Fund |
Exchange |
Ticker |
| ||
Harbor
Commodity All-Weather Strategy ETF |
NYSE |
HGER |
Harbor
Disruptive Innovation ETF |
NYSE Arca,
Inc. |
INNO |
Harbor
Dividend Growth Leaders ETF |
NYSE |
GDIV |
Harbor
Energy Transition Strategy ETF |
NYSE Arca,
Inc. |
RENW |
Harbor
Health Care ETF |
NYSE Arca,
Inc. |
MEDI |
Harbor
Human Capital Factor Unconstrained ETF (formerly, Harbor
Corporate
Culture Leaders ETF) |
NYSE Arca,
Inc. |
HAPY |
Harbor
Human Capital Factor US Large Cap ETF (formerly, Harbor
Corporate
Culture ETF) |
NYSE Arca,
Inc. |
HAPI |
Harbor
Human Capital Factor US Small Cap ETF (formerly, Harbor
Corporate
Culture Small Cap ETF) |
NYSE Arca,
Inc. |
HAPS |
Harbor
International Compounders ETF |
NYSE Arca,
Inc. |
OSEA |
Harbor
Long-Short Equity ETF |
NYSE Arca,
Inc. |
LSEQ |
Harbor
Long-Term Growers ETF |
NYSE |
WINN |
Harbor
Multi-Asset Explorer ETF |
NYSE Arca,
Inc. |
MAPP |
Harbor
Scientific Alpha High-Yield ETF |
NYSE Arca,
Inc. |
SIHY |
Harbor
Scientific Alpha Income ETF |
NYSE Arca,
Inc. |
SIFI |
| |
1 | |
6 | |
11 | |
15 | |
21 | |
25 | |
29 | |
33 | |
37 | |
42 | |
47 | |
51 | |
55 | |
60 | |
65 | |
65 | |
65 | |
71 | |
80 | |
81 | |
81 | |
81 | |
82 | |
83 | |
85 |
| |
88 | |
88 | |
95 | |
95 | |
96 | |
96 | |
96 | |
96 | |
96 | |
97 | |
97 | |
98 | |
99 | |
99 | |
101 | |
101 | |
109 |
|
Rate |
Management
Fees |
|
Distribution
and Service (12b-1) Fees |
|
Other
Expenses1 |
|
Total
Annual Fund Operating Expenses |
|
|
One
Year |
Three
Years |
Five
Years |
Ten
Years |
ETF |
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
|
One
Year |
Annualized |
Inception
Date | ||
Five
Years |
Ten
Years |
Since
Inception | |||
Harbor
Commodity All-Weather Strategy ETF | |||||
Before
Taxes |
|
|
|
|
|
After
Taxes on
Distributions |
- |
|
|
|
|
After
Taxes on
Distributions
and Sale
of
Fund Shares |
|
|
|
|
|
Comparative
Indices
(reflects
no deduction for fees, expenses or taxes) | |||||
Quantix
Commodity
Total
Return Index^ |
|
|
|
|
|
Bloomberg
Commodity
Index
Total ReturnSM^^ |
- |
|
|
- |
|
|
Matthew
Schwab
Quantix
Commodities LP |
|
Rate |
Management
Fees |
|
Distribution
and Service (12b-1) Fees |
|
Other
Expenses1 |
|
Total
Annual Fund Operating Expenses |
|
|
One
Year |
Three
Years |
Five
Years |
Ten
Years |
ETF |
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
|
One
Year |
Annualized |
Inception
Date | ||
Five
Years |
Ten
Years |
Since
Inception | |||
Harbor
Disruptive Innovation ETF | |||||
Before
Taxes |
|
|
|
- |
|
After
Taxes on
Distributions |
|
|
|
- |
|
After
Taxes on
Distributions
and Sale
of
Fund Shares |
|
|
|
- |
|
Comparative
Indices
(reflects
no deduction for fees, expenses or taxes) | |||||
S&P
500 Index^ |
|
|
|
|
|
Russell
3000®
Growth
Index |
|
|
|
|
|
|
Rate |
Management
Fees |
|
Distribution
and Service (12b-1) Fees |
|
Other
Expenses1 |
|
Total
Annual Fund Operating Expenses |
|
|
One
Year |
Three
Years |
Five
Years |
Ten
Years |
ETF |
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
|
One
Year |
Annualized |
Inception
Date | ||
Five
Years |
Ten
Years |
Since
Inception | |||
Harbor
Dividend Growth Leaders ETF | |||||
Before
Taxes |
|
|
|
|
|
After
Taxes on
Distributions |
|
|
|
|
|
After
Taxes on
Distributions
and
Sale
of Fund
Shares |
|
|
|
|
|
Comparative
Indices
(reflects
no deduction for fees, expenses or taxes) | |||||
NASDAQ
Dividend
Achievers
Select
Total
Return Index^ |
|
|
|
|
|
S&P
500 Index^^ |
|
|
|
|
|
|
William
A. Muggia
Westfield
Capital Management Company,
L.P. |
|
Rate |
Management
Fees |
|
Distribution
and Service (12b-1) Fees |
|
Other
Expenses1 |
|
Total
Annual Fund Operating Expenses |
|
|
One
Year |
Three
Years |
Five
Years |
Ten
Years |
ETF |
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
|
One
Year |
Annualized |
Inception
Date | ||
Five
Years |
Ten
Years |
Since
Inception | |||
Harbor
Energy Transition Strategy ETF | |||||
Before
Taxes |
- |
|
|
- |
|
After
Taxes on
Distributions |
- |
|
|
- |
|
After
Taxes on
Distributions
and Sale
of
Fund Shares |
- |
|
|
- |
|
Comparative
Indices
(reflects
no deduction for fees, expenses or taxes) | |||||
Quantix
Energy
Transition
Total
Return
Index^ |
- |
|
|
- |
|
Bloomberg
Commodity
Index
Total
ReturnSM^^ |
- |
|
|
- |
|
|
Matthew
Schwab
Quantix
Commodities LP |
|
Rate |
Management
Fees |
|
Distribution
and Service (12b-1) Fees |
|
Other
Expenses1 |
|
Total
Annual Fund Operating Expenses |
|
|
One
Year |
Three
Years |
Five
Years |
Ten
Years |
ETF |
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
|
One
Year |
Annualized |
Inception
Date | ||
Five
Years |
Ten
Years |
Since
Inception | |||
Harbor
Health Care ETF | |||||
Before
Taxes |
|
|
|
|
|
After
Taxes on
Distributions |
|
|
|
|
|
After
Taxes on
Distributions
and Sale
of
Fund Shares |
|
|
|
|
|
Comparative
Indices
(reflects
no deduction for fees, expenses or taxes) | |||||
Russell
3000®
Growth
Health
Care Index^ |
|
|
|
|
|
S&P
500 Index^^ |
|
|
|
|
|
|
William
A. Muggia
Westfield
Capital Management Company,
L.P. |
|
Matthew
R. Renna
Westfield
Capital Management Company,
L.P. |
|
Rate |
Management
Fees |
|
Distribution
and Service (12b-1) Fees |
|
Other
Expenses1 |
|
Total
Annual Fund Operating Expenses |
|
|
One
Year |
Three
Years |
Five
Years |
Ten
Years |
ETF |
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
|
One
Year |
Annualized |
Inception
Date | ||
Five
Years |
Ten
Years |
Since
Inception | |||
Harbor
Human Capital Factor Unconstrained ETF | |||||
Before
Taxes |
|
|
|
|
|
After
Taxes on
Distributions |
|
|
|
|
|
After
Taxes on
Distributions
and Sale
of
Fund Shares |
|
|
|
|
|
Comparative
Indices
(reflects
no deduction for fees, expenses or taxes) | |||||
Human
Capital Factor
Unconstrained
Index^ |
|
|
|
|
|
S&P
500 Index^^ |
|
|
|
|
|
|
Rate |
Management
Fees |
|
Distribution
and Service (12b-1) Fees |
|
Other
Expenses1 |
|
Total
Annual Fund Operating Expenses |
|
|
One
Year |
Three
Years |
Five
Years |
Ten
Years |
ETF |
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
|
One
Year |
Annualized |
Inception
Date | ||
Five
Years |
Ten
Years |
Since
Inception | |||
Harbor
Human Capital Factor US Large Cap ETF | |||||
Before
Taxes |
|
|
|
|
|
After
Taxes on
Distributions |
|
|
|
|
|
After
Taxes on
Distributions
and Sale
of
Fund Shares |
|
|
|
|
|
Comparative
Indices
(reflects
no deduction for fees, expenses or taxes) | |||||
CIBC
Human Capital
Index^ |
|
|
|
|
|
S&P
500 Index^^ |
|
|
|
|
|
|
Rate |
Management
Fees |
|
Distribution
and Service (12b-1) Fees |
|
Other
Expenses1 |
|
Total
Annual Fund Operating Expenses |
|
|
One
Year |
Three
Years |
Five
Years |
Ten
Years |
ETF |
$ |
$ |
$ |
$ |
|
Rate |
Management
Fees |
|
Distribution
and Service (12b-1) Fees |
|
Other
Expenses1 |
|
Total
Annual Fund Operating Expenses |
|
|
One
Year |
Three
Years |
Five
Years |
Ten
Years |
ETF |
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
|
One
Year |
Annualized |
Inception
Date | ||
Five
Years |
Ten
Years |
Since
Inception | |||
Harbor
International Compounders ETF | |||||
Before
Taxes |
|
|
|
|
|
After
Taxes on
Distributions |
|
|
|
|
|
After
Taxes on
Distributions
and Sale
of
Fund Shares |
|
|
|
|
|
Comparative
Index
(reflects
no deduction for fees, expenses or taxes) | |||||
MSCI
All Country
World
Ex. U.S. (ND) |
|
|
|
|
|
|
Bo
Almar Knudsen
C
WorldWide Asset Management
Fondsmaeglerselskab
A/S |
|
Bengt
Seger
C
WorldWide Asset Management
Fondsmaeglerselskab
A/S |
|
Peter
O’Reilly
C
WorldWide Asset Management
Fondsmaeglerselskab
A/S |
|
Mattias
Kolm
C
WorldWide Asset Management
Fondsmaeglerselskab
A/S |
|
Rate |
Management
Fees |
|
Distribution
and Service (12b-1) Fees |
|
Total
Other Expenses |
|
Other
Expenses1,2 |
|
Dividends
and Interest on Short Sales3 |
|
Total
Annual Fund Operating Expenses |
|
|
One
Year |
Three
Years |
Five
Years |
Ten
Years |
ETF |
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
|
One
Year |
Annualized |
Inception
Date | ||
Five
Years |
Ten
Years |
Since
Inception | |||
Harbor
Long-Short Equity ETF | |||||
Before
Taxes |
- |
|
|
|
|
After
Taxes on
Distributions |
|
|
|
|
|
After
Taxes on
Distributions
and
Sale
of Fund Shares |
|
|
|
|
|
Comparative
Indices
(reflects
no deduction for fees, expenses or taxes) | |||||
HFRX
Equity Hedge
Index^ |
|
|
|
|
|
S&P
500 Index^^ |
|
|
|
|
|
|
Kevin
Shea, CFA
Disciplined
Alpha LLC |
|
Rate |
Management
Fees |
|
Distribution
and Service (12b-1) Fees |
|
Other
Expenses1 |
|
Total
Annual Fund Operating Expenses |
|
|
One
Year |
Three
Years |
Five
Years |
Ten
Years |
ETF |
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
|
One
Year |
Annualized |
Inception
Date | ||
Five
Years |
Ten
Years |
Since
Inception | |||
Harbor
Long-Term Growers ETF | |||||
Before
Taxes |
|
|
|
|
|
After
Taxes on
Distributions |
|
|
|
|
|
After
Taxes on
Distributions
and Sale
of
Fund Shares |
|
|
|
|
|
Comparative
Indices
(reflects
no deduction for fees, expenses or taxes) | |||||
Russell
1000®
Growth
Index^ |
|
|
|
|
|
S&P
500 Index^^ |
|
|
|
|
|
|
Blair
A. Boyer
Jennison
Associates LLC |
|
Natasha
Kuhlkin, CFA
Jennison
Associates LLC |
|
Kathleen
A. McCarragher
Jennison
Associates LLC |
|
Jason
T. McManus
Jennison
Associates LLC |
|
Rate |
Management
Fees |
|
Distribution
and Service (12b-1) Fees |
|
Other
Expenses1,2 |
|
Acquired
Fund Fees and Expenses2 |
|
Total
Annual Fund Operating Expenses |
|
|
One
Year |
Three
Years |
ETF |
$ |
$ |
|
Rate |
Management
Fees |
|
Distribution
and Service (12b-1) Fees |
|
Other
Expenses1 |
|
Total
Annual Fund Operating Expenses |
|
|
One
Year |
Three
Years |
Five
Years |
Ten
Years |
|
$ |
$ |
$ |
$604 |
|
|
|
|
|
|
|
|
|
|
One
Year |
Annualized |
Inception
Date | ||
Five
Years |
Ten
Years |
Since
Inception | |||
Harbor
Scientific Alpha High-Yield ETF | |||||
Before
Taxes |
|
|
|
|
|
After
Taxes on
Distributions |
|
|
|
- |
|
After
Taxes on
Distributions
and Sale
of
Fund Shares |
|
|
|
|
|
Comparative
Indices
(reflects
no deduction for fees, expenses or taxes) | |||||
ICE
BofA U.S. High
Yield
(H0A0)^ |
|
|
|
|
|
Bloomberg
U.S.
Aggregate Bond
Index^^ |
|
|
|
- |
|
|
Benjamin
Brodsky, CFA
BlueCove
Limited |
|
Michael
Harper, CFA
BlueCove
Limited |
|
Benoy
Thomas, CFA
BlueCove
Limited |
|
Garth
Flannery, CFA
BlueCove
Limited |
|
Rate |
Management
Fees |
|
Distribution
and Service (12b-1) Fees |
|
Other
Expenses1 |
|
Total
Annual Fund Operating Expenses |
|
|
One
Year |
Three
Years |
Five
Years |
Ten
Years |
ETF |
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
|
One
Year |
Annualized |
Inception
Date | ||
Five
Years |
Ten
Years |
Since
Inception | |||
Harbor
Scientific Alpha Income ETF | |||||
Before
Taxes |
|
|
|
- |
|
After
Taxes on
Distributions |
|
|
|
- |
|
After
Taxes on
Distributions
and Sale of
Fund
Shares |
|
|
|
- |
|
Comparative
Index
(reflects
no deduction for fees, expenses or taxes) | |||||
Bloomberg
U.S.
Aggregate Bond
Index |
|
|
|
- |
|
|
Benjamin
Brodsky, CFA
BlueCove
Limited |
|
Michael
Harper, CFA
BlueCove
Limited |
|
Garth
Flannery, CFA
BlueCove
Limited |
|
Benoy
Thomas, CFA
BlueCove
Limited |
|
Actual
Advisory
Fee
Paid |
Contractual
Advisory
Fee |
Harbor
Commodity All-Weather Strategy ETF |
0.68
% |
0.68
% |
Harbor
Disruptive Innovation ETF |
0.75 |
0.75 |
Harbor
Dividend Growth Leaders ETF |
0.50 |
0.50 |
Harbor
Energy Transition Strategy ETF |
0.80 |
0.80 |
Harbor
Health Care ETF |
0.80 |
0.80 |
Harbor
Human Capital Factor Unconstrained ETF (formerly, Harbor Corporate
Culture
Leaders ETF) |
0.50 |
0.50 |
Harbor
Human Capital Factor US Large Cap ETF (formerly, Harbor Corporate
Culture
ETF) |
0.35 |
0.35 |
Harbor
Human Capital Factor US Small Cap ETF (formerly, Harbor Corporate
Culture
Small Cap ETF)1
|
0.60 |
0.60 |
Harbor
International Compounders ETF |
0.55 |
0.55 |
Harbor
Long-Short Equity ETF2 |
N/A |
1.20 |
Harbor
Long-Term Growers ETF |
0.57 |
0.57 |
Harbor
Multi-Asset Explorer ETF3 |
0.70 |
0.70 |
Harbor
Scientific Alpha High-Yield ETF |
0.48 |
0.48 |
Harbor
Scientific Alpha Income ETF |
0.50 |
0.50 |
PORTFOLIO
MANAGERS |
SINCE |
PROFESSIONAL
EXPERIENCE |
Spenser
P. Lerner, CFA |
2021 |
Mr.
Lerner joined Harbor Capital in 2020 and is the Head of
Multi-Asset
Solutions, a Managing Director and Portfolio
Manager.
Prior to joining Harbor Capital, Mr. Lerner was a
Vice
President of Equity and Quantitative Investment Research
and
Equity Manager Research for JP Morgan Asset Management.
Before
that, he worked as a Research, Portfolio Management
and
Quantitative Investment Strategy Associate for JP Morgan
Asset
Management. Mr. Lerner began his investment career in
2009. |
Kristof
Gleich, CFA |
2021 |
Mr.
Gleich joined Harbor Capital in 2018 and is President &
CIO.
Prior to joining Harbor Capital, Mr. Gleich was a Managing
Director
and Global Head of Manager Selection at JP Morgan
Chase
& Co. Before that, he served as a fund manager with
Architas.
Mr. Gleich began his investment career in
2004. |
PORTFOLIO
MANAGER |
SINCE |
PROFESSIONAL
EXPERIENCE |
Stephen
Cook |
2022 |
Mr.
Cook joined Harbor Capital in 2021 as Managing Director,
ETFs.
Prior to joining Harbor Capital, Mr. Cook was a Senior
Vice
President, Global Services Client Operations at State Street
Corporation.
Before State Street, Mr. Cook spent 20 years at
BNY
Mellon, most recently as Managing Director and COO
Global
Structured Funds. Mr. Cook began his investment career
in
1996. |
James
Erceg |
2022 |
Mr.
Erceg joined Harbor Capital in 2019 as Executive Vice
President
and Head of Product. Prior to joining Harbor Capital,
Mr.
Erceg held multiple product roles during his 12 years at
T.Rowe
Price & Associates, most recently as Head of Product
Strategy
and Channel Management for North America. Prior
to
T. Rowe Price, Mr. Erceg was a Director of Product at Ryder
Capital
Partners. Mr. Erceg began his investment career in
1995. |
PORTFOLIO
MANAGER |
SINCE |
PROFESSIONAL
EXPERIENCE |
Stephen
Cook |
2022 |
Mr.
Cook joined Harbor Capital in 2021 as Managing Director,
ETFs.
Prior to joining Harbor Capital, Mr. Cook was a Senior
Vice
President, Global Services Client Operations at State Street
Corporation.
Before State Street, Mr. Cook spent 20 years at
BNY
Mellon, most recently as Managing Director and COO
Global
Structured Funds. Mr. Cook began his investment career
in
1996. |
James
Erceg |
2022 |
Mr.
Erceg joined Harbor Capital in 2019 as Executive Vice
President
and Head of Product. Prior to joining Harbor Capital,
Mr.
Erceg held multiple product roles during his 12 years at
T.Rowe
Price & Associates, most recently as Head of Product
Strategy
and Channel Management for North America. Prior
to
T. Rowe Price, Mr. Erceg was a Director of Product at Ryder
Capital
Partners. Mr. Erceg began his investment career in
1995. |
PORTFOLIO
MANAGER |
SINCE |
PROFESSIONAL
EXPERIENCE |
Stephen
Cook |
2023 |
Mr.
Cook joined Harbor Capital in 2021 as Managing Director,
ETFs.
Prior to joining Harbor Capital, Mr. Cook was a Senior
Vice
President, Global Services Client Operations at State Street
Corporation.
Before State Street, Mr. Cook spent 20 years at
BNY
Mellon, most recently as Managing Director and COO
Global
Structured Funds. Mr. Cook began his investment career
in
1996. |
James
Erceg |
2023 |
Mr.
Erceg joined Harbor Capital in 2019 as Executive Vice
President
and Head of Product. Prior to joining Harbor Capital,
Mr.
Erceg held multiple product roles during his 12 years at
T.Rowe
Price & Associates, most recently as Head of Product
Strategy
and Channel Management for North America. Prior
to
T. Rowe Price, Mr. Erceg was a Director of Product at Ryder
Capital
Partners. Mr. Erceg began his investment career in
1995. |
PORTFOLIO
MANAGER |
SINCE |
PROFESSIONAL
EXPERIENCE |
Jason
M. Alonzo |
2023 |
Mr.
Alonzo joined Harbor Capital in 2023 as a Managing Director
and
Portfolio Manager. Prior to joining Harbor Capital,
Mr.
Alonzo was a Managing Director, Portfolio Manager at JP
Morgan
Asset Management. Mr. Alonzo began his investment
career
in 2000.
|
PORTFOLIO
MANAGER |
SINCE |
PROFESSIONAL
EXPERIENCE |
Spenser
P. Lerner, CFA |
2023 |
Mr.
Lerner joined Harbor Capital in 2020 and is the Head of
Multi-Asset
Solutions, a Managing Director and Portfolio
Manager.
Prior to joining Harbor Capital, Mr. Lerner was a
Vice
President of Equity and Quantitative Investment Research
and
Equity Manager Research for JP Morgan Asset Management.
Before
that, he worked as a Research, Portfolio Management
and
Quantitative Investment Strategy Associate for JP Morgan
Asset
Management. Mr. Lerner began his investment career in
2009. |
Justin
Menne |
2023 |
Mr.
Menne joined Harbor Capital in 2021 as a Portfolio Manager
on
the Multi-Asset Solutions Team. Prior to joining Harbor
Capital,
Mr. Menne was an Associate at JP Morgan Asset
Management.
Mr. Menne began his investment Career in 2017. |
Jonathan
Poynter |
2023 |
Dr.
Poynter joined Harbor Capital in 2022 as a Portfolio Manager.
Prior
to joining Harbor, Dr. Poynter conducted investment
research
of quantitative investment strategies at JP Morgan Asset
Management.
Before that, Dr. Poynter worked on the Quantitative
Market
Risk team at Morgan Stanley. Dr. Poynter has a PhD
from
the University of Bristol in the U.K. in Quantitative Analysis
of
Multivariate Chemical Data. Dr. Poynter began his investment
career
in 2012. |
Jake
Schurmeier |
2023 |
Mr.
Schurmeier joined Harbor Capital in 2021 as a Portfolio
Manager.
Prior to joining Harbor Capital, Mr. Schurmeier was
a
member of the Federal Reserve Bank of New York’s Markets
Group
and spent time at the U.S. Department of the Treasury.
Mr.
Schurmeier began his investment career in
2015. |
PORTFOLIO
MANAGER |
SINCE |
PROFESSIONAL
EXPERIENCE |
Matthew
Schwab |
2022 |
Mr.
Schwab joined Quantix in 2021 as Head of Investor Solutions.
Prior
to joining Quantix, Mr. Schwab was a Managing Director
and
co-head of Research, Portfolio Management and Portfolio
Construction
for the Alternative Investment Strategies group
within
Quantitative Investment Strategies at Goldman Sachs.
Prior
to that, he was Global Head of Systematic Trading in the
Securities
Division for Goldman Sachs. Mr. Schwab began his
investment
career in 1993. |
PORTFOLIO
MANAGER |
SINCE |
PROFESSIONAL
EXPERIENCE |
William
A. Muggia |
2022 |
Mr.
Muggia served as Portfolio Manager of the Predecessor Fund
from
2013-2022. Mr. Muggia joined Westfield in 1994 and is
the
Chief Executive Officer, President, and Chief Investment
Officer
leading the Investment Committee. Prior to joining
Westfield,
he worked in the Technology Investment Banking
Group
at Alex Brown & Sons, where his responsibilities included
mergers
and acquisitions, restructuring, and spin-offs. Before
that,
he was a Vice President at Kidder, Peabody & Company.
Mr.
Muggia began his investment career in
1983. |
PORTFOLIO
MANAGER |
SINCE |
PROFESSIONAL
EXPERIENCE |
Matthew
Schwab |
2022 |
Mr.
Schwab joined Quantix in 2021 as Head of Investor Solutions.
Prior
to joining Quantix, Mr. Schwab was a Managing Director
and
co-head of Research, Portfolio Management and Portfolio
Construction
for the Alternative Investment Strategies group
within
Quantitative Investment Strategies at Goldman Sachs.
Prior
to that, he was Global Head of Systematic Trading in the
Securities
Division for Goldman Sachs. Mr. Schwab began his
investment
career in 1993. |
PORTFOLIO
MANAGERS |
SINCE |
PROFESSIONAL
EXPERIENCE |
Bo
Almar Knudsen |
2022 |
Mr.
Knudsen serves as CEO of the Subadvisor and as Portfolio
Manager
for the Fund. He has worked with global equities
portfolio
management since 1989, including five years at Danske
Bank.
Mr. Knudsen was a member of AIMR (CFA)’s global IPC
committee
from 1998-2002 and served as the chair of the Danish
Society
of Financial Analysts and CFA Denmark from 2002-2008.
He
holds an MSc (Econ) in Finance from Aarhus School of
Business
supplemented with MBA courses from San Francisco
State
University. He has been employed by the Subadvisor since
1994
with the exception of a period between 1998-2001 where
he
worked as Head of Equities at Nordea Investment
Management. |
Bengt
Seger |
2022 |
Mr.
Seger serves as Portfolio Manager for the Fund. Mr. Seger
has
previously worked as an Analyst and Portfolio Manager
at
Sparbanken Skåne, and as a Senior Analyst in international
equites
at Carnegie Investment Bank. He holds a Master’s in
Law
and has studied Business Administration and Economics
at
the University of Lund. He has been employed by the
Subadvisor
since 1988. |
Peter
O’Reilly |
2022 |
Mr.
O’Reilly serves as Portfolio Manager for the Fund. He has
previously
worked as Head of Global Equities at Investors Group
where
he was responsible for managing the firm’s global equity
portfolios.
He has also held investment roles at Royal and Sun
Alliance
Asset London, Global Asset Management and AIB
Investment
Managers. He holds a BA and MA in Economics
from
University College Dublin and is a member of the UK Society
of
Investment Professionals (CFA). He has been employed by
the
Subadvisor since 2018. |
Mattias
Kolm |
2022 |
Mr.
Kolm serves as Portfolio Manager for the Fund. He has
previously
worked in Svedala Industri’s finance department where
he
primarily dealt with cash flow hedging, and at Skandinaviska
Enskilda
Banken as a Portfolio Manager. He holds an MSc BA
from
the University of Lund and has supplemented his degree
with
studies in finance at Stockholm School of Economics. He
has
been employed by the Subadvisor since
2003. |
PORTFOLIO
MANAGERS |
SINCE |
PROFESSIONAL
EXPERIENCE |
William
A. Muggia |
2022 |
Mr.
Muggia joined Westfield in 1994 and is the Chief Executive
Officer,
President, and Chief Investment Officer leading the
Investment
Committee. Prior to joining Westfield, he worked
in
the Technology Investment Banking Group at Alex Brown
&
Sons, where his responsibilities included mergers and
acquisitions,
restructuring, and spin-offs. Before that, he was
a
Vice President at Kidder, Peabody & Company. Mr. Muggia
began
his investment career in 1983. |
Matthew
R. Renna |
2022 |
Mr.
Renna joined Westfield in 2013 as a member of the Investment
Committee
covering the Health Care sector. Prior to joining
Westfield,
he was with Vinik Asset Management as a Health
Care
Portfolio Manager. His professional experience also includes
Director,
SMID Growth Equity team at BlackRock, Inc., Senior
Equity
Analyst at RA Capital Management and Director,
Healthcare/Biotechnology
at Soleil Securities Corporation,
Neponset
Equity Research. Matthew began his career in the
Health
Care industry at Merck & Co., before entering equity
research
as a Senior Research Associate covering Specialty
Pharmaceuticals
at Leerink Swann LLC. Mr. Renna began his
investment
career in 2004. |
PORTFOLIO
MANAGER |
SINCE |
PROFESSIONAL
EXPERIENCE |
Kevin
Shea, CFA |
2023 |
Mr.
Shea serves as CEO of the Subadvisor and as Portfolio
Manager
for the Fund. He has previously worked as a Director
of
Quantitative Research at Cadence Capital, and as a Portfolio
Manager
at Batterymarch. Prior to that, he was the CIO and
Founder
of DA Capital, and a Portfolio Manager at Invesco.
He
holds a BA in Liberal Studies from the University of Notre
Dame,
an ALM in Biology from Harvard University, and an
MBA
in Finance and International Studies from Boston College.
He
has been employed by the Subadvisor since it was founded
in
2013. |
PORTFOLIO
MANAGERS |
SINCE |
PROFESSIONAL
EXPERIENCE |
Blair
A. Boyer |
2022 |
Mr.
Boyer joined Jennison in 1993 and serves as Managing
Director,
Co-Head of Large Cap Growth Equity. Mr. Boyer
co-managed
international equity portfolios at Jennison for 10
years
before joining the Growth Equity team in 2003. Prior to
joining
Jennison, Mr. Boyer held various investment roles at
Bleichroeder.
Mr. Boyer began his investment career in 1983.
|
PORTFOLIO
MANAGERS |
SINCE |
PROFESSIONAL
EXPERIENCE |
Natasha
Kuhlkin, CFA |
2022 |
Ms.
Kuhlkin joined Jennison in 2004 and serves as Managing
Director
and a Large Cap Growth Equity Portfolio Manager
and
Research Analyst. Prior to joining Jennison, Ms. Kuhlkin
was
an Equity Research Analyst at Palisade Capital Management.
Prior
to that, she was an Analyst with Evergreen Investment
Management.
Ms. Kuhlkin began her investment career in 1998. |
Kathleen
A. McCarragher |
2022 |
Ms.
McCarragher joined Jennison in 1998 and serves as a
Managing
Director, the Head of Growth Equity, and a Large
Cap
Growth Equity Portfolio Manager. Prior to joining Jennison,
Ms.
McCarragher was a Managing Director and the Director
of
Large Cap Growth Equities at Weiss, Peck & Greer. Prior
to
that, she held various roles at State Street Research &
Management.
Ms. McCarragher began her investment career
in
1982. |
Jason
T. McManus |
2022 |
Mr.
McManus joined Jennison in 1997 and serves as a Managing
Director,
the Head of Custom Solutions, and a custom solutions
portfolio
manager. An employee since 1997, Mr. McManus started
as
an international research associate before joining the applied
research
team in 2003. In 2006, he began managing quantitative
portfolios
and custom solutions for clients. Mr. McManus began
his
investment career in 1997. |
PORTFOLIO
MANAGERS |
SINCE |
PROFESSIONAL
EXPERIENCE |
Benjamin
Brodsky, CFA |
2021 |
Mr.
Brodsky joined BlueCove in 2018 and is Chief Investment
Officer.
He was Co-Chief Investment Officer from 2018 until
2019.
Prior to joining BlueCove, Mr. Brodsky was Managing
Director
and Deputy Chief Investment Officer of Systematic
Fixed
Income at BlackRock. Mr. Brodsky previously held the
role
of Global Head of Fixed Income Asset Allocation for Barclays
Global
Investors before it merged with BlackRock in 2009.
Mr.
Brodsky started his career in 1999 at Salomon Brothers
Asset
Management. |
Michael
Harper, CFA |
2021 |
Mr.
Harper joined BlueCove in 2018 and is Head of Portfolio
Management.
Prior to joining BlueCove, Mr. Harper was
Managing
Director and Head of Core Portfolio Management
at
BlackRock (formerly Barclays Global Investors) from 2001
to
2018. While at BlackRock, Mr. Harper was responsible for
building
three new investment styles for EMEA and managed
the
development of Smart Beta, Factor, and new systematic
strategies. |
Benoy
Thomas, CFA |
2021 |
Mr.
Thomas joined BlueCove in 2018 and is Head of Credit.
Prior
to joining BlueCove, Mr. Thomas was a Managing Director
in
Systematic Fixed Income at BlackRock focusing on Credit
and
Capital structure investment strategies. During his 16 years
at
BlackRock and Barclays Global Investors, Mr. Thomas helped
formulate
investment insights and improve portfolio management
processes.
Previously, Mr. Thomas was Assistant Vice President
of
Global Markets at JP Morgan from 1999 to 2001.
|
PORTFOLIO
MANAGERS |
SINCE |
PROFESSIONAL
EXPERIENCE |
Garth
Flannery, CFA |
2021 |
Mr.
Flannery joined BlueCove in 2018 and is Head of Asset
Allocation.
Prior to joining BlueCove, Mr. Flannery was Director
of
Fixed Income Beta Research at BlackRock from 2016 to 2018.
Prior
to this, Mr. Flannery was a Portfolio Manager and
Researcher
in Systematic Fixed Income at BlackRock (formerly
Barclays
Global Investors) from 2003 to
2016. |
PORTFOLIO
MANAGERS |
SINCE |
PROFESSIONAL
EXPERIENCE |
Benjamin
Brodsky, CFA |
2021 |
Mr.
Brodsky joined BlueCove in 2018 and is Chief Investment
Officer.
He was Co-Chief Investment Officer from 2018 until
2019.
Prior to joining BlueCove, Mr. Brodsky was Managing
Director
and Deputy Chief Investment Officer of Systematic
Fixed
Income at BlackRock. Mr. Brodsky previously held the
role
of Global Head of Fixed Income Asset Allocation for Barclays
Global
Investors before it merged with BlackRock in 2009.
Mr.
Brodsky started his career in 1999 at Salomon Brothers
Asset
Management. |
Michael
Harper, CFA |
2021 |
Mr.
Harper joined BlueCove in 2018 and is Head of Portfolio
Management.
Prior to joining BlueCove, Mr. Harper was
Managing
Director and Head of Core Portfolio Management
at
BlackRock (formerly Barclays Global Investors) from 2001
to
2018. While at BlackRock, Mr. Harper was responsible for
building
three new investment styles for EMEA and managed
the
development of Smart Beta, Factor, and new systematic
strategies. |
Garth
Flannery, CFA |
2021 |
Mr.
Flannery joined BlueCove in 2018 and is Head of Asset
Allocation.
Prior to joining BlueCove, Mr. Flannery was Director
of
Fixed Income Beta Research at BlackRock from 2016 to 2018.
Prior
to this, Mr. Flannery was a Portfolio Manager and
Researcher
in Systematic Fixed Income at BlackRock (formerly
Barclays
Global Investors) from 2003 to 2016. |
Benoy
Thomas, CFA |
2021 |
Mr.
Thomas joined BlueCove in 2018 and is Head of Credit.
Prior
to joining BlueCove, Mr. Thomas was a Managing Director
in
Systematic Fixed Income at BlackRock focusing on Credit
and
Capital structure investment strategies. During his 16 years
at
BlackRock and Barclays Global Investors, Mr. Thomas helped
formulate
investment insights and improve portfolio management
processes.
Previously, Mr. Thomas was Assistant Vice President
of
Global Markets at JP Morgan from 1999 to
2001. |
|
Average
Annual Total Returns for the Periods Ended December 31,
2023: | |||
1
Year |
3
Years |
5
Years |
Since
Inception | |
C
WorldWide International Composite (net) |
20.79
% |
3.83
% |
12.24
% |
13.16
% |
C
WorldWide International Composite (gross) |
21.46
% |
4.40
% |
12.86
% |
13.79
% |
MSCI
All Country World Ex. U.S. (ND) Index** |
15.62
% |
1.55
% |
7.08
% |
6.08
% |
|
Calendar
Year Total Returns for the Periods Ended December
31: | |||||||||
|
2014 |
2015 |
2016 |
2017 |
2018 |
2019 |
2020 |
2021 |
2022 |
2023 |
C
WorldWide International Composite
(net) |
-0.80
% |
2.37
% |
-2.44
% |
32.84
% |
-16.76
% |
27.31
% |
25.04
% |
9.43
% |
-15.33
% |
20.79
% |
C
WorldWide International Composite
(gross) |
-0.25
% |
2.93
% |
-1.91
% |
33.57
% |
-16.30
% |
28.01
% |
25.73
% |
10.04
% |
-14.87
% |
21.46
% |
MSCI
All Country World Ex. U.S. (ND)
Index** |
-3.87
% |
-5.66
% |
4.50
% |
27.19
% |
-14.20
% |
21.51
% |
10.65
% |
7.82
% |
-16.01
% |
15.62
% |
|
1
Year |
Since
Inception |
Westfield
Composite (net) |
24.36
% |
9.76
% |
Westfield
Composite (gross) |
25.36 |
10.64 |
Russell
3000®
Growth Health Care Index** |
12.97 |
6.43 |
|
Calendar
Year Total
Returns
for the
Periods
Ended
December
31: | ||
|
2021 |
2022 |
2023 |
Westfield
Composite (net) |
10.28
% |
-13.18
% |
24.36
% |
Westfield
Composite (gross) |
11.16 |
-12.48 |
25.36 |
Russell
3000®
Growth Health Care Index |
13.81 |
-14.49 |
12.97 |
|
Year
Ended
October
31,
2023 |
Period
from
February
9, 2022a
through
October
31,
2022 |
Net
asset value beginning of period |
$20.92 |
$20.00 |
Income
from Investment Operations |
|
|
Net
investment income/(loss)b |
0.78 |
0.04 |
Net
realized and unrealized gain/(loss) on investments |
1.18 |
0.88 |
Total
from investment operations |
1.96 |
0.92 |
Less
Distributions |
|
|
Dividends
from net investment income |
(0.14) |
— |
Total
distributions |
(0.14) |
— |
Net
asset value end of period |
22.74 |
20.92 |
Net
assets end of period (000s) |
$105,728 |
$63,807 |
Ratios
and Supplemental Data (%) |
|
|
Total
return |
9.40% |
4.60%c |
Ratio
of total expenses to average net assets |
0.68 |
0.68d |
Ratio
of net investment income/(loss) to average net
assets |
3.53 |
0.27d |
|
Year
Ended
October
31,
2023 |
Period
from
December
1, 2021a
through
October
31,
2022 |
Net
asset value beginning of period |
$11.43 |
$20.00 |
Income
from Investment Operations |
|
|
Net
investment income/(loss)b,e |
(0.06) |
(0.02)e |
Net
realized and unrealized gain/(loss) on investments |
0.25 |
(8.55) |
Total
from investment operations |
0.19 |
(8.57) |
Net
asset value end of period |
11.62 |
11.43 |
Net
assets end of period (000s) |
$25,858 |
$7,146 |
Ratios
and Supplemental Data (%) |
|
|
Total
return |
1.66% |
(42.85)%+,c |
Ratio
of total expenses to average net assets |
0.75 |
0.75d |
Ratio
of net expenses to average net assets |
0.75 |
0.55d,e |
Ratio
of net investment income/(loss) to average net
assets |
(0.45) |
(0.18)d,e |
Portfolio
turnover^ |
77 |
71c |
|
Year
Ended October 31, | ||||
|
2023 |
2022(f) |
2021 |
2020 |
2019 |
Net
asset value beginning of period |
$12.34 |
$16.50 |
$13.13 |
$12.33 |
$11.69 |
Income
from Investment Operations |
|
|
|
|
|
Net
investment income/(loss)b |
0.24 |
0.25e |
0.19e |
0.17e |
0.19e |
Net
realized and unrealized gain/(loss) on investments |
0.25 |
(1.28) |
4.33 |
0.85 |
1.44 |
Total
from investment operations |
0.49 |
(1.03) |
4.52 |
1.02 |
1.63 |
Less
Distributions |
|
|
|
|
|
Dividends
from net investment income |
(0.38) |
(0.18) |
(0.16) |
(0.22) |
(0.14) |
Distributions
from net realized capital gains |
(0.47) |
(2.95) |
(0.99) |
— |
(0.85) |
Total
distributions |
(0.85) |
(3.13) |
(1.15) |
(0.22) |
(0.99) |
Net
asset value end of period |
11.98 |
12.34 |
16.50 |
13.13 |
12.33 |
Net
assets end of period (000s) |
$201,885 |
$141,675 |
$156,827 |
$121,448 |
$131,791 |
Ratios
and Supplemental Data (%) |
|
|
|
|
|
Total
return |
4.05% |
(8.48)%+ |
36.30%+ |
8.28%+ |
16.30%+ |
Ratio
of total expenses to average net assets |
0.50 |
0.83 |
1.05 |
1.09 |
1.13 |
Ratio
of net expenses to average net assets |
0.50 |
0.76e |
0.95e |
0.95e |
0.95e |
Ratio
of net investment income/(loss) to average net
assets |
1.93 |
1.86e |
1.25e |
1.39e |
1.71e |
Portfolio
turnover^ |
71 |
78 |
62 |
76 |
71 |
|
Year
Ended
October
31,
2023 |
Period
from
July
13, 2022a
through
October
31,
2022 |
Net
asset value beginning of period |
$18.98 |
$20.00 |
Income
from Investment Operations |
|
|
Net
investment income/(loss)b |
0.48 |
0.05 |
Net
realized and unrealized gain/(loss) on investments |
(4.90) |
(1.07) |
Total
from investment operations |
(4.42) |
(1.02) |
Less
Distributions |
|
|
Dividends
from net investment income |
(0.13) |
— |
Total
distributions |
(0.13) |
— |
Net
asset value end of period |
14.43 |
18.98 |
Net
assets end of period (000s) |
$24,537 |
$21,354 |
Ratios
and Supplemental Data (%) |
|
|
Total
return |
(23.46)% |
(5.10)%c |
Ratio
of total expenses to average net assets |
0.80 |
0.80d |
Ratio
of net investment income/(loss) to average net
assets |
2.98 |
0.74d |
|
Period
from
November
16, 2022a
through
October
31,
2023 |
Net
asset value beginning of period |
$19.86 |
Income
from Investment Operations |
|
Net
investment income/(loss)b |
(0.06) |
Net
realized and unrealized gain/(loss) on investments |
1.44 |
Total
from investment operations |
1.38 |
Net
asset value end of period |
21.24 |
Net
assets end of period (000s) |
$4,249 |
Ratios
and Supplemental Data (%) |
|
Total
return |
6.97%c |
Ratio
of total expenses to average net assets |
0.80d |
Ratio
of net investment income/(loss) to average net
assets |
(0.28)d |
Portfolio
turnover^ |
133c |
|
Year
Ended
October
31,
2023 |
Period
from
February
23, 2022a
through
October
31,
2022 |
Net
asset value beginning of period |
$16.02 |
$19.31 |
Income
from Investment Operations |
|
|
Net
investment income/(loss)b |
0.07 |
0.02 |
Net
realized and unrealized gain/(loss) on investments |
1.10 |
(3.31) |
Total
from investment operations |
1.17 |
(3.29) |
Less
Distributions |
|
|
Dividends
from net investment income |
(0.03) |
— |
Total
distributions |
(0.03) |
— |
Net
asset value end of period |
17.16 |
16.02 |
Net
assets end of period (000s) |
$9,867 |
$6,807 |
Ratios
and Supplemental Data (%) |
|
|
Total
return |
7.29% |
(17.04)%c |
Ratio
of total expenses to average net assets |
0.50 |
0.50d |
Ratio
of net investment income/(loss) to average net
assets |
0.42 |
0.16d |
Portfolio
turnover^ |
81 |
18c |
|
Year
Ended
October
31,
2023 |
Period
from
October
12, 2022a
through
October
31,
2022 |
Net
asset value beginning of period |
$21.78 |
$19.96 |
Income
from Investment Operations |
|
|
Net
investment income/(loss)b |
0.28 |
0.01 |
Net
realized and unrealized gain/(loss) on investments |
2.89 |
1.81 |
Total
from investment operations |
3.17 |
1.82 |
Less
Distributions |
|
|
Dividends
from net investment income |
(0.06) |
— |
Distributions
from net realized capital gains |
—* |
— |
Total
distributions |
(0.06) |
— |
Net
asset value end of period |
24.89 |
21.78 |
Net
assets end of period (000s) |
$247,646 |
$217,246 |
Ratios
and Supplemental Data (%) |
|
|
Total
return |
14.61% |
9.12%c |
Ratio
of total expenses to average net assets |
0.35 |
0.35d |
Ratio
of net investment income/(loss) to average net
assets |
1.17 |
0.98d |
Portfolio
turnover^ |
22 |
2c |
|
Period
from
April
12, 2023a
through
October
31,
2023 |
Net
asset value beginning of period |
$24.70 |
Income
from Investment Operations |
|
Net
investment income/(loss)b |
0.08 |
Net
realized and unrealized gain/(loss) on investments |
(2.17) |
Total
from investment operations |
(2.09) |
Net
asset value end of period |
22.61 |
Net
assets end of period (000s) |
$102,865 |
Ratios
and Supplemental Data (%) |
|
Total
return |
(8.46)%c |
Ratio
of total expenses to average net assets |
0.60d |
Ratio
of net investment income/(loss) to average net
assets |
0.60d |
Portfolio
turnover^ |
12c |
|
Year
Ended
October
31,
2023 |
Period
from
September
7, 2022a
through
October
31,
2022 |
Net
asset value beginning of period |
$19.46 |
$19.89 |
Income
from Investment Operations |
|
|
Net
investment income/(loss)b |
0.27 |
0.02 |
Net
realized and unrealized gain/(loss) on investments |
2.73 |
(0.45) |
Total
from investment operations |
3.00 |
(0.43) |
Less
Distributions |
|
|
Dividends
from net investment income |
(0.02) |
— |
Total
distributions |
(0.02) |
— |
Net
asset value end of period |
22.44 |
19.46 |
Net
assets end of period (000s) |
$20,753 |
$6,324 |
Ratios
and Supplemental Data (%) |
|
|
Total
return |
15.44% |
(2.16)%c |
Ratio
of total expenses to average net assets |
0.55 |
0.55d |
Ratio
of net investment income/(loss) to average net
assets |
1.12 |
0.57d |
Portfolio
turnover^ |
17 |
1c |
|
Year
Ended
October
31,
2023 |
Period
from
February
2, 2022a
through
October
31,
2022 |
Net
asset value beginning of period |
$14.45 |
$19.32 |
Income
from Investment Operations |
|
|
Net
investment income/(loss)b |
0.01 |
—* |
Net
realized and unrealized gain/(loss) on investments |
3.14 |
(4.87) |
Total
from investment operations |
3.15 |
(4.87) |
Less
Distributions |
|
|
Dividends
from net investment income |
(0.01) |
— |
Total
distributions |
(0.01) |
— |
Net
asset value end of period |
17.59 |
14.45 |
Net
assets end of period (000s) |
$184,291 |
$78,726 |
Ratios
and Supplemental Data (%) |
|
|
Total
return |
21.82% |
(25.22)%c |
Ratio
of total expenses to average net assets |
0.57 |
0.57d |
Ratio
of net investment income/(loss) to average net
assets |
0.05 |
0.03d |
Portfolio
turnover^ |
49 |
24c |
|
Period
from
September
13, 2023a
through
October
31,
2023 |
Net
asset value beginning of period |
$19.99 |
Income
from Investment Operations |
|
Net
investment income/(loss)b,g |
0.03 |
Net
realized and unrealized gain/(loss) on investments |
(0.97) |
Total
from investment operations |
(0.94) |
Net
asset value end of period |
19.05 |
Net
assets end of period (000s) |
$3,334 |
Ratios
and Supplemental Data (%) |
|
Total
return |
(4.70)%c |
Ratio
of total expenses to average net assetsg |
0.70d |
Ratio
of net investment income/(loss) to average net assetsg |
1.03d |
Portfolio
turnover^ |
125c |
|
Year
Ended
October
31,
2023 |
Year
Ended
October
31,
2022 |
Period
from
September
14, 2021a
through
October
31,
2021 |
Net
asset value beginning of period |
$42.50 |
$49.64 |
$50.00 |
Income
from Investment Operations |
|
|
|
Net
investment income/(loss)b |
3.35 |
2.34 |
1.70 |
Net
realized and unrealized gain/(loss) on investments |
(0.37) |
(6.94) |
(2.07) |
Total
from investment operations |
2.98 |
(4.60) |
(0.37) |
Less
Distributions |
|
|
|
Dividends
from net investment income |
(3.13) |
(2.53) |
— |
Distributions
from net realized capital gains |
— |
(0.01) |
— |
Total
distributions |
(3.13) |
(2.54) |
— |
Net
asset value end of period |
42.35 |
42.50 |
49.64 |
Net
assets end of period (000s) |
$107,938 |
$29,838 |
$34,844 |
Ratios
and Supplemental Data (%) |
|
|
|
Total
return |
7.08% |
(9.49)% |
(0.72)%c |
Ratio
of total expenses to average net assets |
0.48 |
0.48 |
0.48d |
Ratio
of net investment income/(loss) to average net
assets |
7.72 |
5.13 |
3.42d |
Portfolio
turnover^ |
55 |
114 |
1c |
|
Year
Ended
October
31,
2023 |
Year
Ended
October
31,
2022 |
Period
from
September
14, 2021a
through
October
31,
2021 |
Net
asset value beginning of period |
$41.88 |
$49.10 |
$50.00 |
Income
from Investment Operations |
|
|
|
Net
investment income/(loss)b |
2.55 |
1.42 |
1.00 |
Net
realized and unrealized gain/(loss) on investments |
(0.92) |
(7.24) |
(1.90) |
Total
from investment operations |
1.63 |
(5.82) |
(0.90) |
Less
Distributions |
|
|
|
Dividends
from net investment income |
(2.16) |
(1.40) |
— |
Total
distributions |
(2.16) |
(1.40) |
— |
Net
asset value end of period |
41.35 |
41.88 |
49.10 |
Net
assets end of period (000s) |
$31,013 |
$29,314 |
$34,367 |
Ratios
and Supplemental Data (%) |
|
|
|
Total
return |
3.88% |
(12.02)% |
(1.80)%c |
Ratio
of total expenses to average net assets |
0.50 |
0.50 |
0.50d |
Ratio
of net investment income/(loss) to average net
assets |
6.03 |
3.15 |
2.02d |
Portfolio
turnover^ |
63 |
124 |
—c |
^ |
Portfolio
turnover rate excludes investments received or delivered from in-kind
processing of creation unit purchases or
redemptions. |
* |
Less
than $0.01 |
+ |
The
total return would have been lower had management fee not been waived
during the period shown. |
(a) |
Commencement
of operations |
(b) |
Amounts
are based on average daily shares outstanding during the
period. |
(c) |
Unannualized |
(d) |
Annualized |
(e) |
Reflects
the Advisor’s waiver, if any, of its management
fee |
(f) |
On May
20, 2022, the Westfield Capital Dividend Growth Fund was reorganized and
converted from a mutual fund into Harbor Dividend Growth
Leaders
ETF. |
(g) |
The
per share net investment income/(loss) and the ratios of income and
expenses to average net assets represents the expenses paid by the Fund
but does not
include
the acquired fund fees and expenses from the underlying
funds. |
CUSIP
NUMBER |
TICKER
SYMBOL |
|
HARBOR
ETF TRUST | ||
Harbor
Commodity All-Weather Strategy ETF | ||
41151J505 |
HGER |
|
Harbor
Disruptive Innovation ETF | ||
41151J307 |
INNO |
|
Harbor
Dividend Growth Leaders ETF | ||
41151J703 |
GDIV |
|
Harbor
Energy Transition Strategy ETF | ||
41151J802 |
RENW |
|
Harbor
Health Care ETF | ||
41151J869 |
MEDI |
|
Harbor
Human Capital Factor Unconstrained ETF (formerly, Harbor Corporate Culture
Leaders ETF) | ||
41151J604 |
HAPY |
|
Harbor
Human Capital Factor US Large Cap ETF (formerly, Harbor Corporate Culture
ETF) | ||
41151J877 |
HAPI |
|
Harbor
Human Capital Factor US Small Cap ETF (formerly, Harbor Corporate Culture
Small Cap ETF) | ||
41151J851 |
HAPS |
|
Harbor
International Compounders ETF | ||
41151J885 |
OSEA |
|
Harbor Long-Short
Equity ETF | ||
41151J828 |
LSEQ |
|
Harbor Long-Term
Growers ETF | ||
41151J406 |
WINN |
|
Harbor
Multi-Asset Explorer ETF | ||
41151J836 |
MAPP |
|
Harbor
Scientific Alpha High-Yield ETF | ||
41151J109 |
SIHY |
|
Harbor
Scientific Alpha Income ETF | ||
41151J208 |
SIFI |
|
|
For
more information |
For
investors who would like more information about the Funds, the following
documents
are available upon request: |
|
harborcapital.com |
|
800-422-1050 |
|
Harbor
ETF Trust
P.O.
Box 804660
Chicago,
IL 60680-4108 |
|
sec.gov |
|
[email protected]
(for a fee) |
Charles
F. McCain
Chairman,
President & Trustee
Scott
M. Amero
Trustee
Donna
J. Dean
Trustee
Robert
Kasdin
Trustee
Kathryn
L. Quirk
Trustee
Douglas
J. Skinner
Trustee
Ann
M. Spruill
Trustee
Landis
Zimmerman
Trustee
Diana
R. Podgorny
Chief
Legal Officer and
Chief
Compliance Officer |
Richard
C. Sarhaddi
Deputy
Chief Compliance Officer
and
Vice President
John
M. Paral
Treasurer
Gregg
M. Boland
Vice
President and
AML
Compliance Officer
Kristof
M. Gleich
Vice
President
Diane
J. Johnson
Vice
President
Lora
A. Kmieciak
Vice
President
Meredyth
A. Whitford-Schultz
Secretary
Lana
M. Lewandowski
Assistant
Secretary
Meredith
S. Dykstra
Assistant
Secretary |