Fund | Ticker | Listing Exchange | ||
iShares Asia 50 ETF | AIA | Nasdaq | ||
iShares Emerging Markets Infrastructure ETF | EMIF | Nasdaq | ||
iShares Global 100 ETF | IOO | NYSE Arca | ||
iShares Global Comm Services ETF | IXP | NYSE Arca | ||
iShares Global Consumer Discretionary ETF | RXI | NYSE Arca | ||
iShares Global Consumer Staples ETF | KXI | NYSE Arca | ||
iShares Global Energy ETF | IXC | NYSE Arca | ||
iShares Global Financials ETF | IXG | NYSE Arca | ||
iShares Global Healthcare ETF | IXJ | NYSE Arca | ||
iShares Global Industrials ETF | EXI | NYSE Arca | ||
iShares Global Infrastructure ETF | IGF | Nasdaq | ||
iShares Global Materials ETF | MXI | NYSE Arca | ||
iShares Global Tech ETF | IXN | NYSE Arca | ||
iShares Global Timber & Forestry ETF | WOOD | Nasdaq | ||
iShares Global Utilities ETF | JXI | NYSE Arca | ||
iShares India 50 ETF | INDY | Nasdaq | ||
iShares International Developed Property ETF | WPS | NYSE Arca | ||
iShares International Dividend Growth ETF | IGRO | Cboe BZX | ||
iShares Latin America 40 ETF | ILF | NYSE Arca |
• | iShares Asia 50 ETF |
• | iShares Emerging Markets Infrastructure ETF |
• | iShares Global 100 ETF |
• | iShares Global Comm Services ETF |
• | iShares Global Consumer Discretionary ETF |
• | iShares Global Consumer Staples ETF |
• | iShares Global Energy ETF1 |
• | iShares Global Financials ETF |
• | iShares Global Healthcare ETF |
• | iShares Global Industrials ETF |
• | iShares Global Infrastructure ETF |
• | iShares Global Materials ETF |
• | iShares Global Tech ETF2 |
• | iShares Global Timber & Forestry ETF |
• | iShares Global Utilities ETF |
• | iShares India 50 ETF |
• | iShares International Developed Property ETF |
• | iShares International Dividend Growth ETF |
• | iShares Latin America 40 ETF |
1 | On April 20, 2023, the iShares Global Energy ETF's Underlying Index changed from the S&P Global 1200 Energy Index to the S&P Global 1200 Energy 4.5/22.5/45 Capped Index. |
2 | On April 20, 2023, the iShares Global Tech ETF's Underlying Index changed from the S&P Global 1200 Information Technology Index to the S&P Global 1200 Information Technology 4.5/22.5/45 Capped Index. |
Diversified Funds | Non-Diversified Funds | |
iShares Global 100 ETF* | iShares Asia 50 ETF | |
iShares Global Consumer Discretionary ETF | iShares Emerging Markets Infrastructure ETF | |
iShares Global Consumer Staples ETF | iShares Global Comm Services ETF | |
iShares Global Financials ETF | iShares Global Energy ETF | |
iShares Global Healthcare ETF | iShares Global Tech ETF | |
iShares Global Industrials ETF | iShares Global Timber & Forestry ETF | |
iShares Global Infrastructure ETF | iShares India 50 ETF | |
iShares Global Materials ETF | iShares Latin America 40 ETF | |
iShares Global Utilities ETF | ||
iShares International Developed Property ETF | ||
iShares International Dividend Growth ETF |
* | The iShares Global 100 ETF intends to be diversified in approximately the same proportion as its Underlying Index is diversified. The iShares Global 100 ETF may become non-diversified, as defined in the 1940 Act, solely as a result of a change in relative market capitalization or index weighting of one or more constituents of its Underlying Index. Shareholder approval will not be sought if the iShares Global 100 ETF crosses from diversified to non-diversified status due solely to a change in its relative market capitalization or index weighting of one or more constituents of its Underlying Index. The Funds disclose their portfolio holdings and weightings at www.iShares.com. |
• | creates rights, or obligations, which are not ordinarily created between persons dealing at arm’s length; |
• | results, directly or indirectly, in the misuse, or abuse, of the provisions of IT Act; |
• | lacks commercial substance; or |
• | is entered into, or carried out, by means, or in a manner, which are not ordinarily employed for bona fide purposes. |
• | An FPI who has not availed itself of any benefit under a tax treaty and has made investment in accordance with the Securities and Exchange Board of India (Foreign Portfolio Investors) Regulations, 2019; |
• | An investment made by a non‑resident, directly or indirectly, in an FPI; and |
• | Any arrangement where the aggregate tax benefit to all the parties of the arrangement in the relevant financial year does not exceed INR 30 million. |
• | Communications of Data Files: A Fund may make available through the facilities of the National Securities Clearing Corporation (“NSCC”) or through posting on the www.iShares.com, prior to the opening of trading on each business day, a list of a Fund’s holdings (generally pro-rata) that Authorized Participants could deliver to a Fund to settle purchases of a Fund (i.e. Deposit Securities) or that Authorized Participants would receive from a Fund to settle redemptions of a Fund (i.e. Fund Securities). These files are known as the Portfolio Composition File and the Fund Data |
File (collectively, “Files”). The Files are applicable for the next trading day and are provided to the NSCC and/or posted on www.iShares.com after the close of markets in the U.S. | |
• | Communications with Authorized Participants and Liquidity Providers: Certain employees of BFA are responsible for interacting with Authorized Participants and liquidity providers with respect to discussing custom basket proposals as described in the Custom Baskets section of this SAI. As part of these discussions, these employees may discuss with an Authorized Participant or liquidity provider the securities a Fund is willing to accept for a creation, and securities that a Fund will provide on a redemption. |
• | Communications with Listing Exchanges: From time to time, employees of BFA may discuss portfolio holdings information with the applicable primary listing exchange for a Fund as needed to meet the exchange listing standards. |
• | Communications with Other Portfolio Managers: Certain information may be provided to employees of BFA who manage funds that invest a significant percentage of their assets in shares of an underlying fund as necessary to manage the fund’s investment objective and strategy. |
• | Communication of Other Information: Certain explanatory information regarding the Files is released to Authorized Participants and liquidity providers on a daily basis, but is only done so after the Files are posted to www.iShares.com. |
• | Third-Party Service Providers: Certain portfolio holdings information may be disclosed to Fund Trustees and their counsel, outside counsel for the Funds, auditors and to certain third-party service providers (i.e., fund administrator, custodian, proxy voting service) for which a non-disclosure, confidentiality agreement or other obligation is in place with such service providers, as may be necessary to conduct business in the ordinary course in a manner consistent with applicable policies, agreements with the Funds, the terms of the current registration statements and federal securities laws and regulations thereunder. |
• | Liquidity Metrics: “Liquidity Metrics,” which seek to ascertain a Fund’s liquidity profile under BlackRock’s global liquidity risk methodology, include but are not limited to: (a) disclosure regarding the number of days needed to liquidate a portfolio or the portfolio’s underlying investments; and (b) the percentage of a Fund’s NAV invested in a particular liquidity tier under BlackRock’s global liquidity risk methodology. The dissemination of position-level liquidity metrics data and any non-public regulatory data pursuant to the Liquidity Rule (including SEC liquidity tiering) is not permitted unless pre-approved. Disclosure of portfolio-level liquidity metrics prior to 60 calendar days after calendar quarter-end requires a non-disclosure or confidentiality agreement and approval of the Trust’s Chief Compliance Officer. Portfolio-level liquidity metrics disclosure subsequent to 60 calendar days after calendar quarter-end requires the approval of portfolio management and must be disclosed to all parties requesting the information if disclosed to any party. |
1. | Concentrate its investments (i.e., hold 25% or more of its total assets in the stocks of a particular industry or group of industries), except that each Fund will concentrate to approximately the same extent that its Underlying Index concentrates in the stocks of such particular industry or group of industries. For purposes of this limitation, securities of the U.S. government (including its agencies and instrumentalities), repurchase agreements collateralized by U.S. |
government securities, and securities of state or municipal governments and their political subdivisions are not considered to be issued by members of any industry. | |
2. | Borrow money, except that (i) each Fund may borrow from banks for temporary or emergency (not leveraging) purposes, including the meeting of redemption requests which might otherwise require the untimely disposition of securities, and (ii) each Fund may, to the extent consistent with its investment policies, enter into repurchase agreements, reverse repurchase agreements, forward roll transactions and similar investment strategies and techniques. To the extent that it engages in transactions described in (i) and (ii), each Fund will be limited so that no more than 33 1/3% of the value of its total assets (including the amount borrowed) is derived from such transactions. Any borrowings which come to exceed this amount will be reduced in accordance with applicable law. |
3. | Issue any senior security, except as permitted under the 1940 Act, as amended, and as interpreted, modified or otherwise permitted by regulatory authority having jurisdiction, from time to time. |
4. | Make loans, except as permitted under the 1940 Act, as amended, and as interpreted, modified or otherwise permitted by regulatory authority having jurisdiction, from time to time. |
5. | Purchase or sell real estate, real estate mortgages, commodities or commodity contracts, but this restriction shall not prevent each Fund from trading in futures contracts and options on futures contracts (including options on currencies to the extent consistent with each Fund’s investment objective and policies). |
6. | Engage in the business of underwriting securities issued by other persons, except to the extent that each Fund may technically be deemed to be an underwriter under the 1933 Act, in disposing of portfolio securities. |
1. | Concentrate its investments (i.e., hold 25% or more of its total assets in the stocks of a particular industry or group of industries), except that each Fund will concentrate to approximately the same extent that its Underlying Index concentrates in the stocks of such particular industry or group of industries. For purposes of this limitation, securities of the U.S. government (including its agencies and instrumentalities), repurchase agreements collateralized by U.S. government securities, and securities of state or municipal governments and their political subdivisions are not considered to be issued by members of any industry. |
2. | Borrow money, except that (i) each Fund may borrow from banks for temporary or emergency (not leveraging) purposes, including the meeting of redemption requests which might otherwise require the untimely disposition of securities, and (ii) each Fund may, to the extent consistent with its investment policies, enter into repurchase agreements, reverse repurchase agreements, forward roll transactions and similar investment strategies and techniques. To the extent that it engages in transactions described in (i) and (ii), each Fund will be limited so that no more than 33 1/3% of the value of its total assets (including the amount borrowed) is derived from such transactions. Any borrowings which come to exceed this amount will be reduced in accordance with applicable law. |
3. | Issue “senior securities” as defined in the 1940 Act and the rules, regulations and orders thereunder, except as permitted under the 1940 Act and the rules, regulations and orders thereunder. |
4. | Make loans. This restriction does not apply to: (i) the purchase of debt obligations in which each Fund may invest consistent with its investment objectives and policies; (ii) repurchase agreements and reverse repurchase agreements; and (iii) loans of its portfolio securities, to the fullest extent permitted under the 1940 Act. |
5. | Purchase or sell real estate, real estate mortgages, commodities or commodity contracts, but this restriction shall not prevent each Fund from trading in futures contracts and options on futures contracts (including options on currencies to the extent consistent with each Fund’s investment objective and policies). |
6. | Engage in the business of underwriting securities issued by other persons, except to the extent that each Fund may technically be deemed to be an underwriter under the 1933 Act in disposing of portfolio securities. |
1. | Concentrate its investments (i.e., hold 25% or more of its total assets in the stocks of a particular industry or group of industries), except that each Fund will concentrate to approximately the same extent that its Underlying Index concentrates in the stocks of such particular industry or group of industries. For purposes of this limitation, securities of the U.S. government (including its agencies and instrumentalities), repurchase agreements collateralized by U.S. |
government securities, and securities of state or municipal governments and their political subdivisions are not considered to be issued by members of any industry. | |
2. | Borrow money, except that (i) each Fund may borrow from banks for temporary or emergency (not leveraging) purposes, including the meeting of redemption requests which might otherwise require the untimely disposition of securities, and (ii) each Fund may, to the extent consistent with its investment policies, enter into repurchase agreements, reverse repurchase agreements, forward roll transactions and similar investment strategies and techniques. To the extent that it engages in transactions described in (i) and (ii), each Fund will be limited so that no more than 33 1/3% of the value of its total assets (including the amount borrowed) is derived from such transactions. Any borrowings which come to exceed this amount will be reduced in accordance with applicable law. |
3. | Issue any senior security, except as permitted under the 1940 Act, as amended, and as interpreted, modified or otherwise permitted by regulatory authority having jurisdiction, from time to time. |
4. | Make loans, except as permitted under the 1940 Act. |
5. | Purchase or sell real estate, real estate mortgages, commodities or commodity contracts, but this restriction shall not prevent each Fund from trading in futures contracts and options on futures contracts (including options on currencies to the extent consistent with each Fund’s investment objective and policies). |
6. | Engage in the business of underwriting securities issued by other persons, except to the extent that each Fund may technically be deemed to be an underwriter under the 1933 Act in disposing of portfolio securities. |
1. | Concentrate its investments (i.e., invest 25% or more of its total assets in the securities of a particular industry or group of industries), except that each Fund will concentrate to approximately the same extent that its Underlying Index concentrates in the securities of a particular industry or group of industries. For purposes of this limitation, securities of the U.S. government (including its agencies and instrumentalities), repurchase agreements collateralized by U.S. government securities, and securities of state or municipal governments and their political subdivisions are not considered to be issued by members of any industry. |
2. | Borrow money, except that (i) each Fund may borrow from banks for temporary or emergency (not leveraging) purposes, including the meeting of redemption requests which might otherwise require the untimely disposition of securities; and (ii) each Fund may, to the extent consistent with its investment policies, enter into repurchase agreements, reverse repurchase agreements, forward roll transactions and similar investment strategies and techniques. To the extent that it engages in transactions described in (i) and (ii), each Fund will be limited so that no more than 33 1/3% of the value of its total assets (including the amount borrowed) is derived from such transactions. Any borrowings which come to exceed this amount will be reduced in accordance with applicable law. |
3. | Issue any senior security, except as permitted under the 1940 Act, as interpreted, modified or otherwise permitted by any regulatory authority having jurisdiction, from time to time. |
4. | Make loans, except as permitted under the 1940 Act, as interpreted, modified or otherwise permitted by regulatory authority having jurisdiction, from time to time. |
5. | Purchase or sell real estate unless acquired as a result of ownership of securities or other instruments (but this restriction shall not prevent each Fund from investing in securities of companies engaged in the real estate business or securities or other instruments backed by real estate or mortgages), or commodities or commodity contracts (but this restriction shall not prevent each Fund from trading in futures contracts and options on futures contracts, including options on currencies to the extent consistent with each Fund’s investment objective and policies). |
6. | Engage in the business of underwriting securities issued by other persons, except to the extent that each Fund may technically be deemed to be an underwriter under the 1933 Act, in disposing of portfolio securities. |
1. | Concentrate its investments in a particular industry, as that term is used in the 1940 Act, except that the Fund will concentrate to approximately the same extent that its Underlying Index concentrates in the securities of a particular industry or group of industries. |
2. | Borrow money, except as permitted under the 1940 Act. |
3. | Issue senior securities to the extent such issuance would violate the 1940 Act. |
4. | Purchase or hold real estate, except the Fund may purchase and hold securities or other instruments that are secured by, or linked to, real estate or interests therein, securities of real estate investment trusts, mortgage-related securities and securities of issuers engaged in the real estate business, and the Fund may purchase and hold real estate as a result of the ownership of securities or other instruments. |
5. | Underwrite securities issued by others, except to the extent that the sale of portfolio securities by the Fund may be deemed to be an underwriting or as otherwise permitted by applicable law. |
6. | Purchase or sell commodities or commodity contracts, except as permitted by the 1940 Act. |
7. | Make loans to the extent prohibited by the 1940 Act. |
Name (Age) | Position | Principal
Occupation(s) During the Past 5 Years |
Other
Directorships Held by Trustee | |||
Robert
S. Kapito1 (65) |
Trustee (since 2009). |
President, BlackRock, Inc. (since 2006); Vice Chairman of BlackRock, Inc. and Head of BlackRock’s Portfolio Management Group (since its formation in 1998) and BlackRock, Inc.’s predecessor entities (since 1988); Trustee, University of Pennsylvania (since 2009); President of Board of Directors, Hope & Heroes Children’s Cancer Fund (since 2002). | Director of BlackRock, Inc. (since 2006); Director of iShares, Inc. (since 2009); Trustee of iShares U.S. ETF Trust (since 2011). | |||
Salim
Ramji2 (52) |
Trustee (since 2019). | Senior Managing Director, BlackRock, Inc. (since 2014); Global Head of BlackRock’s ETF and Index Investments Business (since 2019); Head of BlackRock’s U.S. Wealth Advisory Business (2015-2019); Global Head of Corporate Strategy, BlackRock, Inc. (2014-2015); Senior Partner, McKinsey & Company (2010-2014). | Director of iShares, Inc. (since 2019); Trustee of iShares U.S. ETF Trust (since 2019). |
1 | Robert S. Kapito is deemed to be an “interested person” (as defined in the 1940 Act) of the Trust due to his affiliations with BlackRock, Inc. and its affiliates. |
2 | Salim Ramji is deemed to be an “interested person” (as defined in the 1940 Act) of the Trust due to his affiliations with BlackRock, Inc. and its affiliates. |
Name (Age) | Position | Principal
Occupation(s) During the Past 5 Years |
Other
Directorships Held by Trustee | |||
John
E. Kerrigan (67) |
Trustee (since 2005); Independent Board Chair (since 2022). |
Chief Investment Officer, Santa Clara University (since 2002). | Director of iShares, Inc. (since 2005); Trustee of iShares U.S. ETF Trust (since 2011); Independent Board Chair of iShares, Inc. and iShares U.S. ETF Trust (since 2022). | |||
Jane
D. Carlin (66) |
Trustee (since 2015); Risk Committee Chair (since 2016). |
Consultant (since 2012); Member of the Audit Committee (2012-2018), Chair of the Nominating and Governance Committee (2017-2018) and Director of PHH Corporation (mortgage solutions) (2012-2018); Managing Director and Global Head of Financial Holding Company Governance & Assurance and the Global Head of Operational Risk Management of Morgan Stanley (2006-2012). | Director of iShares, Inc. (since 2015); Trustee of iShares U.S. ETF Trust (since 2015); Member of the Audit Committee (since 2016), Chair of the Audit Committee (since 2020) and Director of The Hanover Insurance Group, Inc. (since 2016). |
Name (Age) | Position | Principal
Occupation(s) During the Past 5 Years |
Other
Directorships Held by Trustee | |||
Richard
L. Fagnani (67) |
Trustee (since 2017); Audit Committee Chair (since 2019). |
Partner, KPMG LLP (2002-2016); Director of One Generation Away (since 2021). | Director of iShares, Inc. (since 2017); Trustee of iShares U.S. ETF Trust (since 2017). | |||
Cecilia
H. Herbert (73) |
Trustee (since 2005); Nominating and Governance and Equity Plus Committee Chairs (since 2022). |
Chair of the Finance Committee (since 2019) and Trustee and Member of the Finance, Audit and Quality Committees of Stanford Health Care (since 2016); Trustee of WNET, New York's public media company (since 2011) and Member of the Audit Committee (since 2018), Investment Committee (since 2011) and Personnel Committee (since 2022); Chair (1994-2005) and Member (1992-2021) of the Investment Committee, Archdiocese of San Francisco; Trustee of Forward Funds (14 portfolios) (2009-2018); Trustee of Salient MF Trust (4 portfolios) (2015-2018); Director (1998-2013) and President (2007-2011) of the Board of Directors, Catholic Charities CYO; Trustee (2002-2011) and Chair of the Finance and Investment Committee (2006-2010) of the Thacher School; Director of the Senior Center of Jackson Hole (since 2020). Director of the Jackson Hole Center for the Arts (since 2021); Member of the Wyoming State Investment Funds Committee (since 2022). | Director of iShares, Inc. (since 2005); Trustee of iShares U.S. ETF Trust (since 2011). | |||
Drew
E. Lawton (63) |
Trustee (since 2017); 15(c) Committee Chair (since 2017). |
Senior Managing Director of New York Life Insurance Company (2010-2015). | Director of iShares, Inc. (since 2017); Trustee of iShares U.S. ETF Trust (since 2017); Director of Jackson Financial Inc. (since 2021). | |||
John
E. Martinez (61) |
Trustee (since 2003); Securities Lending Committee Chair (since 2019). |
Director of Real Estate Equity Exchange, Inc. (since 2005); Director of Cloudera Foundation (2017-2020); and Director of Reading Partners (2012-2016). | Director of iShares, Inc. (since 2003); Trustee of iShares U.S. ETF Trust (since 2011). |
Name (Age) | Position | Principal
Occupation(s) During the Past 5 Years |
Other
Directorships Held by Trustee | |||
Madhav
V. Rajan (57) |
Trustee (since 2011); Fixed Income Plus Committee Chair (since 2019). |
Dean, and George Pratt Shultz Professor of Accounting, University of Chicago Booth School of Business (since 2017); Advisory Board Member (since 2016) and Director (since 2020) of C.M. Capital Corporation; Chair of the Board for the Center for Research in Security Prices, LLC (since 2020); Robert K. Jaedicke Professor of Accounting, Stanford University Graduate School of Business (2001-2017); Professor of Law (by courtesy), Stanford Law School (2005-2017); Senior Associate Dean for Academic Affairs and Head of MBA Program, Stanford University Graduate School of Business (2010-2016). | Director
of iShares, Inc. (since 2011); Trustee of iShares U.S. ETF Trust (since 2011). |
Name (Age) | Position | Principal
Occupation(s) During the Past 5 Years | ||
Dominik Rohe(49) | President (since 2023). | Managing Director, BlackRock, Inc. (since 2005); Head of Americas ETF and Index Investments (since 2023); Head of Latin America (2019-2023). | ||
Trent
Walker (48) |
Treasurer
and Chief Financial Officer (since 2020). |
Managing Director of BlackRock, Inc. (since September 2019); Chief Financial Officer of iShares Delaware Trust Sponsor LLC, BlackRock Funds, BlackRock Funds II, BlackRock Funds IV, BlackRock Funds V and BlackRock Funds VI (since 2021); Executive Vice President of PIMCO (2016-2019); Senior Vice President of PIMCO (2008-2015); Treasurer (2013-2019) and Assistant Treasurer (2007-2017) of PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO ETF Trust, PIMCO Equity Series, PIMCO Equity Series VIT, PIMCO Managed Accounts Trust, 2 PIMCO-sponsored interval funds and 21 PIMCO-sponsored closed-end funds. |
Name (Age) | Position | Principal
Occupation(s) During the Past 5 Years | ||
Charles
Park (54) |
Chief Compliance Officer (since 2006). | Chief Compliance Officer of BlackRock Advisors, LLC and the BlackRock-advised Funds in the BlackRock Multi-Asset Complex and the BlackRock Fixed-Income Complex (since 2014); Chief Compliance Officer of BFA (since 2006). | ||
Marisa
Rolland (41) |
Secretary (since 2022). | Managing Director, BlackRock, Inc. (since 2023); Director, BlackRock, Inc. (2018-2022); Vice President, BlackRock, Inc. (2010-2017). | ||
Rachel
Aguirre (40) |
Executive Vice President (since 2022). | Managing Director, BlackRock, Inc. (since 2018); Director, BlackRock, Inc. (2009-2018); Head of U.S. iShares Product (since 2022); Head of EII U.S. Product Engineering (since 2021); Co-Head of EII’s Americas Portfolio Engineering (2020-2021); Head of Developed Markets Portfolio Engineering (2016-2019). | ||
Jennifer
Hsui (46) |
Executive Vice President (since 2022). | Managing Director, BlackRock, Inc. (since 2009); Co-Head of Index Equity (since 2022). | ||
James
Mauro (51) |
Executive Vice President (since 2021). | Managing Director, BlackRock, Inc. (since 2010); Head of Fixed Income Index Investments in the Americas and Head of San Francisco Core Portfolio Management (since 2020). |
Name | Fund | Dollar
Range of Equity Securities in Named Fund |
Aggregate
Dollar Range of Equity Securities in all Registered Investment Companies Overseen by Trustee in Family of Investment Companies | |||
Robert S. Kapito | None | None | None | |||
Salim Ramji | iShares Broad USD Investment Grade Corporate Bond ETF | Over $100,000 | Over $100,000 | |||
iShares Commodity Curve Carry Strategy ETF | $50,001-$100,000 | |||||
iShares Core Dividend Growth ETF | Over $100,000 | |||||
iShares Core MSCI Emerging Markets ETF | Over $100,000 | |||||
iShares Core MSCI Total International Stock ETF | $1-$10,000 | |||||
iShares Core S&P 500 ETF | $1-$10,000 | |||||
iShares Core S&P Mid-Cap ETF | Over $100,000 | |||||
iShares Core S&P Small-Cap ETF | Over $100,000 | |||||
iShares Core S&P Total U.S. Stock Market ETF | $1-$10,000 | |||||
iShares Expanded Tech Sector ETF | $1-$10,000 | |||||
iShares Expanded Tech-Software Sector ETF | $1-$10,000 | |||||
iShares GSCI Commodity Dynamic Roll Strategy ETF | $50,001-$100,000 | |||||
iShares MSCI USA ESG Select ETF | $1-$10,000 | |||||
iShares Robotics and Artificial Intelligence Multisector ETF | $1-$10,000 | |||||
iShares TIPS Bond ETF | $50,001-$100,000 | |||||
John E. Kerrigan | iShares Core S&P 500 ETF | Over $100,000 | Over $100,000 |
Name | Fund | Dollar
Range of Equity Securities in Named Fund |
Aggregate
Dollar Range of Equity Securities in all Registered Investment Companies Overseen by Trustee in Family of Investment Companies | |||
iShares Core S&P Small-Cap ETF | $50,001-$100,000 | |||||
iShares ESG Advanced MSCI EAFE ETF | $1-$10,000 | |||||
iShares ESG Advanced MSCI USA ETF | $10,001-$50,000 | |||||
iShares ESG Aware MSCI EAFE ETF | $10,001-$50,000 | |||||
iShares ESG Aware MSCI EM ETF | $50,001-$100,000 | |||||
iShares ESG Aware MSCI USA ETF | Over $100,000 | |||||
iShares ESG Aware MSCI USA Small-Cap ETF | $10,001-$50,000 | |||||
iShares Exponential Technologies ETF | Over $100,000 | |||||
iShares Genomics Immunology and Healthcare ETF | $10,001-$50,000 | |||||
iShares Global Clean Energy ETF | Over $100,000 | |||||
iShares Global Infrastructure ETF | Over $100,000 | |||||
iShares Global Tech ETF | $10,001-$50,000 | |||||
iShares MSCI ACWI ex U.S. ETF | Over $100,000 | |||||
iShares MSCI EAFE Growth ETF | Over $100,000 | |||||
iShares MSCI EAFE Value ETF | Over $100,000 | |||||
iShares MSCI KLD 400 Social ETF | $10,001-$50,000 | |||||
iShares MSCI USA ESG Select ETF | $1-$10,000 | |||||
iShares MSCI USA Min Vol Factor ETF | $10,001-$50,000 | |||||
iShares MSCI USA Value Factor ETF | $50,001-$100,000 | |||||
iShares U.S. Energy ETF | $10,001-$50,000 | |||||
iShares U.S. Financial Services ETF | $10,001-$50,000 | |||||
Jane D. Carlin | iShares Core MSCI EAFE ETF | Over $100,000 | Over $100,000 | |||
iShares Core MSCI Emerging Markets ETF | Over $100,000 | |||||
iShares Core S&P Mid-Cap ETF | $10,001-$50,000 | |||||
iShares Core S&P Small-Cap ETF | Over $100,000 | |||||
iShares Global Clean Energy ETF | $10,001-$50,000 | |||||
iShares MSCI ACWI ex U.S. ETF | Over $100,000 | |||||
iShares MSCI Global Metals & Mining Producers ETF | $10,001-$50,000 | |||||
iShares Select Dividend ETF | $10,001-$50,000 | |||||
Richard L. Fagnani | iShares 0-5 Year TIPS Bond ETF | $10,001-$50,000 | Over $100,000 | |||
iShares China Large-Cap ETF | $50,001-$100,000 | |||||
iShares Core Dividend Growth ETF | $10,001-$50,000 | |||||
iShares Core S&P 500 ETF | $50,001-$100,000 |
Name | Fund | Dollar
Range of Equity Securities in Named Fund |
Aggregate
Dollar Range of Equity Securities in all Registered Investment Companies Overseen by Trustee in Family of Investment Companies | |||
iShares Core U.S. REIT ETF | $10,001-$50,000 | |||||
iShares Exponential Technologies ETF | $10,001-$50,000 | |||||
iShares Global Clean Energy ETF | $10,001-$50,000 | |||||
iShares GSCI Commodity Dynamic Roll Strategy ETF | $10,001-$50,000 | |||||
iShares MSCI All Country Asia ex Japan ETF | $10,001-$50,000 | |||||
iShares MSCI Japan ETF | $10,001-$50,000 | |||||
iShares MSCI Singapore ETF | $10,001-$50,000 | |||||
iShares MSCI USA Equal Weighted ETF | $10,001-$50,000 | |||||
iShares MSCI USA Quality Factor ETF | $10,001-$50,000 | |||||
iShares Robotics and Artificial Intelligence Multisector ETF | $10,001-$50,000 | |||||
iShares TIPS Bond ETF | $10,001-$50,000 | |||||
iShares U.S. Infrastructure ETF | $10,001-$50,000 | |||||
iShares U.S. Regional Banks ETF | $10,001-$50,000 | |||||
Cecilia H. Herbert | iShares California Muni Bond ETF | Over $100,000 | Over $100,000 | |||
iShares Core Dividend Growth ETF | Over $100,000 | |||||
iShares Core MSCI Emerging Markets ETF | $1-$10,000 | |||||
iShares Core MSCI Total International Stock ETF | $10,001-$50,000 | |||||
iShares Core S&P 500 ETF | Over $100,000 | |||||
iShares Core S&P U.S. Growth ETF | Over $100,000 | |||||
iShares Core S&P U.S. Value ETF | Over $100,000 | |||||
iShares iBoxx $ High Yield Corporate Bond ETF | $10,001-$50,000 | |||||
iShares International Select Dividend ETF | $1-$10,000 | |||||
iShares MSCI EAFE ETF | $1-$10,000 | |||||
iShares MSCI Japan ETF | $10,001-$50,000 | |||||
iShares MSCI USA Value Factor ETF | Over $100,000 | |||||
iShares National Muni Bond ETF | $10,001-$50,000 | |||||
iShares Preferred and Income Securities ETF | $10,001-$50,000 | |||||
Drew E. Lawton | BlackRock Ultra Short-Term Bond ETF | Over $100,000 | Over $100,000 | |||
iShares 0-5 Year High Yield Corporate Bond ETF | $50,001-$100,000 | |||||
iShares Biotechnology ETF | Over $100,000 | |||||
iShares Core Dividend Growth ETF | Over $100,000 | |||||
iShares Core MSCI Total International Stock ETF | Over $100,000 | |||||
iShares Core S&P Total U.S. Stock Market ETF | Over $100,000 |
Name | Fund | Dollar
Range of Equity Securities in Named Fund |
Aggregate
Dollar Range of Equity Securities in all Registered Investment Companies Overseen by Trustee in Family of Investment Companies | |||
iShares Expanded Tech Sector ETF | Over $100,000 | |||||
iShares Exponential Technologies ETF | Over $100,000 | |||||
iShares Global Financials ETF | $10,001-$50,000 | |||||
iShares U.S. Financial Services ETF | Over $100,000 | |||||
iShares U.S. Financials ETF | $50,001-$100,000 | |||||
iShares U.S. Healthcare ETF | Over $100,000 | |||||
John E. Martinez | iShares 1-5 Year Investment Grade Corporate Bond ETF | Over $100,000 | Over $100,000 | |||
iShares Core MSCI International Developed Markets ETF | $10,001-$50,000 | |||||
iShares Core S&P 500 ETF | Over $100,000 | |||||
iShares Core S&P Small-Cap ETF | Over $100,000 | |||||
iShares Core S&P Total U.S. Stock Market ETF | Over $100,000 | |||||
iShares Global Consumer Staples ETF | Over $100,000 | |||||
iShares Russell 1000 ETF | Over $100,000 | |||||
iShares Russell 1000 Value ETF | Over $100,000 | |||||
iShares Russell 2000 ETF | Over $100,000 | |||||
Madhav V. Rajan | None | None | None |
Name | iShares Asia 50 ETF |
iShares Emerging Markets Infrastructure ETF |
iShares Global 100 ETF |
iShares Global Comm Services ETF | ||||
Independent Trustees: | ||||||||
Jane D. Carlin | $257 | $4 | $361 | $46 | ||||
Richard L. Fagnani | 264 | 4 | 370 | 47 | ||||
Cecilia H. Herbert | 284 | 4 | 398 | 50 | ||||
John E. Kerrigan | 275 | 4 | 385 | 49 | ||||
Drew E. Lawton | 255 | 4 | 358 | 45 | ||||
John E. Martinez | 255 | 4 | 358 | 45 | ||||
Madhav V. Rajan | 255 | 4 | 358 | 45 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $0 | $0 | $0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name | iShares Global Consumer Discretionary ETF |
iShares Global Consumer Staples ETF |
iShares Global Energy ETF |
iShares Global Financials ETF | ||||
Independent Trustees: | ||||||||
Jane D. Carlin | $56 | $169 | $433 | $220 | ||||
Richard L. Fagnani | 58 | 174 | 445 | 226 | ||||
Cecilia H. Herbert | 62 | 187 | 477 | 243 | ||||
John E. Kerrigan | 60 | 181 | 462 | 235 | ||||
Drew E. Lawton | 56 | 168 | 430 | 218 | ||||
John E. Martinez | 56 | 168 | 430 | 218 | ||||
Madhav V. Rajan | 56 | 168 | 430 | 218 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $0 | $0 | $0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name | iShares Global Healthcare ETF |
iShares Global Industrials ETF |
iShares Global Infrastructure ETF |
iShares Global Materials ETF | ||||
Independent Trustees: | ||||||||
Jane D. Carlin | $424 | $61 | $651 | $138 | ||||
Richard L. Fagnani | 435 | 62 | 668 | 141 | ||||
Cecilia H. Herbert | 467 | 67 | 717 | 152 | ||||
John E. Kerrigan | 452 | 65 | 694 | 147 | ||||
Drew E. Lawton | 420 | 60 | 645 | 137 | ||||
John E. Martinez | 420 | 60 | 645 | 137 | ||||
Madhav V. Rajan | 420 | 60 | 645 | 137 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $0 | $0 | $0 | $0 |
Name | iShares Global Healthcare ETF |
iShares Global Industrials ETF |
iShares Global Infrastructure ETF |
iShares Global Materials ETF | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name | iShares Global Tech ETF |
iShares Global Timber & Forestry ETF |
iShares Global Utilities ETF |
iShares India 50 ETF | ||||
Independent Trustees: | ||||||||
Jane D. Carlin | $944 | $60 | $34 | $0 | ||||
Richard L. Fagnani | 968 | 61 | 35 | 1,069 | ||||
Cecilia H. Herbert | 1,039 | 66 | 38 | 0 | ||||
John E. Kerrigan | 1,007 | 64 | 36 | 0 | ||||
Drew E. Lawton | 936 | 59 | 34 | 1,069 | ||||
John E. Martinez | 936 | 59 | 34 | 0 | ||||
Madhav V. Rajan | 936 | 59 | 34 | 0 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $0 | $0 | $0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name | iShares International Developed Property ETF |
iShares International Dividend Growth ETF |
iShares Latin America 40 ETF |
||||||
Independent Trustees: | |||||||||
Jane D. Carlin | $12 | $61 | $329 | ||||||
Richard L. Fagnani | 12 | 63 | 338 | ||||||
Cecilia H. Herbert | 13 | 67 | 363 | ||||||
John E. Kerrigan | 13 | 65 | 351 | ||||||
Drew E. Lawton | 12 | 60 | 327 | ||||||
John E. Martinez | 12 | 60 | 327 | ||||||
Madhav V. Rajan | 12 | 60 | 327 | ||||||
Interested Trustees: | |||||||||
Robert S. Kapito | $0 | $0 | $0 | ||||||
Salim Ramji | 0 | 0 | 0 |
Name | Pension
or Retirement Benefits Accrued As Part of Trust Expenses1 |
Estimated
Annual Benefits Upon Retirement1 |
Total Compensation From the Funds and Fund Complex2 | |||
Independent Trustees: | ||||||
Jane D. Carlin | Not Applicable | Not Applicable | 420,000 | |||
Richard L. Fagnani | Not Applicable | Not Applicable | 446,764 | |||
Cecilia H. Herbert | Not Applicable | Not Applicable | 475,000 | |||
John E. Kerrigan | Not Applicable | Not Applicable | 445,000 | |||
Drew E. Lawton | Not Applicable | Not Applicable | 431,764 |
Name | Pension
or Retirement Benefits Accrued As Part of Trust Expenses1 |
Estimated
Annual Benefits Upon Retirement1 |
Total Compensation From the Funds and Fund Complex2 | |||
John E. Martinez | Not Applicable | Not Applicable | 420,000 | |||
Madhav V. Rajan | Not Applicable | Not Applicable | 420,000 |
Interested Trustees: | |||
Robert S. Kapito | Not Applicable | Not Applicable | $0 |
Salim Ramji | Not Applicable | Not Applicable | 0 |
1 | No Trustee or officer is entitled to any pension or retirement benefits from the Trust. |
2 | Also includes compensation for service on the Board of Trustees of iShares U.S. ETF Trust and the Board of Directors of iShares, Inc. |
Fund | Name | Percentage of Ownership | ||
iShares Asia 50 ETF | Citibank,
N.A. S.D. Indeval Institucion 3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
37.52% | ||
JPMorgan
Chase Bank, National Association 1111 Polaris Parkway Columbus, OH 43240 |
32.45% | |||
State
Street Bank and Trust Company 1776 Heritage Drive North Quincy, MA 02171 |
6.52% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
5.47% | |||
iShares Emerging Markets Infrastructure ETF | Citibank,
N.A. 3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
44.84% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
9.55% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
9.01% | |||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
7.62% | |||
Fund | Name | Percentage of Ownership | ||
iShares Global 100 ETF | JPMorgan
Chase Bank, National Association 1111 Polaris Parkway Columbus, OH 43240 |
55.66% | ||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
8.82% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
7.08% | |||
iShares Global Comm Services ETF | UBS
Financial Services Inc. 1000 Harbor Blvd. Weehawken, NJ 07086 |
36.05% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
10.88% | |||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
9.75% | |||
iShares Global Consumer Discretionary ETF | BlackRock
Institutional Trust Company, N.A. 400 Howard Street San Francisco, CA 94105 |
17.36% | ||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
8.93% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
8.76% | |||
National
Bank Financial Inc. 1155 Metcalfe Street Montreal, QC H3B 4S9 Canada |
7.18% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
5.75% | |||
UBS
Financial Services Inc. 1000 Harbor Blvd. Weehawken, NJ 07086 |
5.06% | |||
iShares Global Consumer Staples ETF | Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
20.13% | ||
JPMorgan
Chase Bank, National Association 1111 Polaris Parkway Columbus, OH 43240 |
12.29% |
Fund | Name | Percentage of Ownership | ||
Brown
Brothers Harriman & Co. 525 Washington Blvd. 11th Floor Jersey City, NJ 07310 |
8.92% | |||
American
Enterprise Investment Services Inc. 719 Griswold St. Detroit, MI 48226 |
8.83% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
7.04% | |||
UBS
Financial Services Inc. 1000 Harbor Blvd. Weehawken, NJ 07086 |
6.68% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
6.68% | |||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
5.26% | |||
iShares Global Energy ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
14.31% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
11.06% | |||
Citibank,
N.A. 3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
8.92% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
6.24% | |||
HSBC
Bank USA, NA/Clearing 452 Fifth Avenue New York, NY 10018 |
5.97% | |||
iShares Global Financials ETF | Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
20.40% | ||
HSBC
Bank USA, NA/Clearing 452 Fifth Avenue New York, NY 10018 |
9.88% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
8.70% |
Fund | Name | Percentage of Ownership | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
7.67% | |||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
6.83% | |||
UBS
Financial Services Inc. 1000 Harbor Blvd. Weehawken, NJ 07086 |
6.16% | |||
The
Bank of New York Mellon 111 Sanders Creek Parkway 2nd Floor East Syracuse, NY 13057 |
6.08% | |||
Citibank,
N.A. 3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
5.72% | |||
iShares Global Healthcare ETF | JPMorgan
Chase Bank, National Association 1111 Polaris Parkway Columbus, OH 43240 |
26.84% | ||
BlackRock
Institutional Trust Company, N.A. 400 Howard Street San Francisco, CA 94105 |
11.89% | |||
Citibank,
N.A. 3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
9.83% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
8.43% | |||
Brown
Brothers Harriman & Co. 525 Washington Blvd. 11th Floor Jersey City, NJ 07310 |
6.11% | |||
iShares Global Industrials ETF | HSBC
Bank USA, NA/Clearing 452 Fifth Avenue New York, NY 10018 |
19.11% | ||
BlackRock
Institutional Trust Company, N.A. 400 Howard Street San Francisco, CA 94105 |
14.39% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
14.16% |
Fund | Name | Percentage of Ownership | ||
Bank
of America, National Association GWIM TRUST OPERATIONS 411 N. Akard Street 5th Floor Dallas, TX 75201 |
7.34% | |||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
5.55% | |||
iShares Global Infrastructure ETF | Northern
Trust Company (The) 801 South Canal Street Chicago, IL 60607 |
25.34% | ||
JPMorgan
Chase Bank, National Association 1111 Polaris Parkway Columbus, OH 43240 |
17.53% | |||
State
Street Bank and Trust Company 1776 Heritage Drive North Quincy, MA 02171 |
7.60% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
7.33% | |||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
6.04% | |||
iShares Global Materials ETF | Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
15.82% | ||
The
Bank of New York Mellon 111 Sanders Creek Parkway 2nd Floor East Syracuse, NY 13057 |
13.65% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
9.57% | |||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
9.04% | |||
Citibank,
N.A. 3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
7.04% | |||
iShares Global Tech ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
15.17% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
10.11% |
Fund | Name | Percentage of Ownership | ||
Citibank,
N.A. 3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
6.05% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
5.90% | |||
JPMorgan
Chase Bank, National Association 1111 Polaris Parkway Columbus, OH 43240 |
5.54% | |||
iShares Global Timber & Forestry ETF | Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
19.13% | ||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
14.08% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
8.67% | |||
State
Street Bank and Trust Company 1776 Heritage Drive North Quincy, MA 02171 |
7.32% | |||
Citibank,
N.A. 3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
6.01% | |||
iShares Global Utilities ETF | Brown
Brothers Harriman & Co. 525 Washington Blvd. 11th Floor Jersey City, NJ 07310 |
15.82% | ||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
13.07% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
10.22% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
7.06% | |||
iShares India 50 ETF | State
Street Bank and Trust Company 1776 Heritage Drive North Quincy, MA 02171 |
33.13% | ||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
8.44% |
Fund | Name | Percentage of Ownership | ||
BlackRock
Institutional Trust Company, N.A. 400 Howard Street San Francisco, CA 94105 |
7.08% | |||
Citibank,
N.A. 3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
5.75% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
5.53% | |||
Euroclear
Bank SA/NV 28 Liberty Street, 33rd Floor New York, NY 10005 |
5.18% | |||
iShares International Developed Property ETF | Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
19.78% | ||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
14.69% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
10.69% | |||
JPMorgan
Chase Bank, National Association 1111 Polaris Parkway Columbus, OH 43240 |
7.74% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
7.61% | |||
iShares International Dividend Growth ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
22.14% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
13.35% | |||
UBS
Financial Services Inc. 1000 Harbor Blvd. Weehawken, NJ 07086 |
13.30% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
11.62% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
10.40% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
6.68% |
Fund | Name | Percentage of Ownership | ||
iShares Latin America 40 ETF | Brown
Brothers Harriman & Co. 525 Washington Blvd. 11th Floor Jersey City, NJ 07310 |
24.33% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
7.57% | |||
BNP
Paribas, New York Branch/Custody Services 525 Washington BLVD. Jersey City, NJ 07310 |
6.66% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
6.62% | |||
Citibank,
N.A. 3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
6.19% | |||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
5.57% | |||
JPMorgan
Chase Bank, National Association 1111 Polaris Parkway Columbus, OH 43240 |
5.56% | |||
State
Street Bank and Trust Company 1776 Heritage Drive North Quincy, MA 02171 |
5.43% |
Fund | Management Fee for the Fiscal Year Ended March 31, 2022 |
Fund Inception Date |
Management Fees Paid Net of Waivers for Fiscal Year Ended March 31, 2022 |
Management Fees Paid Net of Waivers for Fiscal Year Ended March 31, 2021 |
Management Fees Paid Net of Waivers for Fiscal Year Ended March 31, 2020 | |||||
iShares Asia 50 ETF | 0.50% | 11/13/07 | $12,759,276 | $9,930,078 | $5,512,376 | |||||
iShares Emerging Markets Infrastructure ETF1,2 | 0.60% | 06/16/09 | 99,260 | 88,034 | 176,784 | |||||
iShares Global 100 ETF | 0.40% | 12/05/00 | 14,118,970 | 10,087,938 | 8,239,730 | |||||
iShares Global Comm Services ETF | 0.40% | 11/12/01 | 1,246,269 | 1,316,614 | 1,154,795 | |||||
iShares Global Consumer Discretionary ETF | 0.40% | 09/12/06 | 1,787,909 | 1,249,561 | 975,752 | |||||
iShares Global Consumer Staples ETF | 0.40% | 09/12/06 | 2,921,293 | 2,645,526 | 3,590,044 | |||||
iShares Global Energy ETF | 0.40% | 11/12/01 | 6,542,597 | 4,371,486 | 4,063,298 |
Fund | Management Fee for the Fiscal Year Ended March 31, 2022 |
Fund Inception Date |
Management Fees Paid Net of Waivers for Fiscal Year Ended March 31, 2022 |
Management Fees Paid Net of Waivers for Fiscal Year Ended March 31, 2021 |
Management Fees Paid Net of Waivers for Fiscal Year Ended March 31, 2020 | |||||
iShares Global Financials ETF | 0.40% | 11/12/01 | 9,903,298 | 1,199,466 | 1,605,234 | |||||
iShares Global Healthcare ETF | 0.40% | 11/13/01 | 13,277,303 | 10,172,169 | 9,388,488 | |||||
iShares Global Industrials ETF | 0.40% | 09/12/06 | 1,715,491 | 1,249,849 | 1,037,852 | |||||
iShares Global Infrastructure ETF | 0.40% | 12/10/07 | 12,708,539 | 13,298,158 | 14,567,869 | |||||
iShares Global Materials ETF | 0.40% | 09/12/06 | 3,115,779 | 1,801,883 | 1,069,390 | |||||
iShares Global Tech ETF | 0.40% | 11/12/01 | 21,525,565 | 18,541,018 | 13,148,855 | |||||
iShares Global Timber & Forestry ETF | 0.40% | 06/24/08 | 1,348,420 | 1,046,251 | 1,064,093 | |||||
iShares Global Utilities ETF | 0.40% | 09/12/06 | 637,269 | 653,563 | 975,604 | |||||
iShares India 50 ETF | 0.89% | 11/18/09 | 6,197,154 | 5,343,329 | 6,955,615 | |||||
iShares International Developed Property ETF | 0.48% | 07/30/07 | 365,433 | 418,471 | 573,387 | |||||
iShares International Dividend Growth ETF3 | 0.15% | 05/17/16 | 387,123 | 218,810 | 175,007 | |||||
iShares Latin America 40 ETF | 0.47% | 10/25/01 | 6,786,381 | 5,351,342 | 7,302,827 |
Jennifer Hsui | ||||
Types of Accounts | Number | Total Assets | ||
Registered Investment Companies | 304 | $1,964,182,000,000 | ||
Other Pooled Investment Vehicles | 2 | 4,543,000,000 | ||
Other Accounts | 20 | 32,825,000,000 |
Greg Savage | ||||
Types of Accounts | Number | Total Assets | ||
Registered Investment Companies | 253 | $1,855,477,000,000 | ||
Other Pooled Investment Vehicles | 37 | 10,465,000,000 |
Greg Savage | ||||
Types of Accounts | Number | Total Assets | ||
Other Accounts | 63 | 4,472,000,000 |
Paul Whitehead | ||||
Types of Accounts | Number | Total Assets | ||
Registered Investment Companies | 283 | $1,865,075,000,000 | ||
Other Pooled Investment Vehicles | 1 | 2,142,000,000 | ||
Other Accounts | 5 | 4,408,000,000 |
Jennifer Hsui | ||||
Types of Accounts | Number
of Other Accounts with Performance Fees Managed by Portfolio Manager |
Aggregate of Total Assets | ||
Registered Investment Companies | 0 | N/A | ||
Other Pooled Investment Vehicles | 0 | N/A | ||
Other Accounts | 0 | N/A |
Greg Savage | ||||
Types of Accounts | Number
of Other Accounts with Performance Fees Managed by Portfolio Manager |
Aggregate of Total Assets | ||
Registered Investment Companies | 0 | N/A | ||
Other Pooled Investment Vehicles | 0 | N/A |
Greg Savage | ||||
Types of Accounts | Number
of Other Accounts with Performance Fees Managed by Portfolio Manager |
Aggregate of Total Assets | ||
Other Accounts | 0 | N/A |
Paul Whitehead | ||||
Types of Accounts | Number
of Other Accounts with Performance Fees Managed by Portfolio Manager |
Aggregate of Total Assets | ||
Registered Investment Companies | 0 | N/A | ||
Other Pooled Investment Vehicles | 0 | N/A | ||
Other Accounts | 0 | N/A |
Jennifer Hsui | |||||||||||||||
Dollar Range | |||||||||||||||
Fund | None | $1 to $10k | $10,001 to $50k |
$50,001 to $100k |
$100,001 to $500k |
$500,001 to $1m |
over $1m | ||||||||
iShares Asia 50 ETF | X | ||||||||||||||
iShares Emerging Markets Infrastructure ETF | X | ||||||||||||||
iShares Global 100 ETF | X | ||||||||||||||
iShares Global Comm Services ETF | X | ||||||||||||||
iShares Global Consumer Discretionary ETF | X | ||||||||||||||
iShares Global Consumer Staples ETF | X | ||||||||||||||
iShares Global Energy ETF | X | ||||||||||||||
iShares Global Financials ETF | X | ||||||||||||||
iShares Global Healthcare ETF | X | ||||||||||||||
iShares Global Industrials ETF | X | ||||||||||||||
iShares Global Infrastructure ETF | X |
Jennifer Hsui | |||||||||||||||
Dollar Range | |||||||||||||||
Fund | None | $1 to $10k | $10,001 to $50k |
$50,001 to $100k |
$100,001 to $500k |
$500,001 to $1m |
over $1m | ||||||||
iShares Global Materials ETF | X | ||||||||||||||
iShares Global Tech ETF | X | ||||||||||||||
iShares Global Timber & Forestry ETF | X | ||||||||||||||
iShares Global Utilities ETF | X | ||||||||||||||
iShares India 50 ETF | X | ||||||||||||||
iShares International Developed Property ETF | X | ||||||||||||||
iShares International Dividend Growth ETF | X | ||||||||||||||
iShares Latin America 40 ETF | X |
Greg Savage | |||||||||||||||
Dollar Range | |||||||||||||||
Fund | None | $1 to $10k | $10,001 to $50k |
$50,001 to $100k |
$100,001 to $500k |
$500,001 to $1m |
over $1m | ||||||||
iShares Asia 50 ETF | X | ||||||||||||||
iShares Emerging Markets Infrastructure ETF | X | ||||||||||||||
iShares Global 100 ETF | X | ||||||||||||||
iShares Global Comm Services ETF | X | ||||||||||||||
iShares Global Consumer Discretionary ETF | X | ||||||||||||||
iShares Global Consumer Staples ETF | X | ||||||||||||||
iShares Global Energy ETF | X | ||||||||||||||
iShares Global Financials ETF | X | ||||||||||||||
iShares Global Healthcare ETF | X | ||||||||||||||
iShares Global Industrials ETF | X | ||||||||||||||
iShares Global Infrastructure ETF | X | ||||||||||||||
iShares Global Materials ETF | X | ||||||||||||||
iShares Global Tech ETF | X | ||||||||||||||
iShares Global Timber & Forestry ETF | X | ||||||||||||||
iShares Global Utilities ETF | X | ||||||||||||||
iShares India 50 ETF | X | ||||||||||||||
iShares International Developed Property ETF | X | ||||||||||||||
iShares International Dividend Growth ETF | X | ||||||||||||||
iShares Latin America 40 ETF | X |
Paul Whitehead | |||||||||||||||
Dollar Range | |||||||||||||||
Fund | None | $1 to $10k | $10,001 to $50k |
$50,001 to $100k |
$100,001 to $500k |
$500,001 to $1m |
over $1m | ||||||||
iShares Asia 50 ETF | X | ||||||||||||||
iShares Emerging Markets Infrastructure ETF | X | ||||||||||||||
iShares Global 100 ETF | X | ||||||||||||||
iShares Global Comm Services ETF | X | ||||||||||||||
iShares Global Consumer Discretionary ETF | X | ||||||||||||||
iShares Global Consumer Staples ETF | X | ||||||||||||||
iShares Global Energy ETF | X |
Paul Whitehead | |||||||||||||||
Dollar Range | |||||||||||||||
Fund | None | $1 to $10k | $10,001 to $50k |
$50,001 to $100k |
$100,001 to $500k |
$500,001 to $1m |
over $1m | ||||||||
iShares Global Financials ETF | X | ||||||||||||||
iShares Global Healthcare ETF | X | ||||||||||||||
iShares Global Industrials ETF | X | ||||||||||||||
iShares Global Infrastructure ETF | X | ||||||||||||||
iShares Global Materials ETF | X | ||||||||||||||
iShares Global Tech ETF | X | ||||||||||||||
iShares Global Timber & Forestry ETF | X | ||||||||||||||
iShares Global Utilities ETF | X | ||||||||||||||
iShares India 50 ETF | X | ||||||||||||||
iShares International Developed Property ETF | X | ||||||||||||||
iShares International Dividend Growth ETF | X | ||||||||||||||
iShares Latin America 40 ETF | X |
Fund | Fund Inception Date |
Administration, Custodian, Transfer Agency Expenses Paid During Fiscal Year Ended March 31, 2022 |
Administration, Custodian, Transfer Agency Expenses Paid During Fiscal Year Ended March 31, 2021 |
Administration, Custodian, Transfer Agency Expenses Paid During Fiscal Year Ended March 31, 2020 | ||||
iShares Asia 50 ETF | 11/13/07 | $332,016 | $293,208 | $146,136 | ||||
iShares Emerging Markets Infrastructure ETF | 06/16/09 | 30,107 | 26,440 | 28,586 | ||||
iShares Global 100 ETF | 12/05/00 | 104,658 | 75,561 | 64,817 | ||||
iShares Global Comm Services ETF | 11/12/01 | 39,135 | 41,047 | 37,123 | ||||
iShares Global Consumer Discretionary ETF | 09/12/06 | 46,079 | 39,214 | 32,542 | ||||
iShares Global Consumer Staples ETF | 09/12/06 | 53,277 | 44,670 | 47,346 | ||||
iShares Global Energy ETF | 11/12/01 | 76,627 | 63,849 | 47,516 | ||||
iShares Global Financials ETF | 11/12/01 | 126,451 | 41,688 | 39,004 | ||||
iShares Global Healthcare ETF | 11/13/01 | 97,622 | 79,044 | 61,812 | ||||
iShares Global Industrials ETF | 09/12/06 | 45,703 | 36,816 | 32,222 | ||||
iShares Global Infrastructure ETF | 12/10/07 | 153,182 | 163,188 | 150,576 | ||||
iShares Global Materials ETF | 09/12/06 | 60,871 | 45,417 | 37,610 | ||||
iShares Global Tech ETF | 11/12/01 | 185,908 | 152,023 | 103,097 | ||||
iShares Global Timber & Forestry ETF | 06/24/08 | 43,309 | 32,996 | 31,523 | ||||
iShares Global Utilities ETF | 09/12/06 | 36,816 | 30,229 | 29,009 | ||||
iShares India 50 ETF | 11/18/09 | 20,751 | 18,368 | 20,915 | ||||
iShares International Developed Property ETF | 07/30/07 | 69,548 | 82,772 | 81,049 | ||||
iShares International Dividend Growth ETF | 05/17/16 | 85,564 | 88,668 | 73,560 | ||||
iShares Latin America 40 ETF | 10/25/01 | 310,764 | 303,325 | 284,817 |
Fund | iShares Asia 50 ETF | iShares
Emerging Markets Infrastructure ETF |
iShares Global 100 ETF | iShares
Global Comm Services ETF |
Gross
income from securities lending activities |
$185,559 | $7,926 | $18,900 | $4,591 |
Fees
and/or compensation for securities lending activities and related services |
||||
Securities
lending income paid to BTC for services as securities lending agent |
31,420 | 1,311 | 3,946 | 698 |
Cash
collateral management expenses not included in securities lending income paid to BTC |
8,686 | 577 | 103 | 546 |
Administrative
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Indemnification
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Rebates
(paid to borrowers) |
0 | 64 | 38 | 0 |
Other
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Fund | iShares Asia 50 ETF | iShares
Emerging Markets Infrastructure ETF |
iShares Global 100 ETF | iShares
Global Comm Services ETF |
Aggregate fees/compensation for securities lending activities |
$40,106 | $1,952 | $4,087 | $1,244 |
Net
income from securities lending activities |
$145,453 | $5,974 | $14,813 | $3,347 |
Fund | iShares
Global Consumer Discretionary ETF |
iShares
Global Consumer Staples ETF |
iShares
Global Energy ETF |
iShares
Global Financials ETF |
Gross
income from securities lending activities |
$5,193 | $7,287 | $186 | $16,034 |
Fees
and/or compensation for securities lending activities and related services |
||||
Securities
lending income paid to BTC for services as securities lending agent |
797 | 1,220 | 24 | 2,704 |
Cash
collateral management expenses not included in securities lending income paid to BTC |
449 | 507 | 27 | 634 |
Administrative
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Indemnification
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Rebates
(paid to borrowers) |
75 | 0 | 2 | 0 |
Other
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate fees/compensation for securities lending activities |
$1,321 | $1,727 | $53 | $3,338 |
Net
income from securities lending activities |
$3,872 | $5,560 | $133 | $12,696 |
Fund | iShares
Global Healthcare ETF |
iShares
Global Industrials ETF |
iShares
Global Infrastructure ETF |
iShares Global Materials ETF |
Gross
income from securities lending activities |
$22,172 | $3,818 | $467,514 | $72,618 |
Fees
and/or compensation for securities lending activities and related services |
||||
Securities
lending income paid to BTC for services as securities lending agent |
2,827 | 536 | 82,323 | 12,916 |
Cash
collateral management expenses not included in securities lending income paid to BTC |
3,545 | 406 | 9,471 | 297 |
Administrative
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Indemnification
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Rebates
(paid to borrowers) |
684 | 204 | 221 | 240 |
Other
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate fees/compensation for securities lending activities |
$7,056 | $1,146 | $92,015 | $13,453 |
Net
income from securities lending activities |
$15,116 | $2,672 | $375,499 | $59,165 |
Fund | iShares Global Tech ETF | iShares
Global Timber & Forestry ETF |
iShares
Global Utilities ETF |
iShares India 50 ETF |
Gross
income from securities lending activities |
$27,292 | $1,646 | $26,843 | $0 |
Fees
and/or compensation for securities lending activities and related services |
Fund | iShares Global Tech ETF | iShares
Global Timber & Forestry ETF |
iShares
Global Utilities ETF |
iShares India 50 ETF |
Securities
lending income paid to BTC for services as securities lending agent |
3,303 | 244 | 4,823 | 0 |
Cash
collateral management expenses not included in securities lending income paid to BTC |
4,698 | 249 | 45 | 0 |
Administrative
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Indemnification
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Rebates
(paid to borrowers) |
610 | 0 | 0 | 0 |
Other
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate fees/compensation for securities lending activities |
$8,611 | $493 | $4,868 | $0 |
Net
income from securities lending activities |
$18,681 | $1,153 | $21,975 | $0 |
Fund | iShares
International Developed Property ETF |
iShares
International Dividend Growth ETF |
iShares
Latin America 40 ETF |
Gross
income from securities lending activities |
$33,015 | $6,175 | $726,147 |
Fees
and/or compensation for securities lending activities and related services |
|||
Securities
lending income paid to BTC for services as securities lending agent |
5,834 | 1,093 | 126,420 |
Cash
collateral management expenses not included in securities lending income paid to BTC |
357 | 86 | 15,682 |
Fund | iShares
International Developed Property ETF |
iShares
International Dividend Growth ETF |
iShares
Latin America 40 ETF |
Administrative
fees not included in securities lending income paid to BTC |
0 | 0 | 0 |
Indemnification
fees not included in securities lending income paid to BTC |
0 | 0 | 0 |
Rebates
(paid to borrowers) |
0 | 15 | 1,534 |
Other
fees not included in securities lending income paid to BTC |
0 | 0 | 0 |
Aggregate fees/compensation for securities lending activities |
$6,191 | $1,194 | $143,636 |
Net
income from securities lending activities |
$26,824 | $4,981 | $582,511 |
Fund | Fund Inception Date |
Brokerage Commissions Paid During Fiscal Year Ended March 31, 2022 |
Brokerage Commissions Paid During Fiscal Year Ended March 31, 2021 |
Brokerage Commissions Paid During Fiscal Year Ended March 31, 2020 | ||||
iShares Asia 50 ETF | 11/13/07 | $264,950 | $899,769 | $66,907 | ||||
iShares Emerging Markets Infrastructure ETF | 06/16/09 | 6,054 | 5,241 | 4,986 | ||||
iShares Global 100 ETF | 12/05/00 | 27,820 | 22,740 | 20,469 | ||||
iShares Global Comm Services ETF | 11/12/01 | 15,354 | 9,884 | 14,737 | ||||
iShares Global Consumer Discretionary ETF | 09/12/06 | 18,701 | 20,888 | 7,274 | ||||
iShares Global Consumer Staples ETF | 09/12/06 | 20,874 | 15,923 | 18,174 | ||||
iShares Global Energy ETF | 11/12/01 | 57,932 | 46,221 | 24,006 | ||||
iShares Global Financials ETF | 11/12/01 | 152,422 | 10,348 | 9,318 | ||||
iShares Global Healthcare ETF | 11/13/01 | 24,863 | 27,180 | 24,194 | ||||
iShares Global Industrials ETF | 09/12/06 | 8,196 | 10,285 | 3,470 | ||||
iShares Global Infrastructure ETF | 12/10/07 | 269,280 | 347,323 | 130,189 | ||||
iShares Global Materials ETF | 09/12/06 | 27,102 | 16,856 | 17,958 | ||||
iShares Global Tech ETF | 11/12/01 | 179,613 | 73,222 | 68,588 | ||||
iShares Global Timber & Forestry ETF | 06/24/08 | 33,137 | 22,236 | 16,102 | ||||
iShares Global Utilities ETF | 09/12/06 | 5,783 | 6,445 | 4,143 | ||||
iShares India 50 ETF | 11/18/09 | 114,866 | 109,458 | 259,744 | ||||
iShares International Developed Property ETF | 07/30/07 | 4,676 | 9,990 | 5,283 |
Fund | Fund Inception Date |
Brokerage Commissions Paid During Fiscal Year Ended March 31, 2022 |
Brokerage Commissions Paid During Fiscal Year Ended March 31, 2021 |
Brokerage Commissions Paid During Fiscal Year Ended March 31, 2020 | ||||
iShares International Dividend Growth ETF | 05/17/16 | 59,439 | 42,928 | 14,537 | ||||
iShares Latin America 40 ETF | 10/25/01 | 518,892 | 410,038 | 325,724 |
Fund | Issuer | Market
Value of Investment | ||
iShares Global 100 ETF | JP Morgan Chase & Co. | $80,549,988 | ||
HSBC Holdings PLC | 28,210,716 | |||
Morgan Stanley | 24,746,261 | |||
Goldman Sachs Group Inc. (The) | 22,404,877 | |||
Citigroup, Inc. | 21,187,518 | |||
UBS Group AG | 14,452,669 | |||
Barclays PLC | 6,139,583 | |||
Credit Suisse Group AG | 3,924,445 | |||
iShares Global Financials ETF | JPMorgan Chase & Co. | $56,855,937 | ||
Bank of America Corp. | 41,352,481 | |||
Morgan Stanley | 17,485,768 | |||
Goldman Sachs Group Inc. (The) | 15,809,479 | |||
Citigroup Inc. | 14,917,717 | |||
UBS Group AG | 10,215,021 | |||
BNP Paribas SA | 9,159,598 | |||
Banco Bradesco SA | 3,215,232 | |||
Societe Generale SA | 2,926,744 | |||
Credit Suisse Group AG | 2,804,440 | |||
Nomura Holdings Inc. | 1,809,741 |
Fund | Fiscal Year ended March 31, 2022 | Fiscal Year ended March 31, 2021 | ||
iShares Asia 50 ETF | 13% | 46% | ||
iShares Emerging Markets Infrastructure ETF | 23% | 27% | ||
iShares Global 100 ETF | 2% | 3% | ||
iShares Global Comm Services ETF | 18% | 13% | ||
iShares Global Consumer Discretionary ETF | 12% | 34% | ||
iShares Global Consumer Staples ETF | 8% | 7% | ||
iShares Global Energy ETF | 6% | 5% | ||
iShares Global Financials ETF | 12% | 4% | ||
iShares Global Healthcare ETF | 4% | 5% | ||
iShares Global Industrials ETF | 7% | 8% | ||
iShares Global Infrastructure ETF | 16% | 25% | ||
iShares Global Materials ETF | 6% | 4% | ||
iShares Global Tech ETF | 7% | 4% | ||
iShares Global Timber & Forestry ETF | 18% | 14% | ||
iShares Global Utilities ETF | 9% | 7% | ||
iShares India 50 ETF | 12% | 8% | ||
iShares International Developed Property ETF | 12% | 16% | ||
iShares International Dividend Growth ETF | 40% | 66% | ||
iShares Latin America 40 ETF | 27% | 20% |
Fund | Shares
Per Creation Unit |
Approximate Value Per Creation Unit (U.S.$) | ||
iShares Asia 50 ETF | 50,000 | $3,228,532.35 | ||
iShares Emerging Markets Infrastructure ETF | 50,000 | 1,093,523.10 | ||
iShares Global 100 ETF | 50,000 | 3,496,236.10 | ||
iShares Global Comm Services ETF | 50,000 | 3,275,978.75 | ||
iShares Global Consumer Discretionary ETF | 50,000 | 7,075,517.65 | ||
iShares Global Consumer Staples ETF | 50,000 | 3,126,967.95 | ||
iShares Global Energy ETF | 150,000 | 5,323,046.85 | ||
iShares Global Financials ETF | 50,000 | 3,626,147.45 | ||
iShares Global Healthcare ETF | 50,000 | 4,180,837.15 | ||
iShares Global Industrials ETF | 50,000 | 5,322,659.50 | ||
iShares Global Infrastructure ETF | 100,000 | 4,902,616.30 | ||
iShares Global Materials ETF | 50,000 | 4,392,905.95 | ||
iShares Global Tech ETF | 50,000 | 2,564,831.20 | ||
iShares Global Timber & Forestry ETF | 60,000 | 5,397,255.00 | ||
iShares Global Utilities ETF | 50,000 | 3,158,446.10 | ||
iShares India 50 ETF | 50,000 | 2,244,244.05 | ||
iShares International Developed Property ETF | 100,000 | 3,315,652.10 | ||
iShares International Dividend Growth ETF | 50,000 | 3,083,371.20 | ||
iShares Latin America 40 ETF | 250,000 | 6,549,792.75 |
Fund | Standard
Creation Transaction Fee |
Maximum
Additional Charge for Creations1 | ||
iShares Asia 50 ETF | $2,500 | 7.0% | ||
iShares Emerging Markets Infrastructure ETF | 250 | 7.0% | ||
iShares Global 100 ETF | 2,000 | 3.0% | ||
iShares Global Comm Services ETF | 900 | 7.0% | ||
iShares Global Consumer Discretionary ETF | 2,200 | 7.0% | ||
iShares Global Consumer Staples ETF | 1,800 | 3.0% | ||
iShares Global Energy ETF | 600 | 7.0% | ||
iShares Global Financials ETF | 4,000 | 7.0% | ||
iShares Global Healthcare ETF | 700 | 3.0% | ||
iShares Global Industrials ETF | 2,200 | 7.0% | ||
iShares Global infrastructure ETF | 1,600 | 7.0% | ||
iShares Global Materials ETF | 1,700 | 3.0% | ||
iShares Global Tech ETF | 1,400 | 7.0% | ||
iShares Global Timber & Forestry ETF | 300 | 3.0% | ||
iShares Global Utilities ETF | 1,600 | 7.0% | ||
iShares India 50 ETF | 2,500 | 3.0% |
Fund | Standard
Creation Transaction Fee |
Maximum
Additional Charge for Creations1 | ||
iShares International Developed Property ETF | 4,500 | 7.0% | ||
iShares International Dividend Growth ETF | 8,400 | 7.0% | ||
iShares Latin America 40 ETF | 450 | 3.0% |
1 | As a percentage of the net asset value per Creation Unit. |
Fund | Standard
Redemption Transaction Fee |
Maximum
Additional Charge for Redemptions* | ||
iShares Asia 50 ETF | $2,500 | 2.0% | ||
iShares Emerging Markets Infrastructure ETF | 250 | 2.0% | ||
iShares Global 100 ETF | 2,000 | 2.0% | ||
iShares Global Comm Services ETF | 900 | 2.0% | ||
iShares Global Consumer Discretionary ETF | 2,200 | 2.0% | ||
iShares Global Consumer Staples ETF | 1,800 | 2.0% | ||
iShares Global Energy ETF | 600 | 2.0% | ||
iShares Global Financials ETF | 4,000 | 2.0% | ||
iShares Global Healthcare ETF | 700 | 2.0% | ||
iShares Global Industrials ETF | 2,200 | 2.0% | ||
iShares Global Infrastructure ETF | 1,600 | 2.0% | ||
iShares Global Materials ETF | 1,700 | 2.0% | ||
iShares Global Tech ETF | 1,400 | 2.0% | ||
iShares Global Timber & Forestry ETF | 300 | 2.0% | ||
iShares Global Utilities ETF | 1,600 | 2.0% | ||
iShares India 50 ETF | 2,500 | 2.0% | ||
iShares International Developed Property ETF | 4,500 | 2.0% | ||
iShares International Dividend Growth ETF | 8,400 | 2.0% | ||
iShares Latin America 40 ETF | 450 | 2.0% |
* | As a percentage of the net asset value per Creation Unit, inclusive of the standard redemption transaction fee. |
Fund | Non-Expiring
Capital Loss Carryforward | |
iShares Asia 50 ETF | $68,873,468 | |
iShares Emerging Markets Infrastructure ETF | 31,626,395 | |
iShares Global 100 ETF | 114,796,914 | |
iShares Global Comm Services ETF | 103,298,108 | |
iShares Global Consumer Discretionary ETF | 23,915,694 | |
iShares Global Consumer Staples ETF | 18,264,523 | |
iShares Global Energy ETF | 194,620,291 | |
iShares Global Financials ETF | 95,814,627 | |
iShares Global Healthcare ETF | 67,956,469 | |
iShares Global Industrials ETF | 24,121,065 | |
iShares Global Infrastructure ETF | 279,792,184 | |
iShares Global Materials ETF | 89,618,604 | |
iShares Global Tech ETF | 46,874,482 | |
iShares Global Timber & Forestry ETF | 11,070,882 | |
iShares Global Utilities ETF | 42,422,177 | |
iShares India 50 ETF | 7,613,251 | |
iShares International Developed Property ETF | 29,854,811 | |
iShares International Dividend Growth ETF | 7,114,242 | |
iShares Latin America 40 ETF | 861,526,464 |
• | Dividend: Dividend income earned by the iShares India 50 ETF will be subject to Indian income-tax at the specified tax rate of 20%1, under the IT Act. The applicable tax is withheld by the dividend-paying issuer at the time of payment. The Fund being a resident of USA, may claim the benefit of the India-USA Double Taxation Avoidance Agreement (“DTAA”), which provides a beneficial rate of 15%, subject to the Fund holding at least 10% of the share capital carrying voting power of the Indian company distributing dividend. |
• | Interest: Interest paid to the Fund with respect to debt obligations of Indian issuers will be subject to Indian income tax. A 5% tax rate applies to certain types of interest paid to a nonresident: |
1. | Interest payable to an FPI (until June 30, 2023) with respect to investments made in rupee-denominated bonds (RDBs) of Indian companies and Indian government securities, subject to compliance with certain conditions; and |
2. | Interest payable to a non‑resident with respect to approved foreign currency loans and investment in long-term bonds, including certain RDBs, issued before June 30, 2023. |
1 | All tax rates mentioned in this Indian Tax Disclosure section are exclusive of the applicable surcharge and health and education cess, unless otherwise specified. |
• | Securities Transaction Tax: All transactions entered on a recognized stock exchange in India are subject to a Securities Transaction Tax (“STT”). STT has been introduced under Section 98 of the Finance (No.2) Act, 2004 on transactions relating to sale, purchases and redemption of shares made by purchasers or sellers of Indian securities. The current STT is levied on the transaction value as follows: |
• | 0.1% payable by the buyer and 0.1% by the seller on the value of transactions of delivery-based transfer of an equity share in an Indian company entered in a recognized stock exchange; |
• | 0.025% on the value of transactions of non‑delivery‑based sale of an equity share in an Indian company, entered in a recognized stock exchange and payable by the seller; |
• | 0.05% on the value of transactions of sale of options, entered in a recognized stock exchange and payable by the seller; |
• | 0.01% on the value of transactions of sale of futures, entered in a recognized stock exchange and payable by the seller; |
• | 0.125% on the value of transactions of sale of options where the option is exercised, entered in a recognized stock exchange and payable by the buyer; and |
• | 0.2% on the value of transactions of the sale of unlisted shares by existing shareholders in an initial public offer. |
• | Capital Gains: The taxation of capital gains is as follows. Long-term capital gains (i.e., gains on the sale of shares |
held for more than 12 months) from the sale of equity shares of an Indian company listed on a recognized stock exchange are taxable in India at a rate of 10% provided any applicable STT has been paid, both on acquisition and sale of such shares (subject to certain transactions, to which the provisions of applicability and payment of STT upon acquisition do not apply). The tax on these capital gains is calculated on gains exceeding INR 100,000 (without any indexation and foreign exchange fluctuation benefits). Long term capital gains arising from sale of listed shares, not executed on a recognized stock exchange, will be taxed at a rate of 10%. |
• | Boards and directors |
• | Auditors and audit-related issues |
• | Capital structure, mergers, asset sales and other special transactions |
• | Compensation and benefits |
• | Environmental and social issues |
• | General corporate governance matters and shareholder protections |
• | establishing an appropriate corporate governance structure |
• | supporting and overseeing management in setting long-term strategic goals, applicable measures of value-creation and milestones that will demonstrate progress, and steps taken if any obstacles are anticipated or incurred |
• | ensuring the integrity of financial statements |
• | making independent decisions regarding mergers, acquisitions and disposals |
• | establishing appropriate executive compensation structures |
• | addressing business issues, including environmental and social issues, when they have the potential to materially impact company reputation and performance |
• | current or former employment at the company or a subsidiary within the past several years |
• | being, or representing, a shareholder with a substantial shareholding in the company |
• | interlocking directorships |
• | having any other interest, business or other relationship which could, or could reasonably be perceived to, materially interfere with the director’s ability to act in the best interests of the company |
1) | publish a disclosure in line with industry-specific SASB guidelines by year-end, if they have not already done so, or disclose a similar set of data in a way that is relevant to their particular business; and |
2) | disclose climate-related risks in line with the TCFD’s recommendations, if they have not already done so. This should include the company’s plan for operating under a scenario where the Paris Agreement’s goal of limiting global warming to less than two degrees is fully realized, as expressed by the TCFD guidelines. |
• | The company has already taken sufficient steps to address the concern |
• | The company is in the process of actively implementing a response |
• | There is a clear and material economic disadvantage to the company in the near-term if the issue is not addressed in the manner requested by the shareholder proposal |
• | BlackRock clients who may be issuers of securities or proponents of shareholder resolutions |
• | BlackRock business partners or third parties who may be issuers of securities or proponents of shareholder resolutions |
• | BlackRock employees who may sit on the boards of public companies held in Funds managed by BlackRock |
• | Significant BlackRock, Inc. investors who may be issuers of securities held in Funds managed by BlackRock |
• | Securities of BlackRock, Inc. or BlackRock investment funds held in Funds managed by BlackRock |
• | BlackRock, Inc. board members who serve as senior executives of public companies held in Funds managed by BlackRock |
• | Adopted the Guidelines which are designed to protect and enhance the economic value of the companies in which BlackRock invests on behalf of clients. |
• | Established a reporting structure that separates BIS from employees with sales, vendor management or business partnership roles. In addition, BlackRock seeks to ensure that all engagements with corporate issuers, dissident shareholders or shareholder proponents are managed consistently and without regard to BlackRock’s relationship with such parties. Clients or business partners are not given special treatment or differentiated access to BIS. BIS prioritizes engagements based on factors including but not limited to our need for additional information to make a voting decision or our view on the likelihood that an engagement could lead to positive outcome(s) over time for the economic value of the company. Within the normal course of business, BIS may engage directly with BlackRock clients, business partners and/or third parties, and/or with employees with sales, vendor management or business partnership roles, in discussions regarding our approach to stewardship, general corporate governance matters, client reporting needs, and/or to otherwise ensure that proxy-related client service levels are met. |
• | Determined to engage, in certain instances, an independent fiduciary to vote proxies as a further safeguard to avoid potential conflicts of interest, to satisfy regulatory compliance requirements, or as may be otherwise required by applicable law. In such circumstances, the independent fiduciary provides BlackRock’s proxy voting agent with instructions, in accordance with the Guidelines, as to how to vote such proxies, and BlackRock’s proxy voting agent votes the proxy in accordance with the independent fiduciary’s determination. BlackRock uses an independent fiduciary to vote proxies of (i) any company that is affiliated with BlackRock, Inc., (ii) any public company that includes BlackRock employees on its board of directors, (iii) The PNC Financial Services Group, Inc., (iv) any public company of which a BlackRock, Inc. board member serves as a senior executive, and (v) companies when legal or regulatory requirements compel BlackRock to use an independent fiduciary. In selecting an independent fiduciary, we assess several characteristics, including but not limited to: independence, an ability to analyze proxy issues and vote in the best economic interest of our clients, reputation for reliability and integrity, and operational capacity to accurately deliver the assigned votes in a timely manner. We may engage more than one independent fiduciary, in part in order to mitigate potential or perceived conflicts of interest at an independent fiduciary. The Global Committee appoints and reviews the performance of the independent fiduciar(ies), generally on an annual basis. |
Contents | |
Introduction | A-16 |
Voting guidelines | A-16 |
Boards and directors | A-16 |
- Director elections | A-16 |
- Independence | A-16 |
- Oversight | A-17 |
- Responsiveness to shareholders | A-17 |
- Shareholder rights | A-17 |
- Board composition and effectiveness | A-18 |
- Board size | A-19 |
- CEO and management succession planning | A-19 |
- Classified board of directors / staggered terms | A-19 |
- Contested director elections | A-19 |
- Cumulative voting | A-19 |
- Director compensation and equity programs | A-19 |
- Majority vote requirements | A-19 |
- Risk oversight | A-20 |
- Separation of chairman and CEO | A-20 |
Auditors and audit-related issues | A-20 |
Capital structure proposals | A-21 |
- Equal voting rights | A-21 |
- Blank check preferred stock | A-21 |
- Increase in authorized common shares | A-21 |
- Increase or issuance of preferred stock | A-21 |
- Stock splits | A-22 |
Mergers, asset sales, and other special transactions | A-22 |
- Poison pill plans | A-22 |
- Reimbursement of expenses for successful shareholder campaigns | A-22 |
Executive Compensation | A-22 |
- Advisory resolutions on executive compensation (“Say on Pay”) | A-23 |
- Advisory votes on the frequency of Say on Pay resolutions | A-23 |
- Claw back proposals | A-23 |
- Employee stock purchase plans | A-23 |
- Equity compensation plans | A-23 |
- Golden parachutes | A-23 |
- Option exchanges | A-24 |
- Pay-for-Performance plans | A-24 |
- Supplemental executive retirement plans | A-24 |
Environmental and social issues | A-24 |
- Climate risk | A-25 |
- Corporate political activities | A-26 |
General corporate governance matters | A-26 |
- Adjourn meeting to solicit additional votes | A-26 |
- Bundled proposals | A-26 |
- Exclusive forum provisions | A-26 |
- Multi-jurisdictional companies | A-26 |
- Other business | A-27 |
- Reincorporation | A-27 |
- IPO governance | A-27 |
Contents | |
Shareholder Protections | A-27 |
- Amendment to charter / articles / bylaws | A-27 |
- Proxy access | A-28 |
- Right to act by written consent | A-28 |
- Right to call a special meeting | A-28 |
- Simple majority voting | A-28 |
• | Boards and directors |
• | Auditors and audit-related issues |
• | Capital structure |
• | Mergers, asset sales, and other special transactions |
• | Executive compensation |
• | Environmental and social issues |
• | General corporate governance matters |
• | Shareholder protections |
• | Employment as a senior executive by the company or a subsidiary within the past five years |
• | An equity ownership in the company in excess of 20% |
• | Having any other interest, business, or relationship which could, or could reasonably be perceived to, materially interfere with the director’s ability to act in the best interests of the company |
• | Where the board has failed to exercise oversight with regard to accounting practices or audit oversight, we will consider voting against the current audit committee, and any other members of the board who may be responsible. For example, this may apply to members of the audit committee during a period when the board failed to facilitate quality, independent auditing if substantial accounting irregularities suggest insufficient oversight by that committee |
• | Members of the compensation committee during a period in which executive compensation appears excessive relative to performance and peers, and where we believe the compensation committee has not already substantially addressed this issue |
• | The chair of the nominating / governance committee, or where no chair exists, the nominating / governance committee member with the longest tenure, where the board is not comprised of a majority of independent directors. However, this would not apply in the case of a controlled company |
• | Where it appears the director has acted (at the company or at other companies) in a manner that compromises his / her reliability to represent the best long-term economic interests of shareholders |
• | Where a director has a pattern of poor attendance at combined board and applicable key committee meetings. Excluding exigent circumstances, BlackRock generally considers attendance at less than 75% of the combined board and applicable key committee meetings by a board member to be poor attendance |
• | Where a director serves on an excess number of boards, which may limit his / her capacity to focus on each board’s requirements. The following illustrates the maximum number of boards on which a director may serve, before he / she is considered to be over-committed: |
Public Company CEO |
#
Outside Public Boards* |
Total
# of Public Boards | |||
Director A | x | 1 | 2 | ||
Director B | 3 | 4 |
* | In addition to the company under review |
• | The independent chair or lead independent director, members of the nominating / governance committee, and / or the longest tenured director(s), where we observe a lack of board responsiveness to shareholders, evidence of board entrenchment, and / or failure to promote adequate board succession planning |
• | The chair of the nominating / governance committee, or where no chair exists, the nominating / governance committee member with the longest tenure, where board member(s) at the most recent election of directors have received withhold votes from more than 30% of shares voted and the board has not taken appropriate action to respond to shareholder concerns. This may not apply in cases where BlackRock did not support the initial withhold vote |
• | The independent chair or lead independent director and / or members of the nominating / governance committee, where a board fails to implement shareholder proposals that receive a majority of votes cast at a prior shareholder meeting, and the proposals, in our view, have a direct and substantial impact on shareholders’ fundamental rights or long-term economic interests |
• | The independent chair or lead independent director and members of the governance committee, where a board implements or renews a poison pill without shareholder approval |
• | The independent chair or lead independent director and members of the governance committee, where a board amends the charter / articles / bylaws such that the effect may be to entrench directors or to significantly reduce shareholder rights |
• | Members of the compensation committee where the company has repriced options without shareholder approval |
• | If a board maintains a classified structure, it is possible that the director(s) with whom we have a particular concern may not be subject to election in the year that the concern arises. In such situations, if we have a concern regarding a committee or committee chair that is not up for re-election, we will generally register our concern by withholding votes from all available members of the relevant committee |
• | The mix of competencies, experience, and other qualities required to effectively oversee and guide management in light of the stated long-term strategy of the company |
• | The process by which candidates are identified and selected, including whether professional firms or other sources outside of incumbent directors’ networks have been engaged to identify and / or assess candidates |
• | The process by which boards evaluate themselves and any significant outcomes of the evaluation process, without divulging inappropriate and / or sensitive details |
• | The consideration given to board diversity, including, but not limited to, gender, ethnicity, race, age, experience, geographic location, skills, and perspective in the nomination process |
Combined Chair / CEO Model |
Separate Chair Model | ||||
Chair / CEO | Lead Director | Chair | |||
Board Meetings | Authority to call full meetings of the board of directors | Attends
full meetings of the board of directors Authority to call meetings of independent directors Briefs CEO on issues arising from executive sessions |
Authority to call full meetings of the board of directors | ||
Agenda | Primary responsibility for shaping board agendas, consulting with the lead director | Collaborates with chair / CEO to set board agenda and board information | Primary responsibility for shaping board agendas, in conjunction with CEO | ||
Board Communications | Communicates with all directors on key issues and concerns outside of full board meetings | Facilitates discussion among independent directors on key issues and concerns outside of full board meetings, including contributing to the oversight of CEO and management succession planning | Facilitates discussion among independent directors on key issues and concerns outside of full board meetings, including contributing to the oversight of CEO and management succession planning |
• | Appears to have a legitimate financing motive for requesting blank check authority |
• | Has committed publicly that blank check preferred shares will not be used for anti-takeover purposes |
• | Has a history of using blank check preferred stock for financings |
• | Has blank check preferred stock previously outstanding such that an increase would not necessarily provide further anti-takeover protection but may provide greater financing flexibility |
• | The degree to which the proposed transaction represents a premium to the company’s trading price. We consider the share price over multiple time periods prior to the date of the merger announcement. In most cases, business combinations should provide a premium. We may consider comparable transaction analyses provided by the parties’ financial advisors and our own valuation assessments. For companies facing insolvency or bankruptcy, a premium may not apply |
• | There should be clear strategic, operational, and / or financial rationale for the combination |
• | Unanimous board approval and arm’s-length negotiations are preferred. We will consider whether the transaction involves a dissenting board or does not appear to be the result of an arm’s-length bidding process. We may also consider whether executive and / or board members’ financial interests in a given transaction appear likely to affect their ability to place shareholders’ interests before their own |
• | We prefer transaction proposals that include the fairness opinion of a reputable financial advisor assessing the value of the transaction to shareholders in comparison to recent similar transactions |
• | Whether we believe that the triggering event is in the best interest of shareholders |
• | Whether management attempted to maximize shareholder value in the triggering event |
• | The percentage of total premium or transaction value that will be transferred to the management team, rather than shareholders, as a result of the golden parachute payment |
• | Whether excessively large excise tax gross-up payments are part of the pay-out |
• | Whether the pay package that serves as the basis for calculating the golden parachute payment was reasonable in light of performance and peers |
• | Whether the golden parachute payment will have the effect of rewarding a management team that has failed to effectively manage the company |
• | The company has experienced significant stock price decline as a result of macroeconomic trends, not individual company performance |
• | Directors and executive officers are excluded; the exchange is value neutral or value creative to shareholders; tax, accounting, and other technical considerations have been fully contemplated |
• | There is clear evidence that absent repricing, the company will suffer serious employee incentive or retention and recruiting problems |
• | Publish disclosures in line with industry specific SASB guidelines by year-end, if they have not already done so, or disclose a similar set of data in a way that is relevant to their particular business; and |
• | Disclose climate-related risks in line with the TCFD’s recommendations, if they have not already done so. This should include the company’s plan for operating under a scenario where the Paris Agreement’s goal of limiting global warming to less than two degrees is fully realized, as expressed by the TCFD guidelines. |
• | The company has already taken sufficient steps to address the concern |
• | The company is in the process of actively implementing a response |
• | There is a clear and material economic disadvantage to the company in the near-term if the issue is not addressed in the manner requested by the shareholder proposal |