGAN
DIVERSIFIED RETURN INTERNATIONAL EQUITY ETF | ||
|
UBS
FINANCIAL SERVICES INC.
1000
& 1200 HARBOR BLVD.
WEEHAWKEN,
NJ 07086 |
10.41% |
|
|
|
|
WEALTH
ENHANCEMENT ADVISORY
SERVICES,
LLC
1001
3RD
AVE W
BRADENTON,
FL 34205 |
9.35% |
|
|
|
|
MERRILL
LYNCH, PIERCE, FENNER &
SMITH
INCORPORATED
10000
AVALON BLVD
ALPHARETTA,
GA 30009 |
9.07% |
|
|
|
|
THE
BANK OF NEW YORK MELLON
500
GRANT ST
PITTSBURG,
PA 15219 |
8.36% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
|
|
|
|
FIDELITY
BROKERAGE SERVICES LLC
10000
RESEARCH BLVD
AUSTIN,TX
78759 |
6.96% |
|
|
|
|
MORGAN
STANLEY
101
PARK AVE
NEW
YORK, NY 10178 |
6.62% |
JPMORGAN
DIVERSIFIED RETURN U.S. EQUITY ETF | ||
|
PLANNING
ALTERNATIVES LTD
36800
WOODWARD AVE #200
BLOOMFIELD
HILLS, MI 48304 |
12.17% |
|
|
|
|
ST.
GERMAIN SECURITIES, INC.
103
W PARK ST
LEE,
MA 01238 |
10.38% |
|
|
|
|
UBS
FINANCIAL SERVICES INC.
1000
& 1200 HARBOR BLVD.
WEEHAWKEN,
NJ 07086 |
8.52% |
|
|
|
|
MERRILL
LYNCH, PIERCE, FENNER &
SMITH
INCORPORATED
10000
AVALON BLVD
ALPHARETTA,
GA 30009 |
6.85% |
|
|
|
|
FIDELITY
BROKERAGE SERVICES LLC
10000
RESEARCH BLVD
AUSTIN,TX
78759 |
6.61% |
|
|
|
|
MODERA
WEALTH MANAGEMENT, LLC
22
DEPOT ST
TRYON,
NC 28782 |
5.22% |
JPMORGAN
DIVERSIFIED RETURN U.S. MID CAP EQUITY ETF | ||
|
CERITY
PARTNERS LLC
100
FRONT ST
CONSHOHOCKEN,
PA 19428 |
14.60% |
|
|
|
|
MORGAN
STANLEY
101
PARK AVE
NEW
YORK, NY 10178 |
8.63% |
|
|
|
|
LPL
FINANCIAL LLC
1055
LPL WAY
FORT
MILL, SC 29715 |
7.52% |
|
|
|
|
HIGHTOWER
ADVISORS, LLC
100
ANDOVER BYPASS ST
NORTH
ANDOVER, MA 01845 |
6.88% |
|
|
|
|
EDWARD
JONES
12555
MANCHESTER RD
SAINT
LOUIS, MO 63131 |
6.31% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
|
|
|
|
GOLDSTEIN
ADVISORS, LLC
1241
JOHN Q HAMMONS DR
MADISON,
WI 53717 |
5.56% |
JPMORGAN
DIVERSIFIED RETURN U.S. SMALL CAP EQUITY ETF | ||
|
RAYMOND
JAMES FINANCIAL SERVICES,
INC.
3165
E MILLROCK DR
SALT
LAKE CITY, UT 84121 |
12.34% |
|
|
|
|
KOSS-OLINGER
CONSULTING, LLC.
2700
NW 43RD ST
GAINESVILLE,
FL 32606 |
10.35% |
|
|
|
|
LPL
FINANCIAL LLC
1055
LPL WAY
FORT
MILL, SC 29715 |
7.11% |
|
|
|
|
EDWARD
JONES
12555
MANCHESTER RD
SAINT
LOUIS, MO 63131 |
6.13% |
|
|
|
|
RBC
CAPITAL MARKETS, LLC
3
WORLD FINANCIAL CTR
NEW
YORK, NY 10281 |
5.64% |
|
|
|
|
MERRILL
LYNCH, PIERCE, FENNER &
SMITH
INCORPORATED
10000
AVALON BLVD
ALPHARETTA,
GA 30009 |
5.27% |
|
|
|
|
CAPTAL
ADVISORS WEALTH
MANAGEMENT
1104
N 35TH
AVE
YAKIMA,
WA 98902 |
5.01% |
JPMORGAN
U.S. MOMENTUM FACTOR ETF | ||
|
RONALD
BLUE TRUST
300
COLONIAL CENTER PKWY
ROSWELL,
GA 30076 |
21.87% |
|
|
|
|
BLUE
TRUST, INC.
10706
SIKES PL
CHARLOTTE,
NC 28277 |
14.64% |
|
|
|
|
SGH
WEALTH MANAGEMENT
262
CENTRAL PARK BLVD
SOUTHFIELD,
MI 48076 |
11.70% |
|
|
|
|
EQUITABLE
ADVISORS, LLC
1290
AVENUE OF THE AMERICAS
NEW
YORK, NY 10104 |
9.09% |
Name
of Fund |
Name
and Address of Shareholder |
Percentage
Held |
|
|
|
|
FIDELITY
BROKERAGE SERVICES LLC
10000
RESEARCH BLVD
AUSTIN,TX
78759 |
6.66% |
|
|
|
|
SHORE
POINT ADVISORS, LLC
402
HIGGINS AVE
BRIELLE,
NJ 08730 |
5.88% |
JPMORGAN
U.S. QUALITY FACTOR ETF | ||
|
FIDELITY
BROKERAGE SERVICES LLC
10000
RESEARCH BLVD
AUSTIN,TX
78759 |
9.95% |
|
|
|
|
SIGNATUREFD,
LLC
1230
PEACHTREE ST NE
ATLANTA,
GA 30309 |
5.87% |
JPMORGAN
U.S. VALUE FACTOR ETF | ||
|
COBBLESTONE
CAPITAL ADVISORS, LLC
140
ALLENS CREEK RD
ROCHESTER,
NY 14618 |
7.48% |
|
|
|
|
FIDELITY
BROKERAGE SERVICES LLC
10000
RESEARCH BLVD
AUSTIN,TX
78759 |
5.33% |