Fund | Ticker | Listing Exchange | ||
iShares Biotechnology ETF | IBB | Nasdaq | ||
iShares Core S&P 500 ETF | IVV | NYSE Arca | ||
iShares Core S&P Mid-Cap ETF | IJH | NYSE Arca | ||
iShares Core S&P Small-Cap ETF | IJR | NYSE Arca | ||
iShares Core S&P Total U.S. Stock Market ETF | ITOT | NYSE Arca | ||
iShares Core S&P U.S. Growth ETF | IUSG | Nasdaq | ||
iShares Core S&P U.S. Value ETF | IUSV | Nasdaq | ||
iShares ESG Screened S&P 500 ETF | XVV | Cboe BZX | ||
iShares ESG Screened S&P Mid-Cap ETF | XJH | Cboe BZX | ||
iShares ESG Screened S&P Small-Cap ETF | XJR | Cboe BZX | ||
iShares Europe ETF | IEV | NYSE Arca | ||
iShares Expanded Tech Sector ETF | IGM | NYSE Arca | ||
iShares Expanded Tech-Software Sector ETF | IGV | Cboe BZX | ||
iShares Factors US Growth Style ETF | STLG | Cboe BZX | ||
iShares Factors US Value Style ETF | STLV | Cboe BZX | ||
iShares Focused Value Factor ETF | FOVL | NYSE Arca | ||
iShares International Developed Small Cap Value Factor ETF | ISVL | Cboe BZX | ||
iShares JPX-Nikkei 400 ETF | JPXN | NYSE Arca | ||
iShares Micro-Cap ETF | IWC | NYSE Arca | ||
iShares Mortgage Real Estate ETF | REM | Cboe BZX | ||
iShares North American Natural Resources ETF | IGE | Cboe BZX | ||
iShares North American Tech-Multimedia Networking ETF | IGN | NYSE Arca | ||
iShares Preferred and Income Securities ETF | PFF | Nasdaq | ||
iShares Residential and Multisector Real Estate ETF | REZ | NYSE Arca | ||
iShares Russell 1000 ETF | IWB | NYSE Arca | ||
iShares Russell 1000 Growth ETF | IWF | NYSE Arca | ||
iShares Russell 1000 Value ETF | IWD | NYSE Arca | ||
iShares Russell 2000 ETF | IWM | NYSE Arca | ||
iShares Russell 2000 Growth ETF | IWO | NYSE Arca | ||
iShares Russell 2000 Value ETF | IWN | NYSE Arca | ||
iShares Russell 3000 ETF | IWV | NYSE Arca | ||
iShares Russell Mid-Cap ETF | IWR | NYSE Arca | ||
iShares Russell Mid-Cap Growth ETF | IWP | NYSE Arca | ||
iShares Russell Mid-Cap Value ETF | IWS | NYSE Arca | ||
iShares Russell Top 200 ETF | IWL | NYSE Arca | ||
iShares Russell Top 200 Growth ETF | IWY | NYSE Arca | ||
iShares Russell Top 200 Value ETF | IWX | NYSE Arca | ||
iShares S&P 100 ETF | OEF | NYSE Arca | ||
iShares S&P 500 Growth ETF | IVW | NYSE Arca | ||
iShares S&P 500 Value ETF | IVE | NYSE Arca | ||
iShares S&P Mid-Cap 400 Growth ETF | IJK | NYSE Arca | ||
iShares S&P Mid-Cap 400 Value ETF | IJJ | NYSE Arca |
Fund | Ticker | Listing Exchange | ||
iShares S&P Small-Cap 600 Growth ETF | IJT | Nasdaq | ||
iShares S&P Small-Cap 600 Value ETF | IJS | NYSE Arca | ||
iShares Semiconductor ETF | SOXX | Nasdaq | ||
iShares U.S. Aerospace & Defense ETF | ITA | Cboe BZX | ||
iShares U.S. Broker-Dealers & Securities Exchanges ETF | IAI | NYSE Arca | ||
iShares U.S. Healthcare Providers ETF | IHF | NYSE Arca | ||
iShares U.S. Home Construction ETF | ITB | Cboe BZX | ||
iShares U.S. Infrastructure ETF | IFRA | Cboe BZX | ||
iShares U.S. Insurance ETF | IAK | NYSE Arca | ||
iShares U.S. Medical Devices ETF | IHI | NYSE Arca | ||
iShares U.S. Oil & Gas Exploration & Production ETF | IEO | Cboe BZX | ||
iShares U.S. Oil Equipment & Services ETF | IEZ | NYSE Arca | ||
iShares U.S. Pharmaceuticals ETF | IHE | NYSE Arca | ||
iShares U.S. Real Estate ETF | IYR | NYSE Arca | ||
iShares U.S. Regional Banks ETF | IAT | NYSE Arca | ||
iShares U.S. Telecommunications ETF | IYZ | Cboe BZX | ||
iShares US Small Cap Value Factor ETF | SVAL | Cboe BZX |
Page | |
Appendix A1 - iShares ETFs Proxy Voting Policy | A-1 |
Appendix A2 – BlackRock Global Proxy Voting Policies | A-2 |
Appendix A3 – BlackRock U.S. Proxy Voting Policies | A-13 |
• | iShares Biotechnology ETF |
• | iShares Core S&P 500 ETF |
• | iShares Core S&P Mid-Cap ETF |
• | iShares Core S&P Small-Cap ETF |
• | iShares Core S&P Total U.S. Stock Market ETF |
• | iShares Core S&P U.S. Growth ETF |
• | iShares Core S&P U.S. Value ETF |
• | iShares ESG Screened S&P 500 ETF |
• | iShares ESG Screened S&P Mid-Cap ETF |
• | iShares ESG Screened S&P Small-Cap ETF |
• | iShares Europe ETF |
• | iShares Expanded Tech Sector ETF |
• | iShares Expanded Tech-Software Sector ETF |
• | iShares Factors US Growth Style ETF |
• | iShares Factors US Value Style ETF |
• | iShares Focused Value Factor ETF |
• | iShares International Developed Small Cap Value Factor ETF |
• | iShares JPX-Nikkei 400 ETF |
• | iShares Micro-Cap ETF |
• | iShares Mortgage Real Estate ETF |
• | iShares North American Natural Resources ETF |
• | iShares North American Tech-Multimedia Networking ETF |
• | iShares Preferred and Income Securities ETF |
• | iShares Residential and Multisector Real Estate ETF |
• | iShares Russell 1000 ETF |
• | iShares Russell 1000 Growth ETF |
• | iShares Russell 1000 Value ETF |
• | iShares Russell 2000 ETF |
• | iShares Russell 2000 Growth ETF |
• | iShares Russell 2000 Value ETF |
• | iShares Russell 3000 ETF |
• | iShares Russell Mid-Cap ETF |
• | iShares Russell Mid-Cap Growth ETF |
• | iShares Russell Mid-Cap Value ETF |
• | iShares Russell Top 200 ETF |
• | iShares Russell Top 200 Growth ETF |
• | iShares Russell Top 200 Value ETF |
• | iShares S&P 100 ETF |
• | iShares S&P 500 Growth ETF |
• | iShares S&P 500 Value ETF |
• | iShares S&P Mid-Cap 400 Growth ETF |
• | iShares S&P Mid-Cap 400 Value ETF |
• | iShares S&P Small-Cap 600 Growth ETF |
• | iShares S&P Small-Cap 600 Value ETF |
• | iShares Semiconductor ETF |
• | iShares U.S. Aerospace & Defense ETF |
• | iShares U.S. Broker-Dealers & Securities Exchanges ETF |
• | iShares U.S. Healthcare Providers ETF |
• | iShares U.S. Home Construction ETF |
• | iShares U.S. Infrastructure ETF |
• | iShares U.S. Insurance ETF |
• | iShares U.S. Medical Devices ETF |
• | iShares U.S. Oil & Gas Exploration & Production ETF |
• | iShares U.S. Oil Equipment & Services ETF |
• | iShares U.S. Pharmaceuticals ETF |
• | iShares U.S. Real Estate ETF |
• | iShares U.S. Regional Banks ETF |
• | iShares U.S. Telecommunications ETF |
• | iShares US Small Cap Value Factor ETF |
Diversified Funds | Non-Diversified Funds | |
iShares Core S&P 500 ETF | iShares Biotechnology ETF | |
iShares Core S&P Mid-Cap ETF | iShares ESG Screened S&P 500 ETF | |
iShares Core S&P Small-Cap ETF | iShares ESG Screened S&P Mid-Cap ETF | |
iShares Core S&P Total U.S. Stock Market ETF | iShares ESG Screened S&P Small-Cap ETF | |
iShares Core S&P U.S. Growth ETF* | iShares Expanded Tech Sector ETF | |
iShares Core S&P U.S. Value ETF | iShares Expanded Tech-Software Sector ETF | |
iShares Europe ETF | iShares Factors US Growth Style ETF | |
iShares Factors US Value Style ETF | iShares International Developed Small Cap Value Factor ETF | |
iShares Focused Value Factor ETF | iShares Mortgage Real Estate ETF | |
iShares JPX-Nikkei 400 ETF | iShares North American Tech-Multimedia Networking ETF | |
iShares Micro-Cap ETF | iShares Residential and Multisector Real Estate ETF | |
iShares North American Natural Resources ETF | iShares Semiconductor ETF |
Diversified Funds | Non-Diversified Funds | |
iShares Preferred and Income Securities ETF | iShares U.S. Aerospace & Defense ETF | |
iShares Russell 1000 ETF | iShares U.S. Broker-Dealers & Securities Exchanges ETF | |
iShares Russell 1000 Growth ETF* | iShares U.S. Healthcare Providers ETF | |
iShares Russell 1000 Value ETF | iShares U.S. Home Construction ETF | |
iShares Russell 2000 ETF | iShares U.S. Insurance ETF | |
iShares Russell 2000 Growth ETF | iShares U.S. Medical Devices ETF | |
iShares Russell 2000 Value ETF | iShares U.S. Oil & Gas Exploration & Production ETF | |
iShares Russell 3000 ETF | iShares U.S. Oil Equipment & Services ETF | |
iShares Russell Mid-Cap ETF | iShares U.S. Pharmaceuticals ETF | |
iShares Russell Mid-Cap Growth ETF | iShares U.S. Regional Banks ETF | |
iShares Russell Mid-Cap Value ETF | iShares U.S. Telecommunications ETF | |
iShares Russell Top 200 ETF | ||
iShares Russell Top 200 Growth ETF* | ||
iShares Russell Top 200 Value ETF | ||
iShares S&P 100 ETF* | ||
iShares S&P 500 Growth ETF* | ||
iShares S&P 500 Value ETF | ||
iShares S&P Mid-Cap 400 Growth ETF | ||
iShares S&P Mid-Cap 400 Value ETF | ||
iShares S&P Small-Cap 600 Growth ETF | ||
iShares S&P Small-Cap 600 Value ETF | ||
iShares U.S. Infrastructure ETF | ||
iShares U.S. Real Estate ETF | ||
iShares US Small Cap Value Factor ETF | ||
* | The iShares Core S&P U.S. Growth ETF, iShares Russell 1000 Growth ETF, iShares Russell Top 200 Growth ETF, iShares S&P 100 ETF and iShares S&P 500 Growth ETF intend to be diversified in approximately the same proportion as their Underlying Indexes are diversified. The iShares Core S&P U.S. Growth ETF, iShares Russell 1000 Growth ETF, iShares Russell Top 200 Growth ETF, iShares S&P 100 ETF and iShares S&P 500 Growth 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 their Underlying Indexes. Shareholder approval will not be sought if the iShares Core S&P U.S. Growth ETF, iShares Russell 1000 Growth ETF, iShares Russell Top 200 Growth ETF, iShares S&P 100 ETF or iShares S&P 500 Growth 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. |
• | 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. |
• | no single Underlying Index component may have a weight greater than 22.5% of the Index; and |
• | the sum of the weights of the Index components that are individually greater than 4.5% may not be greater than 45% of the Index. |
• | Underlying Index eligibility is limited to common stocks traded primarily on the New York Stock Exchange (“NYSE”), NYSE American and NASDAQ, excluding master limited partnerships (MLPs), royalty trusts, business development companies (BDCs), and American depository receipts (ADRs). |
• | Initial Public Offering (“IPO”) securities that have been trading for less than 3 months prior to the reconstitution day are excluded. |
• | The securities must have a minimum float-adjusted market capitalization of U.S. $300 million or greater, and three-month Average Daily Trading Value (“ADTV”) of U.S. $1 million or greater on selection day. |
• | The securities must be classified as having a focus (deriving 50% or more revenues) in one of the 95 infrastructure-related industries as defined by RBICS in either Category 1 or 2, where Category 1 companies are infrastructure enablers and Category 2 companies are infrastructure asset owners and operators. |
• | An eligible company must derive 50% or more of its annual revenues from the U.S. to be included in the Underlying Index. |
• | If a company has multiple share classes, only the most liquid issue based on the highest three-month ADTV on selection day will be included. |
• | stocks must trade at or above $1.00 on the last business day of August to be eligible for inclusion. If a stock in the index has a price lower than $1, it can remain in the index if the average price for the month is greater than $1; |
• | for ranking and membership determination, all common share classes for a single company are combined to determine total market capitalization; |
• | in cases where there are multiple common stock share classes and the share classes act independently of each other, each class is considered for inclusion separately; and |
• | also excluded are preferred and convertible preferred stock, participating preferred stock, redeemable shares, warrants and rights, trust receipts, royalty trusts, limited liability issuers, OTC bulletin boards and pink sheet stocks, mutual funds, limited partnerships, and foreign stocks. |
• | The Underlying Index’s Composite Score is less than 80% of the Target Index’s Composite Score. |
• | The Underlying Index has fewer than 40 securities. |
• | The Underlying Index includes a security with weight greater than 20% of the Underlying Index. |
• | The largest 5 securities by weight in the Underlying Index have a weight that is greater than 50% of the Underlying Index. |
• | If a company has issued multiple lines of equity capital, only one eligible line is included. The eligible line is the line with the highest 252 days ADDTV. A minimum of 200 days of daily observations are required to calculate ADDTV. If a line has missing ADDTV, the line is excluded. If all lines have no ADDTV, the line with the highest free float market cap is selected. |
• | Securities ranked within the top 10% highest risk or with missing data are excluded. Risk is defined as the 1 year trailing realized volatility of daily total returns. A minimum of 200 days of daily return observations are required to calculate volatility. |
• | Securities ranked within the top 10% highest leverage or with missing data are excluded. Leverage is defined as total debt to total assets sourced from third party data provider. |
• | Also excluded are preferred and convertible preferred stock, participating preferred stock, redeemable shares, warrants and rights, trust receipts, royalty trusts, limited liability issuers, OTC bulletin boards and pink sheet stocks, mutual funds, limited partnerships, and foreign stocks. |
• | ● If a company has issued multiple lines of equity capital, only one eligible line is included. The eligible line is the line with the highest 60 days ADDTV. A minimum of 30 days of daily observations are required to calculate ADDTV. If a line has missing ADDTV, the line is excluded. If all lines have no ADDTV, the line with the highest free float market cap is selected. |
• | ● Securities ranked within the least liquid 20% by count (i.e. approximately 400 securities) based on 60-day ADDTV are excluded. |
• | ● Securities ranked within the top 20% highest risk or with missing data are excluded. Risk is defined as the 1-year trailing realized volatility of daily total returns. A minimum of 200 days of daily return observations are required to calculate volatility. |
• | ● Securities ranked within the top 20% highest leverage or with missing data are excluded. Leverage is defined as total debt to total assets sourced from a third party data provider. |
• | ● Also excluded are preferred and convertible preferred stock, participating preferred stock, redeemable shares, warrants and rights, trust receipts, royalty trusts, limited liability issuers, OTC bulletin boards and pink sheet stocks, mutual funds, limited partnerships, and foreign stocks. |
• | ● The Underlying Index’s Composite Score is less than 90% of the Target Index’s Composite Score. |
• | ● The Underlying Index has fewer than 200 securities. |
• | Controversial weapons. All companies with direct involvement or via an ownership stake of greater than or equal to 25% of companies involved in the core weapon system, or components/services of the core weapon system. |
• | Small arms. All companies that manufacture and sell assault weapons or small arms (or key components of small arms) to civilians or military/law enforcement, or that is involved in the retail or distribution of assault weapons or small arms. |
• | Tobacco. All companies that manufacture tobacco products, derive 10% or more revenue from the supply of tobacco-related products/services, or that derive 10% or more of its revenue from the distribution or retail sale of tobacco products (or has an ownership stake of 25% or more in such a company). |
• | Oil sands and shale energy. All companies deriving 5% or more revenue from oil sands extraction or shale energy exploration or production. |
• | Thermal coal. All companies deriving 5% or more revenue from thermal coal extraction and thermal-coal-related power generation. |
• | Fossil fuel reserves. All companies with specific fossil fuel reserves, as measured by S&P Trucost Limited (Trucost). |
• | Global Standards. All companies considered “non-compliant” with United Nations (UN) Global Compact Principles, as determined by Sustainalytics. |
• | Controversial weapons. All companies with direct involvement or via an ownership stake of greater than or equal to 25% of companies involved in the core weapon system, or components/services of the core weapon system. |
• | Small arms. All companies that manufacture and sell assault weapons or small arms (or key components of small arms) to civilians or military/law enforcement, or that is involved in the retail or distribution of assault weapons or small arms. |
• | Tobacco. All companies that manufacture tobacco products, derive 10% or more revenue from the supply of tobacco-related products/services, or that derive 10% or more of its revenue from the distribution or retail sale of tobacco products (or has an ownership stake of 25% or more in such a company). |
• | Oil sands and shale energy. All companies deriving 5% or more revenue from oil sands extraction or shale energy exploration or production. |
• | Thermal coal. All companies deriving 5% or more revenue from thermal coal extraction and thermal-coal-related power generation. |
• | Fossil fuel reserves. All companies with specific fossil fuel reserves, as measured by S&P Trucost Limited (Trucost). |
• | Global Standards. All companies considered “non-compliant” with United Nations (UN) Global Compact Principles, as determined by Sustainalytics. |
• | Controversial weapons. All companies with direct involvement or via an ownership stake of greater than or equal to 25% of companies involved in the core weapon system, or components/services of the core weapon system. |
• | Small arms. All companies that manufacture and sell assault weapons or small arms (or key components of small arms) to civilians or military/law enforcement, or that is involved in the retail or distribution of assault weapons or small arms. |
• | Tobacco. All companies that manufacture tobacco products, derive 10% or more revenue from the supply of |
tobacco-related products/services, or that derive 10% or more of its revenue from the distribution or retail sale of tobacco products (or has an ownership stake of 25% or more in such a company). | |
• | Oil sands and shale energy. All companies deriving 5% or more revenue from oil sands extraction or shale energy exploration or production. |
• | Thermal coal. All companies deriving 5% or more revenue from thermal coal extraction and thermal-coal-related power generation. |
• | Fossil fuel reserves. All companies with specific fossil fuel reserves, as measured by S&P Trucost Limited (Trucost). |
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 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 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 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 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. |
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 each Fund may purchase and hold securities or other instruments that are secured by, or linked to, real estate or interests therein, securities of REITs, mortgage-related securities and securities of issuers engaged in the real estate business, and each 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 each 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 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) and Investment Committee (since 2011); Chair (1994-2005) and Member (since 1992) 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 iShares, Inc. (since 2005); Trustee of iShares U.S. ETF Trust (since 2011); Trustee of Thrivent Church Loan and Income Fund (since 2019). | |||
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). | |||
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 | ||
Armando
Senra (51) |
President (since 2019). | Managing Director, BlackRock, Inc. (since 2007); Head of U.S., Canada and Latin America iShares, BlackRock, Inc. (since 2019); Head of Latin America Region, BlackRock, Inc. (2006-2019); Managing Director, Bank of America Merrill Lynch (1994-2006). | ||
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). | Director, BlackRock, Inc. (since 2018); 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 | |||
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 |
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 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 | |||||
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 |
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 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 | |||||
iShares Expanded Tech Sector ETF | Over $100,000 | |||||
iShares Exponential Technologies ETF | Over $100,000 | |||||
iShares Global Financials ETF | $10,001-$50,000 |
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 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
Biotechnology ETF |
iShares
Core S&P 500 ETF |
iShares
Core S&P Mid-Cap ETF |
iShares
Core S&P Small-Cap ETF | ||||
Independent Trustees: | ||||||||
Jane D. Carlin | $1,631 | $59,109 | $12,404 | $13,568 | ||||
Richard L. Fagnani | 1,674 | 60,651 | 12,727 | 13,921 |
Name | iShares
Biotechnology ETF |
iShares
Core S&P 500 ETF |
iShares
Core S&P Mid-Cap ETF |
iShares
Core S&P Small-Cap ETF | ||||
Cecilia H. Herbert | 1,797 | 65,105 | 13,662 | 14,944 | ||||
John E. Kerrigan | 1,740 | 63,049 | 13,231 | 14,472 | ||||
Drew E. Lawton | 1,617 | 58,595 | 12,296 | 13,450 | ||||
John E. Martinez | 1,617 | 58,595 | 12,296 | 13,450 | ||||
Madhav V. Rajan | 1,617 | 58,595 | 12,296 | 13,450 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $0 | $0 | $0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name | iShares
Core S&P Total U.S. Stock Market ETF |
iShares
Core S&P U.S. Growth ETF |
iShares
Core S&P U.S. Value ETF |
iShares
ESG Screened S&P 500 ETF | ||||
Independent Trustees: | ||||||||
Jane D. Carlin | $8,124 | $2,437 | $2,298 | $43 | ||||
Richard L. Fagnani | 8,336 | 2,501 | 2,358 | 44 | ||||
Cecilia H. Herbert | 8,948 | 2,684 | 2,531 | 48 | ||||
John E. Kerrigan | 8,665 | 2,600 | 2,451 | 46 | ||||
Drew E. Lawton | 8,053 | 2,416 | 2,278 | 43 | ||||
John E. Martinez | 8,053 | 2,416 | 2,278 | 43 | ||||
Madhav V. Rajan | 8,053 | 2,416 | 2,278 | 43 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $0 | $0 | $0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name | iShares
ESG Screened S&P Mid-Cap ETF |
iShares
ESG Screened S&P Small-Cap ETF |
iShares Europe ETF |
iShares
Expanded Tech Sector ETF | ||||
Independent Trustees: | ||||||||
Jane D. Carlin | $15 | $5 | $245 | $849 | ||||
Richard L. Fagnani | 15 | 5 | 252 | 872 | ||||
Cecilia H. Herbert | 16 | 5 | 270 | 936 | ||||
John E. Kerrigan | 16 | 5 | 262 | 906 | ||||
Drew E. Lawton | 14 | 5 | 243 | 842 | ||||
John E. Martinez | 14 | 5 | 243 | 842 | ||||
Madhav V. Rajan | 14 | 5 | 243 | 842 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $0 | $0 | $0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name | iShares
Expanded Tech-Software Sector ETF |
iShares
Factors US Growth Style ETF |
iShares
Factors US Value Style ETF |
iShares
Focused Value Factor ETF | ||||
Independent Trustees: | ||||||||
Jane D. Carlin | $1,024 | $1 | $1 | $7 |
Name | iShares
Expanded Tech-Software Sector ETF |
iShares
Factors US Growth Style ETF |
iShares
Factors US Value Style ETF |
iShares
Focused Value Factor ETF | ||||
Richard L. Fagnani | 1,051 | 1 | 1 | 7 | ||||
Cecilia H. Herbert | 1,128 | 1 | 2 | 7 | ||||
John E. Kerrigan | 1,093 | 1 | 1 | 7 | ||||
Drew E. Lawton | 1,015 | 1 | 1 | 7 | ||||
John E. Martinez | 1,105 | 1 | 1 | 7 | ||||
Madhav V. Rajan | 1,015 | 1 | 1 | 7 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $0 | $0 | $0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name | iShares
International Developed Small Cap Value Factor ETF |
iShares JPX-Nikkei 400 ETF |
iShares Micro-Cap ETF |
iShares
Mortgage Real Estate ETF | ||||
Independent Trustees: | ||||||||
Jane D. Carlin | $31 | $14 | $208 | $183 | ||||
Richard L. Fagnani | 32 | 15 | 213 | 188 | ||||
Cecilia H. Herbert | 34 | 16 | 229 | 201 | ||||
John E. Kerrigan | 33 | 15 | 222 | 195 | ||||
Drew E. Lawton | 31 | 14 | 206 | 181 | ||||
John E. Martinez | 31 | 14 | 206 | 181 | ||||
Madhav V. Rajan | 31 | 14 | 206 | 181 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $0 | $0 | $0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name | iShares
North American Natural Resources ETF |
iShares
North American Tech-Multimedia Networking ETF |
iShares
Preferred and Income Securities ETF |
iShares
Residential and Multisector Real Estate ETF | ||||
Independent Trustees: | ||||||||
Jane D. Carlin | $178 | $31 | $3,352 | $244 | ||||
Richard L. Fagnani | 183 | 32 | 3,439 | 251 | ||||
Cecilia H. Herbert | 196 | 34 | 3,692 | 269 | ||||
John E. Kerrigan | 190 | 33 | 3,575 | 260 | ||||
Drew E. Lawton | 177 | 31 | 3,323 | 242 | ||||
John E. Martinez | 177 | 31 | 3,323 | 242 | ||||
Madhav V. Rajan | 177 | 31 | 3,323 | 242 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $0 | $0 | $0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name | iShares
Russell 1000 ETF |
iShares
Russell 1000 Growth ETF |
iShares
Russell 1000 Value ETF |
iShares
Russell 2000 ETF | ||||
Independent Trustees: | ||||||||
Jane D. Carlin | $5,766 | $13,521 | $10,978 | $11,663 | ||||
Richard L. Fagnani | 5,917 | 13,874 | 11,264 | 11,967 | ||||
Cecilia H. Herbert | 6,351 | 14,893 | 12,092 | 12,846 | ||||
John E. Kerrigan | 6,151 | 14,422 | 11,710 | 12,441 | ||||
Drew E. Lawton | 5,716 | 13,403 | 10,883 | 11,562 | ||||
John E. Martinez | 5,716 | 13,403 | 10,883 | 11,562 | ||||
Madhav V. Rajan | 5,716 | 13,403 | 10,883 | 11,562 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $0 | $0 | $0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name | iShares
Russell 2000 Growth ETF |
iShares
Russell 2000 Value ETF |
iShares
Russell 3000 ETF |
iShares
Russell Mid-Cap ETF | ||||
Independent Trustees: | ||||||||
Jane D. Carlin | $2,053 | $2,778 | $2,278 | $5,744 | ||||
Richard L. Fagnani | 2,107 | 2,851 | 2,337 | 5,894 | ||||
Cecilia H. Herbert | 2,261 | 3,060 | 2,509 | 6,327 | ||||
John E. Kerrigan | 2,190 | 2,964 | 2,430 | 6,127 | ||||
Drew E. Lawton | 2,035 | 2,754 | 2,258 | 5,694 | ||||
John E. Martinez | 2,035 | 2,754 | 2,258 | 5,694 | ||||
Madhav V. Rajan | 2,035 | 2,754 | 2,258 | 5,694 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $0 | $0 | $0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name | iShares
Russell Mid-Cap Growth ETF |
iShares
Russell Mid-Cap Value ETF |
iShares
Russell Top 200 ETF |
iShares
Russell Top 200 Growth ETF | ||||
Independent Trustees: | ||||||||
Jane D. Carlin | $2,611 | $2,822 | $198 | $914 | ||||
Richard L. Fagnani | 2,680 | 2,896 | 203 | 938 | ||||
Cecilia H. Herbert | 2,876 | 3,109 | 218 | 1,006 | ||||
John E. Kerrigan | 2,786 | 3,011 | 211 | 975 | ||||
Drew E. Lawton | 2,589 | 2,798 | 196 | 906 | ||||
John E. Martinez | 2,589 | 2,798 | 196 | 906 | ||||
Madhav V. Rajan | 2,589 | 2,798 | 196 | 906 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $0 | $0 | $0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name | iShares
Russell Top 200 Value ETF |
iShares
S&P 100 ETF |
iShares
S&P 500 Growth ETF |
iShares
S&P 500 Value ETF | ||||
Independent Trustees: | ||||||||
Jane D. Carlin | $243 | $1,664 | $6,965 | $4,907 | ||||
Richard L. Fagnani | 250 | 1,707 | 7,146 | 5,035 | ||||
Cecilia H. Herbert | 268 | 1,833 | 7,671 | 5,405 | ||||
John E. Kerrigan | 260 | 1,775 | 7,429 | 5,234 | ||||
Drew E. Lawton | 241 | 1,649 | 6,904 | 4,864 | ||||
John E. Martinez | 241 | 1,649 | 6,904 | 4,864 | ||||
Madhav V. Rajan | 241 | 1,649 | 6,904 | 4,864 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $0 | $0 | $0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name | iShares
S&P Mid-Cap 400 Growth ETF |
iShares
S&P Mid-Cap 400 Value ETF |
iShares
S&P Small-Cap 600 Growth ETF |
iShares
S&P Small-Cap 600 Value ETF | ||||
Independent Trustees: | ||||||||
Jane D. Carlin | $1,429 | $1,592 | $1,069 | $1,622 | ||||
Richard L. Fagnani | 1,467 | 1,634 | 1,097 | 1,665 | ||||
Cecilia H. Herbert | 1,574 | 1,754 | 1,177 | 1,787 | ||||
John E. Kerrigan | 1,525 | 1,699 | 1,140 | 1,731 | ||||
Drew E. Lawton | 1,417 | 1,579 | 1,060 | 1,608 | ||||
John E. Martinez | 1,417 | 1,579 | 1,060 | 1,608 | ||||
Madhav V. Rajan | 1,417 | 1,579 | 1,060 | 1,608 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $0 | $0 | $0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name | iShares
Semiconductor ETF |
iShares
U.S. Aerospace & Defense ETF |
iShares
U.S. Broker-Dealers & Securities Exchanges ETF |
iShares
U.S. Healthcare Providers ETF | ||||
Independent Trustees: | ||||||||
Jane D. Carlin | $1,688 | $695 | $109 | $252 | ||||
Richard L. Fagnani | 1,732 | 713 | 112 | 258 | ||||
Cecilia H. Herbert | 1,859 | 765 | 120 | 277 | ||||
John E. Kerrigan | 1,801 | 741 | 116 | 269 | ||||
Drew E. Lawton | 1,673 | 689 | 108 | 250 | ||||
John E. Martinez | 1,673 | 689 | 108 | 250 | ||||
Madhav V. Rajan | 1,673 | 689 | 108 | 250 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $0 | $0 | $0 | $0 |
Name | iShares
Semiconductor ETF |
iShares
U.S. Aerospace & Defense ETF |
iShares
U.S. Broker-Dealers & Securities Exchanges ETF |
iShares
U.S. Healthcare Providers ETF | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name | iShares U.S. Home Construction ETF |
iShares
U.S. Infrastructure ETF |
iShares
U.S. Insurance ETF |
iShares
U.S. Medical Devices ETF | ||||
Independent Trustees: | ||||||||
Jane D. Carlin | $332 | $170 | $35 | $1,531 | ||||
Richard L. Fagnani | 340 | 175 | 36 | 1,571 | ||||
Cecilia H. Herbert | 365 | 188 | 39 | 1,686 | ||||
John E. Kerrigan | 354 | 182 | 38 | 1,633 | ||||
Drew E. Lawton | 329 | 169 | 35 | 1,518 | ||||
John E. Martinez | 329 | 169 | 35 | 1,518 | ||||
Madhav V. Rajan | 329 | 169 | 35 | 1,518 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $0 | $0 | $0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name | iShares
U.S. Oil & Gas Exploration & Production ETF |
iShares
U.S. Oil Equipment & Services ETF |
iShares
U.S. Pharmaceuticals ETF |
iShares
U.S. Real Estate ETF | ||||
Independent Trustees: | ||||||||
Jane D. Carlin | $152 | $54 | $77 | $1,017 | ||||
Richard L. Fagnani | 156 | 55 | 79 | 1,043 | ||||
Cecilia H. Herbert | 167 | 59 | 85 | 1,120 | ||||
John E. Kerrigan | 162 | 57 | 82 | 1,084 | ||||
Drew E. Lawton | 150 | 53 | 77 | 1,008 | ||||
John E. Martinez | 150 | 53 | 77 | 1,008 | ||||
Madhav V. Rajan | 150 | 53 | 77 | 1,008 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $0 | $0 | $0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name | iShares
U.S. Regional Banks ETF |
iShares
U.S. Telecommunications ETF |
iShares
US Small Cap Value Factor | |||
Independent Trustees: | ||||||
Jane D. Carlin | $263 | $95 | $34 | |||
Richard L. Fagnani | 270 | 97 | 35 | |||
Cecilia H. Herbert | 289 | 104 | 37 | |||
John E. Kerrigan | 280 | 101 | 36 | |||
Drew E. Lawton | 260 | 94 | 34 | |||
John E. Martinez | 260 | 94 | 34 |
Name | iShares
U.S. Regional Banks ETF |
iShares
U.S. Telecommunications ETF |
iShares
US Small Cap Value Factor | |||
Madhav V. Rajan | 260 | 94 | 34 | |||
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 | |||
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 Biotechnology ETF | Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
18.39% | ||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
11.83% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
10.89% |
Fund | Name | Percentage of Ownership | ||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
8.41% | |||
iShares Core S&P 500 ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
16.84% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
9.54% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
7.52% | |||
JPMorgan
Chase Bank, National Association 1111 Polaris Parkway Columbus, OH 43240 |
5.20% | |||
iShares Core S&P Mid-Cap ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
14.70% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
11.50% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
7.71% | |||
iShares Core S&P Small-Cap ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
15.83% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
12.99% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
8.88% | |||
iShares Core S&P Total U.S. Stock Market ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
28.75% | ||
Wells
Fargo Clearing Services LLC 2801 Market Street St Louis, MO 63103 |
8.06% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
7.10% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
6.26% | |||
Fund | Name | Percentage of Ownership | ||
iShares Core S&P U.S. Growth ETF | Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
29.52% | ||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
14.41% | |||
LPL
Financial Corporation 9785 Towne Centre Drive San Diego, CA 92121-1968 |
12.41% | |||
Edward
D. Jones & Co. 12555 Manchester Road Saint Louis, MO 63131 |
8.60% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
7.46% | |||
iShares Core S&P U.S. Value ETF | Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
34.74% | ||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
16.92% | |||
LPL
Financial Corporation 9785 Towne Centre Drive San Diego, CA 92121-1968 |
8.42% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
7.47% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
7.16% | |||
iShares ESG Screened S&P 500 ETF | Goldman,
Sachs & Co. 30 Hudson Street 16th Floor Jersey City, NJ 07302 |
47.19% | ||
Citibank,
N.A. 3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
12.29% | |||
Northern
Trust Company (The) 801 South Canal Street Chicago, IL 60607 |
8.20% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
8.09% |
Fund | Name | Percentage of Ownership | ||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
5.98% | |||
iShares ESG Screened S&P Mid-Cap ETF | Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
27.59% | ||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
23.19% | |||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
11.61% | |||
Citibank,
N.A. 3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
8.48% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
5.30% | |||
iShares ESG Screened S&P Small-Cap ETF | Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
35.19% | ||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
13.15% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
11.15% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
8.65% | |||
Northern
Trust Company (The) 801 South Canal Street Chicago, IL 60607 |
6.85% | |||
The
Bank of New York Mellon 111 Sanders Creek Parkway 2nd Floor East Syracuse, NY 13057 |
5.67% | |||
iShares Europe ETF | JPMorgan
Chase Bank, National Association 1111 Polaris Parkway Columbus, OH 43240 |
37.35% | ||
Citibank,
N.A. 3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
9.29% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
6.76% |
Fund | Name | Percentage of Ownership | ||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
6.43% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
5.26% | |||
iShares Expanded Tech Sector ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
16.22% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
12.08% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
8.52% | |||
JPMorgan
Chase Bank, National Association 1111 Polaris Parkway Columbus, OH 43240 |
8.21% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
7.46% | |||
Raymond,
James & Associates, Inc. 880 Carillon Parkway P.O. Box 12749 St. Petersburg, FL 33733 |
6.52% | |||
Janney
Montgomery Scott LLC 1717 Arch Street 17th Floor Philadelphia, PA 19103 |
6.41% | |||
iShares Expanded Tech-Software Sector ETF | Citibank,
N.A. 3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
18.19% | ||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
10.96% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
10.02% | |||
iShares Factors US Growth Style ETF | State
Street Bank and Trust Company 1776 Heritage Drive North Quincy, MA 02171 |
50.00% | ||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
13.71% |
Fund | Name | Percentage of Ownership | ||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
9.76% | |||
ABN
AMRO Clearing Chicago LLC 175 West Jackson Boulevard Chicago, IL 60604 |
6.77% | |||
iShares Factors US Value Style ETF | TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
61.47% | ||
ABN
AMRO Clearing Chicago LLC 175 West Jackson Boulevard Chicago, IL 60604 |
10.96% | |||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
10.73% | |||
BofA
Securities, Inc. 1 Bryant Park New York, NY 10036 |
8.72% | |||
iShares Focused Value Factor ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
17.43% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
14.55% | |||
BofA
Securities, Inc. 1 Bryant Park New York, NY 10036 |
8.30% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
7.61% | |||
LPL
Financial Corporation 9785 Towne Centre Drive San Diego, CA 92121-1968 |
7.39% | |||
Scotia
Capital Inc. Scotia Plaza 40 King Street West 23rd Floor Toronto, ON M5W 2X6 CA |
6.91% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
6.50% | |||
RBC
Capital Markets, LLC 3 World Financial Center 200 Vesey Street New York, NY 10281-8098 |
5.57% |
Fund | Name | Percentage of Ownership | ||
ABN
AMRO Clearing Chicago LLC 175 West Jackson Boulevard Chicago, IL 60604 |
5.48% | |||
iShares International Developed Small Cap Value Factor ETF | The
Bank of New York Mellon 111 Sanders Creek Parkway 2nd Floor East Syracuse, NY 13057 |
93.39% | ||
iShares JPX-Nikkei 400 ETF | J.P.
Morgan Securities, LLC/JPMC 383 Madison Avenue New York, NY 10179 |
19.10% | ||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
14.71% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
8.54% | |||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
7.94% | |||
BlackRock
Institutional Trust Company, N.A. 400 Howard Street San Francisco, CA 94105 |
5.41% | |||
iShares Micro-Cap ETF | Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
27.82% | ||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
21.14% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
9.30% | |||
State
Street Bank and Trust Company 1776 Heritage Drive North Quincy, MA 02171 |
6.82% | |||
iShares Mortgage Real Estate ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
16.92% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
11.66% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
9.04% |
Fund | Name | Percentage of Ownership | ||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
8.51% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
6.89% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
6.41% | |||
Citibank,
N.A. 3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
5.57% | |||
iShares North American Natural Resources ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
14.10% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
11.74% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
10.89% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
8.59% | |||
Northern
Trust Company (The) 801 South Canal Street Chicago, IL 60607 |
8.16% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
5.87% | |||
iShares North American Tech-Multimedia Networking ETF | Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
21.43% | ||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
13.85% | |||
Wells
Fargo Clearing Services LLC 2801 Market Street St Louis, MO 63103 |
8.53% | |||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
6.82% |
Fund | Name | Percentage of Ownership | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
5.96% | |||
Goldman,
Sachs & Co. 30 Hudson Street 16th Floor Jersey City, NJ 07302 |
5.74% | |||
iShares Preferred and Income Securities ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
16.73% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
14.69% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
6.82% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
5.70% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
5.42% | |||
Wells
Fargo Clearing Services LLC 2801 Market Street St Louis, MO 63103 |
5.20% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
5.15% | |||
iShares Residential and Multisector Real Estate ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
15.52% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
14.60% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
8.61% | |||
J.P.
Morgan Securities, LLC/JPMC 383 Madison Avenue New York, NY 10179 |
8.01% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
6.25% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
6.02% |
Fund | Name | Percentage of Ownership | ||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
5.71% | |||
American
Enterprise Investment Services Inc. 719 Griswold St. Detroit, MI 48226 |
5.54% | |||
iShares Russell 1000 ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
20.82% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
14.33% | |||
Edward
D. Jones & Co. 12555 Manchester Road Saint Louis, MO 63131 |
6.66% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
6.28% | |||
iShares Russell 1000 Growth ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
15.11% | ||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
14.44% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
11.54% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
8.02% | |||
iShares Russell 1000 Value ETF | Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
15.09% | ||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
11.71% | |||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
11.57% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
5.57% |
Fund | Name | Percentage of Ownership | ||
iShares Russell 2000 ETF | Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
11.02% | ||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
10.31% | |||
Bank
of America, National Association GWIM TRUST OPERATIONS 411 N. Akard Street 5th Floor Dallas, TX 75201 |
6.35% | |||
Wells
Fargo Clearing Services LLC 2801 Market Street St Louis, MO 63103 |
5.69% | |||
iShares Russell 2000 Growth ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
11.58% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
10.42% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
8.76% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
6.14% | |||
The
Bank of New York Mellon 111 Sanders Creek Parkway 2nd Floor East Syracuse, NY 13057 |
5.71% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
5.57% | |||
iShares Russell 2000 Value ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
12.31% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
12.28% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
10.37% |
Fund | Name | Percentage of Ownership | ||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
6.41% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
5.80% | |||
iShares Russell 3000 ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
19.99% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
15.68% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
6.88% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
5.29% | |||
Northern
Trust Company (The) 801 South Canal Street Chicago, IL 60607 |
5.21% | |||
iShares Russell Mid-Cap ETF | Bank
of America, National Association GWIM TRUST OPERATIONS 411 N. Akard Street 5th Floor Dallas, TX 75201 |
13.70% | ||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
8.50% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
7.10% | |||
Wells
Fargo Clearing Services LLC 2801 Market Street St Louis, MO 63103 |
6.18% | |||
Edward
D. Jones & Co. 12555 Manchester Road Saint Louis, MO 63131 |
5.58% | |||
Wells
Fargo Clearing Services LLC 2801 Market Street St Louis, MO 63103 |
5.24% | |||
iShares Russell Mid-Cap Growth ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
12.43% |
Fund | Name | Percentage of Ownership | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
9.72% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
9.67% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
9.51% | |||
iShares Russell Mid-Cap Value ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
12.61% | ||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
11.87% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
10.05% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
7.46% | |||
Edward
D. Jones & Co. 12555 Manchester Road Saint Louis, MO 63131 |
7.10% | |||
iShares Russell Top 200 ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
18.18% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
17.65% | |||
Reliance
Trust Company, FIS TrustDesk MKE 11277 West Park Place, Suite 300 Milwaukee, WI 53224 |
15.09% | |||
American
Enterprise Investment Services Inc. 719 Griswold St. Detroit, MI 48226 |
9.81% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
7.29% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
6.23% | |||
iShares Russell Top 200 Growth ETF | Reliance
Trust Company, FIS TrustDesk MKE 11277 West Park Place, Suite 300 Milwaukee, WI 53224 |
17.31% |
Fund | Name | Percentage of Ownership | ||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
15.22% | |||
SEI
Private Trust Company/C/O GWP 1 Freedom Valley Drive Oaks, PA 19456 |
14.75% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
9.26% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
7.09% | |||
American
Enterprise Investment Services Inc. 719 Griswold St. Detroit, MI 48226 |
5.39% | |||
iShares Russell Top 200 Value ETF | SEI
Private Trust Company/C/O GWP 1 Freedom Valley Drive Oaks, PA 19456 |
31.90% | ||
Reliance
Trust Company, FIS TrustDesk MKE 11277 West Park Place, Suite 300 Milwaukee, WI 53224 |
24.61% | |||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
12.14% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
5.70% | |||
iShares S&P 100 ETF | Edward
D. Jones & Co. 12555 Manchester Road Saint Louis, MO 63131 |
13.74% | ||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
13.62% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
12.56% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
7.98% | |||
Bank
of America, National Association GWIM TRUST OPERATIONS 411 N. Akard Street 5th Floor Dallas, TX 75201 |
7.19% | |||
Fund | Name | Percentage of Ownership | ||
iShares S&P 500 Growth ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
18.62% | ||
JPMorgan
Chase Bank, National Association 1111 Polaris Parkway Columbus, OH 43240 |
11.43% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
9.74% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
8.94% | |||
Edward
D. Jones & Co. 12555 Manchester Road Saint Louis, MO 63131 |
6.32% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
5.13% | |||
iShares S&P 500 Value ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
18.00% | ||
JPMorgan
Chase Bank, National Association 1111 Polaris Parkway Columbus, OH 43240 |
12.55% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
9.46% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
8.07% | |||
Wells
Fargo Clearing Services LLC 2801 Market Street St Louis, MO 63103 |
5.84% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
5.38% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
5.08% | |||
iShares S&P Mid-Cap 400 Growth ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
17.34% | ||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
10.16% |
Fund | Name | Percentage of Ownership | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
9.13% | |||
Wells
Fargo Bank, National Association 733 Marquette Ave 4th Floor Minneapolis, MN 55402 |
6.77% | |||
Wells
Fargo Clearing Services LLC 2801 Market Street St Louis, MO 63103 |
6.30% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
5.42% | |||
iShares S&P Mid-Cap 400 Value ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
19.07% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
11.58% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
8.22% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
7.13% | |||
American
Enterprise Investment Services Inc. 719 Griswold St. Detroit, MI 48226 |
5.33% | |||
Wells
Fargo Clearing Services LLC 2801 Market Street St Louis, MO 63103 |
5.12% | |||
iShares S&P Small-Cap 600 Growth ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
21.23% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
12.05% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
10.44% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
5.01% | |||
iShares S&P Small-Cap 600 Value ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
23.31% |
Fund | Name | Percentage of Ownership | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
15.97% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
7.69% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
6.62% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
5.17% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
5.05% | |||
iShares Semiconductor ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
16.54% | ||
Citibank,
N.A. 3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
13.75% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
8.58% | |||
The
Bank of New York Mellon 111 Sanders Creek Parkway 2nd Floor East Syracuse, NY 13057 |
7.36% | |||
JPMorgan
Chase Bank, National Association 1111 Polaris Parkway Columbus, OH 43240 |
6.19% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
5.60% | |||
iShares U.S. Aerospace & Defense ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
11.35% | ||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
11.22% |
Fund | Name | Percentage of Ownership | ||
Citibank,
N.A. 3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
10.59% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
8.65% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
7.49% | |||
American
Enterprise Investment Services Inc. 719 Griswold St. Detroit, MI 48226 |
5.76% | |||
iShares U.S. Broker-Dealers & Securities Exchanges ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
20.81% | ||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
12.87% | |||
Wells
Fargo Clearing Services LLC 2801 Market Street St Louis, MO 63103 |
8.86% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
7.87% | |||
Raymond,
James & Associates, Inc. 880 Carillon Parkway P.O. Box 12749 St. Petersburg, FL 33733 |
6.99% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
5.66% | |||
iShares U.S. Healthcare Providers ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
19.64% | ||
Citibank,
N.A. 3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
17.38% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
10.49% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
6.20% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
6.19% | |||
Fund | Name | Percentage of Ownership | ||
iShares U.S. Home Construction ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
22.40% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
7.85% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
7.29% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
6.74% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
5.87% | |||
iShares U.S. Infrastructure ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
25.94% | ||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
9.80% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
9.70% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
7.34% | |||
Brown
Brothers Harriman & Co. 525 Washington Blvd. 11th Floor Jersey City, NJ 07310 |
5.38% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
5.28% | |||
iShares U.S. Insurance ETF | Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
23.52% | ||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
13.58% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
12.08% |
Fund | Name | Percentage of Ownership | ||
Wells
Fargo Clearing Services LLC 2801 Market Street St Louis, MO 63103 |
8.69% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
6.68% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
6.28% | |||
iShares U.S. Medical Devices ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
16.32% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
10.59% | |||
Citibank,
N.A. 3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
10.29% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
5.81% | |||
iShares U.S. Oil & Gas Exploration & Production ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
20.77% | ||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
10.71% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
9.71% | |||
Wells
Fargo Clearing Services LLC 2801 Market Street St Louis, MO 63103 |
7.56% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
6.55% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
6.12% | |||
Raymond,
James & Associates, Inc. 880 Carillon Parkway P.O. Box 12749 St. Petersburg, FL 33733 |
5.34% | |||
Fund | Name | Percentage of Ownership | ||
iShares U.S. Oil Equipment & Services ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
15.91% | ||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
15.88% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
8.56% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
8.21% | |||
Raymond,
James & Associates, Inc. 880 Carillon Parkway P.O. Box 12749 St. Petersburg, FL 33733 |
6.77% | |||
Wells
Fargo Clearing Services LLC 2801 Market Street St Louis, MO 63103 |
6.59% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
6.01% | |||
iShares U.S. Pharmaceuticals ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
16.37% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
12.79% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
7.30% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
6.90% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
6.58% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
6.36% | |||
Wells
Fargo Clearing Services LLC 2801 Market Street St Louis, MO 63103 |
5.90% | |||
Fund | Name | Percentage of Ownership | ||
iShares U.S. Real Estate ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
18.97% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
8.73% | |||
Interactive
Brokers Retail Equity Clearing 8 Greenwich Office Park Greenwich, CT 06831 |
6.87% | |||
Citibank,
N.A. 3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
6.66% | |||
JPMorgan
Chase Bank, National Association 1111 Polaris Parkway Columbus, OH 43240 |
5.54% | |||
iShares U.S. Regional Banks ETF | Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
44.72% | ||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
8.35% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
6.54% | |||
iShares U.S. Telecommunications ETF | Citibank,
N.A. 3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
28.48% | ||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
13.14% | |||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
7.29% | |||
Wells
Fargo Clearing Services LLC 2801 Market Street St Louis, MO 63103 |
6.02% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
5.45% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
5.25% |
Fund | Name | Percentage of Ownership | ||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
5.01% | |||
iShares US Small Cap Value Factor ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
29.19% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
15.39% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
10.86% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
7.69% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
6.57% | |||
National
Bank Financial Inc. 1155 Metcalfe Street Montreal, QC H3B 4S9 Canada |
5.32% |
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 Biotechnology ETF | 0.44% | 02/05/01 | $44,204,613 | $43,022,522 | $33,317,845 | |||||
iShares Core S&P 500 ETF1 | 0.03% | 05/15/00 | 90,917,588 | 69,436,582 | 74,924,021 | |||||
iShares Core S&P Mid-Cap ETF2 | 0.05% | 05/22/00 | 32,285,677 | 24,781,969 | 33,218,024 | |||||
iShares Core S&P Small-Cap ETF3 | 0.06% | 05/22/00 | 42,511,216 | 29,516,775 | 30,926,871 | |||||
iShares Core S&P Total U.S. Stock Market ETF | 0.03% | 01/20/04 | 12,700,660 | 8,566,779 | 6,752,170 | |||||
iShares Core S&P U.S. Growth ETF | 0.04% | 07/24/00 | 4,924,748 | 3,779,834 | 2,802,987 | |||||
iShares Core S&P U.S. Value ETF | 0.04% | 07/24/00 | 4,349,511 | 2,764,320 | 2,410,447 | |||||
iShares ESG Screened S&P 500 ETF | 0.08% | 09/22/20 | 153,634 | 4,340 | N/A | |||||
iShares ESG Screened S&P Mid-Cap ETF | 0.12% | 09/22/20 | 57,273 | 7,032 | N/A |
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 ESG Screened S&P Small-Cap ETF | 0.12% | 09/22/20 | 20,075 | 4,603 | N/A | |||||
iShares Europe ETF | 0.58% | 07/25/00 | 11,631,732 | 8,644,209 | 10,144,672 | |||||
iShares Expanded Tech Sector ETF | 0.40% | 03/13/01 | 14,682,392 | 11,758,120 | 7,891,981 | |||||
iShares Expanded Tech-Software Sector ETF | 0.40% | 07/10/01 | 21,906,998 | 21,759,846 | 12,995,214 | |||||
iShares Factors US Growth Style ETF | 0.25% | 01/14/20 | 14,080 | 12,194 | 2,452 | |||||
iShares Factors US Value Style ETF | 0.25% | 01/14/20 | 18,519 | 15,225 | 2,360 | |||||
iShares Focused Value Factor ETF | 0.25% | 03/19/19 | 95,718 | 60,220 | 75,293 | |||||
iShares International Developed Small Cap Value Factor ETF4 | 0.40% | 03/23/21 | 77,438 | 397 | N/A | |||||
iShares JPX-Nikkei 400 ETF | 0.48% | 10/23/01 | 413,342 | 431,089 | 504,105 | |||||
iShares Micro-Cap ETF | 0.60% | 08/12/05 | 7,587,317 | 5,201,740 | 4,949,924 | |||||
iShares Mortgage Real Estate ETF | 0.48% | 05/01/07 | 6,704,784 | 5,232,076 | 6,239,681 | |||||
iShares North American Natural Resources ETF | 0.40% | 10/22/01 | 2,023,331 | 1,561,611 | 2,539,091 | |||||
iShares North American Tech-Multimedia Networking ETF | 0.40% | 07/10/01 | 490,208 | 243,993 | 440,707 | |||||
iShares Preferred and Income Securities ETF | 0.45% | 03/26/07 | 87,859,472 | 78,580,680 | 74,532,199 | |||||
iShares Residential and Multisector Real Estate ETF | 0.48% | 05/01/07 | 4,603,175 | 1,826,559 | 2,433,983 | |||||
iShares Russell 1000 ETF | 0.15% | 05/15/00 | 45,278,998 | 35,516,656 | 31,099,669 | |||||
iShares Russell 1000 Growth ETF | 0.18% | 05/22/00 | 132,037,407 | 109,342,698 | 88,623,531 | |||||
iShares Russell 1000 Value ETF | 0.18% | 05/22/00 | 102,639,510 | 73,057,751 | 75,215,158 | |||||
iShares Russell 2000 ETF | 0.19% | 05/22/00 | 125,380,918 | 90,697,637 | 82,712,541 | |||||
iShares Russell 2000 Growth ETF | 0.23% | 07/24/00 | 27,421,280 | 23,925,121 | 21,923,827 | |||||
iShares Russell 2000 Value ETF | 0.23% | 07/24/00 | 37,417,586 | 23,543,815 | 21,691,959 | |||||
iShares Russell 3000 ETF | 0.20% | 05/22/00 | 24,003,897 | 19,785,315 | 19,171,357 | |||||
iShares Russell Mid-Cap ETF | 0.18% | 07/17/01 | 54,833,143 | 41,419,168 | 38,318,932 | |||||
iShares Russell Mid-Cap Growth ETF | 0.23% | 07/17/01 | 35,394,530 | 31,531,084 | 26,392,390 | |||||
iShares Russell Mid-Cap Value ETF | 0.23% | 07/17/01 | 33,380,326 | 24,870,342 | 26,350,943 | |||||
iShares Russell Top 200 ETF | 0.15% | 09/22/09 | 1,449,030 | 1,134,570 | 424,813 | |||||
iShares Russell Top 200 Growth ETF | 0.20% | 09/22/09 | 8,490,013 | 5,931,864 | 3,141,738 | |||||
iShares Russell Top 200 Value ETF | 0.20% | 09/22/09 | 2,401,346 | 1,497,672 | 932,744 | |||||
iShares S&P 100 ETF | 0.20% | 10/23/00 | 16,601,888 | 13,525,268 | 10,413,242 | |||||
iShares S&P 500 Growth ETF | 0.18% | 05/22/00 | 64,471,797 | 53,306,907 | 42,676,987 | |||||
iShares S&P 500 Value ETF | 0.18% | 05/22/00 | 41,714,684 | 30,589,520 | 28,889,406 | |||||
iShares S&P Mid-Cap 400 Growth ETF5 | 0.17% | 07/24/00 | 13,470,303 | 14,082,702 | 17,626,271 | |||||
iShares S&P Mid-Cap 400 Value ETF6 | 0.18% | 07/24/00 | 15,624,157 | 10,954,940 | 15,415,355 | |||||
iShares S&P Small-Cap 600 Growth ETF7 | 0.18% | 07/24/00 | 11,023,841 | 10,104,212 | 13,150,607 | |||||
iShares S&P Small-Cap 600 Value ETF8 | 0.18% | 07/24/00 | 16,180,935 | 11,995,641 | 15,214,258 | |||||
iShares Semiconductor ETF 9 | 0.40% | 07/10/01 | 31,481,764 | 17,190,459 | 8,388,652 | |||||
iShares U.S. Aerospace & Defense ETF | 0.39% | 05/01/06 | 10,931,883 | 11,919,557 | 21,997,510 | |||||
iShares U.S. Broker-Dealers & Securities Exchanges ETF | 0.39% | 05/01/06 | 3,261,343 | 647,588 | 993,296 | |||||
iShares U.S. Healthcare Providers ETF | 0.39% | 05/01/06 | 4,802,016 | 4,161,177 | 3,633,778 | |||||
iShares U.S. Home Construction ETF | 0.39% | 05/01/06 | 10,020,736 | 7,732,555 | 5,122,351 | |||||
iShares U.S. Infrastructure ETF 10 | 0.35% | 04/03/18 | 2,397,182 | 292,940 | 25,910 | |||||
iShares U.S. Insurance ETF | 0.39% | 05/01/06 | 415,047 | 271,933 | 427,882 | |||||
iShares U.S. Medical Devices ETF | 0.39% | 05/01/06 | 32,526,290 | 32,322,722 | 17,643,706 | |||||
iShares U.S. Oil & Gas Exploration & Production ETF | 0.39% | 05/01/06 | 1,523,527 | 778,748 | 924,540 |
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 U.S. Oil Equipment & Services ETF | 0.39% | 05/01/06 | 584,682 | 504,616 | 403,788 | |||||
iShares U.S. Pharmaceuticals ETF | 0.39% | 05/01/06 | 1,491,817 | 1,465,895 | 1,433,214 | |||||
iShares U.S. Real Estate ETF | 0.39% | 06/12/00 | 25,003,003 | 16,342,186 | 18,802,776 | |||||
iShares U.S. Regional Banks ETF | 0.39% | 05/01/06 | 4,575,432 | 1,180,280 | 1,770,835 | |||||
iShares U.S. Telecommunications ETF | 0.39% | 05/22/00 | 1,773,147 | 1,562,055 | 1,774,010 | |||||
iShares US Small Cap Value Factor ETF11 | 0.30% | 10/27/20 | 279,024 | 43,166 | N/A |
1 | Effective June 25, 2020, the management fee for the iShares Core S&P 500 ETF is 0.03%. Prior to June 25, 2020, the management fee for the iShares Core S&P 500 ETF was 0.04%. |
2 | Effective June 25, 2020, the management fee for the iShares Core S&P Mid-Cap ETF is 0.05%. From December 13, 2019 to June 24, 2020, the management fee for the iShares Core S&P Mid-Cap ETF was 0.06%. Prior to December 13, 2019, the management fee for the iShares Core S&P Mid-Cap ETF was 0.07%. |
3 | Effective June 25, 2020, the management fee for the iShares Core S&P Small-Cap ETF is 0.06%. Prior to June 25, 2020, the management fee for the iShares Core S&P Small-Cap ETF was 0.07%. |
4 | For the iShares International Developed Small Cap Value Factor ETF, BFA contractually agreed to waive a portion of its management fee such that the Fund's total annual fund operating expenses after the fee waiver will not exceed 0.30% through July 31, 2024. The contractual waiver may be terminated prior to July 31, 2024 only upon written agreement of the Trust and BFA. For the fiscal years ended March 31, 2021 and March 31, 2022, BFA waived $132 and $25,813, respectively, of management fees. |
5 | Effective October 19, 2020, the management fee for the iShares S&P Mid-Cap 400 Growth ETF is 0.17%. Prior to October 19, 2020, the management fee for the iShares S&P Mid-Cap 400 Growth ETF was 0.24%. |
6 | Effective October 19, 2020, the management fee for the iShares S&P Mid-Cap 400 Value ETF is 0.18%. Prior to October 19, 2020, the management fee for the iShares S&P Mid-Cap 400 Value ETF was 0.25%. |
7 | Effective October 19, 2020, the management fee for the iShares S&P Small-Cap 600 Growth ETF is 0.18%. Prior to October 19, 2020, the management fee for the iShares S&P Small-Cap 600 Growth ETF was 0.25%. |
8 | Effective October 19, 2020, the management fee for the iShares S&P Small-Cap 600 Value ETF is 0.18%. Prior to October 19, 2020, the management fee for the iShares S&P Small-Cap 600 Value ETF was 0.25%. |
9 | As of December 16, 2022, the management fee for the iShares Semiconductor ETF is 0.35%. For the fiscal year ended March 31, 2022, the management fee for the iShares Semiconductor ETF was 0.40%. |
10 | Effective October 20, 2021, the management fee for the iShares U.S. Infrastructure ETF is 0.30%. Prior to October 20, 2021, the management fee for the iShares U.S. Infrastructure ETF was 0.40%. |
11 | For the iShares US Small Cap Value Factor ETF, BFA contractually agreed to waive a portion of its management fee such that the Fund's total annual fund operating expenses after the fee waiver will not exceed 0.20% from November 9, 2020 through July 31, 2024. The contractual waiver may be terminated prior to July 31, 2024 only upon written agreement of the Trust and BFA. For the fiscal years ended March 31, 2021 and March 31, 2022, BFA waived $21,391 and $144,074, respectively, of management fees. |
Jennifer Hsui | ||||
Types of Accounts | Number | Total Assets | ||
Registered Investment Companies | 263 | $945,437,000,000 | ||
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 | 212 | $836,732,000,000 | ||
Other Pooled Investment Vehicles | 37 | 10,465,000,000 | ||
Other Accounts | 63 | 4,472,000,000 |
Paul Whitehead | ||||
Types of Accounts | Number | Total Assets | ||
Registered Investment Companies | 242 | $846,330,000,000 | ||
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 |
Jennifer Hsui | ||||
Types of Accounts | Number
of Other Accounts with Performance Fees Managed by Portfolio Manager |
Aggregate of Total Assets | ||
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 | ||
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 Biotechnology ETF | X | ||||||||||||||
iShares Core S&P 500 ETF | X | ||||||||||||||
iShares Core S&P Mid-Cap ETF | X | ||||||||||||||
iShares Core S&P Small-Cap 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 Core S&P Total U.S. Stock Market ETF | X | ||||||||||||||
iShares Core S&P U.S. Growth ETF | X | ||||||||||||||
iShares Core S&P U.S. Value ETF | X | ||||||||||||||
iShares ESG Screened S&P 500 ETF | X | ||||||||||||||
iShares ESG Screened S&P Mid-Cap ETF | X | ||||||||||||||
iShares ESG Screened S&P Small-Cap ETF | X | ||||||||||||||
iShares Europe ETF | X | ||||||||||||||
iShares Expanded Tech Sector ETF | X | ||||||||||||||
iShares Expanded Tech-Software Sector ETF | X | ||||||||||||||
iShares Factors US Growth Style ETF | X | ||||||||||||||
iShares Factors US Value Style ETF | X | ||||||||||||||
iShares Focused Value Factor ETF | X | ||||||||||||||
iShares International Developed Small Cap Value Factor ETF | X | ||||||||||||||
iShares JPX-Nikkei 400 ETF | X | ||||||||||||||
iShares Micro-Cap ETF | X | ||||||||||||||
iShares Mortgage Real Estate ETF | X | ||||||||||||||
iShares North American Natural Resources ETF | X | ||||||||||||||
iShares North American Tech-Multimedia Networking ETF | X | ||||||||||||||
iShares Preferred and Income Securities ETF | X | ||||||||||||||
iShares Residential and Multisector Real Estate ETF | X | ||||||||||||||
iShares Russell 1000 ETF | X | ||||||||||||||
iShares Russell 1000 Growth ETF | X | ||||||||||||||
iShares Russell 1000 Value ETF | X | ||||||||||||||
iShares Russell 2000 ETF | X | ||||||||||||||
iShares Russell 2000 Growth ETF | X | ||||||||||||||
iShares Russell 2000 Value ETF | X | ||||||||||||||
iShares Russell 3000 ETF | X | ||||||||||||||
iShares Russell Mid-Cap ETF | X | ||||||||||||||
iShares Russell Mid-Cap Growth ETF | X | ||||||||||||||
iShares Russell Mid-Cap Value ETF | X | ||||||||||||||
iShares Russell Top 200 ETF | X | ||||||||||||||
iShares Russell Top 200 Growth ETF | X | ||||||||||||||
iShares Russell Top 200 Value ETF | X | ||||||||||||||
iShares S&P 100 ETF | X | ||||||||||||||
iShares S&P 500 Growth ETF | X | ||||||||||||||
iShares S&P 500 Value ETF | X | ||||||||||||||
iShares S&P Mid-Cap 400 Growth ETF | X | ||||||||||||||
iShares S&P Mid-Cap 400 Value ETF | X | ||||||||||||||
iShares S&P Small-Cap 600 Growth ETF | X | ||||||||||||||
iShares S&P Small-Cap 600 Value ETF | X | ||||||||||||||
iShares Semiconductor ETF | X | ||||||||||||||
iShares U.S. Aerospace & Defense 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 U.S. Broker-Dealers & Securities Exchanges ETF | X | ||||||||||||||
iShares U.S. Healthcare Providers ETF | X | ||||||||||||||
iShares U.S. Home Construction ETF | X | ||||||||||||||
iShares U.S. Infrastructure ETF | X | ||||||||||||||
iShares U.S. Insurance ETF | X | ||||||||||||||
iShares U.S. Medical Devices ETF | X | ||||||||||||||
iShares U.S. Oil & Gas Exploration & Production ETF | X | ||||||||||||||
iShares U.S. Oil Equipment & Services ETF | X | ||||||||||||||
iShares U.S. Pharmaceuticals ETF | X | ||||||||||||||
iShares U.S. Real Estate ETF | X | ||||||||||||||
iShares U.S. Regional Banks ETF | X | ||||||||||||||
iShares U.S. Telecommunications ETF | X | ||||||||||||||
iShares US Small Cap Value Factor 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 Biotechnology ETF | X | ||||||||||||||
iShares Core S&P 500 ETF | X | ||||||||||||||
iShares Core S&P Mid-Cap ETF | X | ||||||||||||||
iShares Core S&P Small-Cap ETF | X | ||||||||||||||
iShares Core S&P Total U.S. Stock Market ETF | X | ||||||||||||||
iShares Core S&P U.S. Growth ETF | X | ||||||||||||||
iShares Core S&P U.S. Value ETF | X | ||||||||||||||
iShares ESG Screened S&P 500 ETF | X | ||||||||||||||
iShares ESG Screened S&P Mid-Cap ETF | X | ||||||||||||||
iShares ESG Screened S&P Small-Cap ETF | X | ||||||||||||||
iShares Europe ETF | X | ||||||||||||||
iShares Expanded Tech Sector ETF | X | ||||||||||||||
iShares Expanded Tech-Software Sector ETF | X | ||||||||||||||
iShares Factors US Growth Style ETF | X | ||||||||||||||
iShares Factors US Value Style ETF | X | ||||||||||||||
iShares Focused Value Factor ETF | X | ||||||||||||||
iShares International Developed Small Cap Value Factor ETF | X | ||||||||||||||
iShares JPX-Nikkei 400 ETF | X | ||||||||||||||
iShares Micro-Cap ETF | X | ||||||||||||||
iShares Mortgage Real Estate ETF | X | ||||||||||||||
iShares North American Natural Resources ETF | X | ||||||||||||||
iShares North American Tech-Multimedia Networking ETF | X | ||||||||||||||
iShares Preferred and Income Securities 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 Residential and Multisector Real Estate ETF | X | ||||||||||||||
iShares Russell 1000 ETF | X | ||||||||||||||
iShares Russell 1000 Growth ETF | X | ||||||||||||||
iShares Russell 1000 Value ETF | X | ||||||||||||||
iShares Russell 2000 ETF | X | ||||||||||||||
iShares Russell 2000 Growth ETF | X | ||||||||||||||
iShares Russell 2000 Value ETF | X | ||||||||||||||
iShares Russell 3000 ETF | X | ||||||||||||||
iShares Russell Mid-Cap ETF | X | ||||||||||||||
iShares Russell Mid-Cap Growth ETF | X | ||||||||||||||
iShares Russell Mid-Cap Value ETF | X | ||||||||||||||
iShares Russell Top 200 ETF | X | ||||||||||||||
iShares Russell Top 200 Growth ETF | X | ||||||||||||||
iShares Russell Top 200 Value ETF | X | ||||||||||||||
iShares S&P 100 ETF | X | ||||||||||||||
iShares S&P 500 Growth ETF | X | ||||||||||||||
iShares S&P 500 Value ETF | X | ||||||||||||||
iShares S&P Mid-Cap 400 Growth ETF | X | ||||||||||||||
iShares S&P Mid-Cap 400 Value ETF | X | ||||||||||||||
iShares S&P Small-Cap 600 Growth ETF | X | ||||||||||||||
iShares S&P Small-Cap 600 Value ETF | X | ||||||||||||||
iShares Semiconductor ETF | X | ||||||||||||||
iShares U.S. Aerospace & Defense ETF | X | ||||||||||||||
iShares U.S. Broker-Dealers & Securities Exchanges ETF | X | ||||||||||||||
iShares U.S. Healthcare Providers ETF | X | ||||||||||||||
iShares U.S. Home Construction ETF | X | ||||||||||||||
iShares U.S. Infrastructure ETF | X | ||||||||||||||
iShares U.S. Insurance ETF | X | ||||||||||||||
iShares U.S. Medical Devices ETF | X | ||||||||||||||
iShares U.S. Oil & Gas Exploration & Production ETF | X | ||||||||||||||
iShares U.S. Oil Equipment & Services ETF | X | ||||||||||||||
iShares U.S. Pharmaceuticals ETF | X | ||||||||||||||
iShares U.S. Real Estate ETF | X | ||||||||||||||
iShares U.S. Regional Banks ETF | X | ||||||||||||||
iShares U.S. Telecommunications ETF | X | ||||||||||||||
iShares US Small Cap Value Factor 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 Biotechnology 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 Core S&P 500 ETF | X | ||||||||||||||
iShares Core S&P Mid-Cap ETF | X | ||||||||||||||
iShares Core S&P Small-Cap ETF | X | ||||||||||||||
iShares Core S&P Total U.S. Stock Market ETF | X | ||||||||||||||
iShares Core S&P U.S. Growth ETF | X | ||||||||||||||
iShares Core S&P U.S. Value ETF | X | ||||||||||||||
iShares ESG Screened S&P 500 ETF | X | ||||||||||||||
iShares ESG Screened S&P Mid-Cap ETF | X | ||||||||||||||
iShares ESG Screened S&P Small-Cap ETF | X | ||||||||||||||
iShares Europe ETF | X | ||||||||||||||
iShares Expanded Tech Sector ETF | X | ||||||||||||||
iShares Expanded Tech-Software Sector ETF | X | ||||||||||||||
iShares Factors US Growth Style ETF | X | ||||||||||||||
iShares Factors US Value Style ETF | X | ||||||||||||||
iShares Focused Value Factor ETF | X | ||||||||||||||
iShares International Developed Small Cap Value Factor ETF | X | ||||||||||||||
iShares JPX-Nikkei 400 ETF | X | ||||||||||||||
iShares Micro-Cap ETF | X | ||||||||||||||
iShares Mortgage Real Estate ETF | X | ||||||||||||||
iShares North American Natural Resources ETF | X | ||||||||||||||
iShares North American Tech-Multimedia Networking ETF | X | ||||||||||||||
iShares Preferred and Income Securities ETF | X | ||||||||||||||
iShares Residential and Multisector Real Estate ETF | X | ||||||||||||||
iShares Russell 1000 ETF | X | ||||||||||||||
iShares Russell 1000 Growth ETF | X | ||||||||||||||
iShares Russell 1000 Value ETF | X | ||||||||||||||
iShares Russell 2000 ETF | X | ||||||||||||||
iShares Russell 2000 Growth ETF | X | ||||||||||||||
iShares Russell 2000 Value ETF | X | ||||||||||||||
iShares Russell 3000 ETF | X | ||||||||||||||
iShares Russell Mid-Cap ETF | X | ||||||||||||||
iShares Russell Mid-Cap Growth ETF | X | ||||||||||||||
iShares Russell Mid-Cap Value ETF | X | ||||||||||||||
iShares Russell Top 200 ETF | X | ||||||||||||||
iShares Russell Top 200 Growth ETF | X | ||||||||||||||
iShares Russell Top 200 Value ETF | X | ||||||||||||||
iShares S&P 100 ETF | X | ||||||||||||||
iShares S&P 500 Growth ETF | X | ||||||||||||||
iShares S&P 500 Value ETF | X | ||||||||||||||
iShares S&P Mid-Cap 400 Growth ETF | X | ||||||||||||||
iShares S&P Mid-Cap 400 Value ETF | X | ||||||||||||||
iShares S&P Small-Cap 600 Growth ETF | X | ||||||||||||||
iShares S&P Small-Cap 600 Value 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 Semiconductor ETF | X | ||||||||||||||
iShares U.S. Aerospace & Defense ETF | X | ||||||||||||||
iShares U.S. Broker-Dealers & Securities Exchanges ETF | X | ||||||||||||||
iShares U.S. Healthcare Providers ETF | X | ||||||||||||||
iShares U.S. Home Construction ETF | X | ||||||||||||||
iShares U.S. Infrastructure ETF | X | ||||||||||||||
iShares U.S. Insurance ETF | X | ||||||||||||||
iShares U.S. Medical Devices ETF | X | ||||||||||||||
iShares U.S. Oil & Gas Exploration & Production ETF | X | ||||||||||||||
iShares U.S. Oil Equipment & Services ETF | X | ||||||||||||||
iShares U.S. Pharmaceuticals ETF | X | ||||||||||||||
iShares U.S. Real Estate ETF | X | ||||||||||||||
iShares U.S. Regional Banks ETF | X | ||||||||||||||
iShares U.S. Telecommunications ETF | X | ||||||||||||||
iShares US Small Cap Value Factor 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 Europe ETF | 07/25/00 | 144,364 | 108,508 | 120,682 | ||||
iShares International Developed Small Cap Value Factor ETF | 03/23/21 | 69,668 | 17,310 | N/A | ||||
iShares JPX-Nikkei 400 ETF | 10/23/01 | 27,409 | 25,121 | 25,051 |
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 Focused Value Factor ETF | 03/19/19 | $21,325 | $20,200 | $20,887 | ||||
iShares Russell 1000 ETF | 05/15/00 | 401,564 | 331,747 | 287,634 | ||||
iShares Russell 1000 Growth ETF | 05/22/00 | 908,241 | 773,811 | 607,098 | ||||
iShares Russell 1000 Value ETF | 05/22/00 | 721,670 | 528,366 | 540,592 | ||||
iShares U.S. Aerospace & Defense ETF | 05/01/06 | 43,914 | 46,219 | 79,605 |
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 U.S. Broker-Dealers & Securities Exchanges ETF | 05/01/06 | 25,242 | 19,927 | 20,923 | ||||
iShares U.S. Healthcare Providers ETF | 05/01/06 | 28,538 | 27,063 | 25,289 | ||||
iShares U.S. Home Construction ETF | 05/01/06 | 40,611 | 34,373 | 28,534 | ||||
iShares U.S. Infrastructure ETF | 04/03/18 | 32,659 | 28,579 | 23,964 | ||||
iShares U.S. Insurance ETF | 05/01/06 | 22,042 | 20,440 | 21,211 | ||||
iShares U.S. Medical Devices ETF | 05/01/06 | 113,082 | 110,311 | 64,175 | ||||
iShares U.S. Oil & Gas Exploration & Production ETF | 05/01/06 | 23,968 | 20,870 | 20,493 | ||||
iShares U.S. Oil Equipment & Services ETF | 05/01/06 | 20,256 | 20,982 | 20,769 | ||||
iShares U.S. Pharmaceuticals ETF | 05/01/06 | 22,646 | 22,516 | 23,426 | ||||
iShares U.S. Real Estate ETF | 06/12/00 | 91,534 | 63,809 | 71,744 | ||||
iShares U.S. Regional Banks ETF | 05/01/06 | 28,588 | 23,707 | 24,783 | ||||
iShares U.S. Telecommunications ETF | 05/22/00 | 22,803 | 23,091 | 23,296 | ||||
iShares US Small Cap Value Factor ETF | 10/27/20 | 46,592 | 23,242 | N/A |
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 Biotechnology ETF | 02/05/01 | $312,780 | $261,294 | $92,172 |
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 Core S&P 500 ETF | 05/15/00 | 2,707,929 | 2,182,733 | 1,896,029 | ||||
iShares Core S&P Total U.S. Stock Market ETF | 01/20/04 | 542,609 | 391,023 | 298,666 | ||||
iShares Expanded Tech Sector ETF | 03/13/01 | 60,619 | 48,703 | 39,286 | ||||
iShares Expanded Tech-Software Sector ETF | 07/10/01 | 78,165 | 76,294 | 46,216 | ||||
iShares Micro-Cap ETF | 08/12/05 | 68,968 | 56,803 | 56,035 | ||||
iShares North American Natural Resources ETF | 10/22/01 | 27,255 | 24,622 | 27,352 | ||||
iShares North American Tech-Multimedia Networking ETF | 07/10/01 | 18,959 | 18,691 | 19,229 | ||||
iShares Russell 2000 ETF | 05/22/00 | 873,208 | 664,749 | 530,342 | ||||
iShares Russell 2000 Growth ETF | 07/24/00 | 176,145 | 160,841 | 141,436 | ||||
iShares Russell 2000 Value ETF | 07/24/00 | 238,788 | 177,515 | 146,654 | ||||
iShares Russell Mid-Cap ETF | 07/17/01 | 393,034 | 310,416 | 277,934 | ||||
iShares Russell Mid-Cap Growth ETF | 07/17/01 | 211,034 | 191,951 | 159,516 | ||||
iShares S&P Mid-Cap 400 Growth ETF | 07/24/00 | 131,133 | 123,900 | 113,788 | ||||
iShares S&P Mid-Cap 400 Value ETF | 07/24/00 | 139,635 | 95,799 | 104,011 | ||||
iShares S&P Small-Cap 600 Growth ETF | 07/24/00 | 121,578 | 106,967 | 101,886 | ||||
iShares Semiconductor ETF | 07/10/01 | 107,554 | 60,977 | 34,569 |
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 Core S&P Mid-Cap ETF | 05/22/00 | 836,875 | 656,482 | 625,958 | ||||
iShares Core S&P Small-Cap ETF | 05/22/00 | 958,769 | 692,110 | 604,191 | ||||
iShares Core S&P U.S. Growth ETF | 07/24/00 | 172,688 | 142,702 | 116,387 | ||||
iShares Core S&P U.S. Value ETF | 07/24/00 | 161,518 | 116,429 | 102,143 | ||||
iShares ESG Screened S&P 500 ETF | 09/22/20 | 31,546 | 17,072 | N/A | ||||
iShares ESG Screened S&P Mid-Cap ETF | 09/22/20 | 61,257 | 30,999 | N/A | ||||
iShares ESG Screened S&P Small-Cap ETF | 09/22/20 | 98,599 | 41,057 | N/A | ||||
iShares Factors US Growth Style ETF | 01/14/20 | 29,632 | 22,814 | 5,804 | ||||
iShares Factors US Value Style ETF | 01/14/20 | 38,063 | 29,738 | 6,850 | ||||
iShares Mortgage Real Estate ETF | 05/01/07 | 32,013 | 29,998 | 32,462 | ||||
iShares Preferred and Income Securities ETF | 03/26/07 | 255,445 | 245,821 | 212,448 | ||||
iShares Residential and Multisector Real Estate ETF | 05/01/07 | 26,956 | 22,546 | 24,332 | ||||
iShares Russell 3000 ETF | 05/22/00 | 175,811 | 144,971 | 144,026 | ||||
iShares Russell Mid-Cap Value ETF | 07/17/01 | 197,253 | 157,748 | 167,221 | ||||
iShares Russell Top 200 ETF | 09/22/09 | 29,130 | 26,387 | 24,222 | ||||
iShares Russell Top 200 Growth ETF | 09/22/09 | 63,053 | 47,824 | 32,418 | ||||
iShares Russell Top 200 Value ETF | 09/22/09 | 31,849 | 28,882 | 27,784 | ||||
iShares S&P 100 ETF | 10/23/00 | 113,708 | 98,438 | 78,778 | ||||
iShares S&P 500 Growth ETF | 05/22/00 | 460,395 | 401,491 | 317,049 | ||||
iShares S&P 500 Value ETF | 05/22/00 | 311,466 | 242,848 | 229,163 | ||||
iShares S&P Small-Cap 600 Value ETF | 07/24/00 | 161,211 | 118,363 | 108,842 |
Fund | iShares Biotechnology ETF |
iShares
Core S&P 500 ETF |
iShares
Core S&P Mid-Cap ETF |
iShares
Core S&P Small-Cap ETF |
Gross
income from securities lending activities |
$4,612,307 | $2,789,226 | $6,154,126 | $10,415,205 |
Fees
and/or compensation for securities lending activities and related services |
||||
Securities
lending income paid to BTC for services as securities lending agent |
878,566 | 339,983 | 834,983 | 1,759,589 |
Cash
collateral management expenses not included in securities lending income paid to BTC |
334,598 | 454,432 | 904,086 | 1,181,609 |
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) |
50,579 | 142,508 | 200,002 | 266,326 |
Other
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Fund | iShares Biotechnology ETF |
iShares
Core S&P 500 ETF |
iShares
Core S&P Mid-Cap ETF |
iShares
Core S&P Small-Cap ETF |
Aggregate fees/compensation for securities lending activities |
$1,263,743 | $936,923 | $1,939,071 | $3,207,524 |
Net
income from securities lending activities |
$3,348,564 | $1,852,303 | $4,215,055 | $7,207,681 |
Fund | iShares
Core S&P Total U.S. Stock Market ETF |
iShares
Core S&P U.S. Growth ETF |
iShares
Core S&P U.S. Value ETF |
iShares
ESG Screened S&P 500 ETF |
Gross
income from securities lending activities |
$7,362,929 | $169,244 | $119,279 | $596 |
Fees
and/or compensation for securities lending activities and related services |
||||
Securities
lending income paid to BTC for services as securities lending agent |
1,519,582 | 22,350 | 16,626 | 92 |
Cash
collateral management expenses not included in securities lending income paid to BTC |
313,828 | 25,947 | 17,338 | 78 |
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) |
54,605 | 5,322 | 5,966 | 2 |
Other
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate fees/compensation for securities lending activities |
$1,888,015 | $53,619 | $39,930 | $172 |
Net
income from securities lending activities |
$5,474,914 | $115,625 | $79,349 | $424 |
Fund | iShares
ESG Screened S&P Mid-Cap ETF |
iShares
ESG Screened S&P Small-Cap ETF |
iShares Europe ETF | iShares
Expanded Tech Sector ETF |
Gross
income from securities lending activities |
$1,874 | $1,047 | $58,366 | $228,850 |
Fees
and/or compensation for securities lending activities and related services |
||||
Securities
lending income paid to BTC for services as securities lending agent |
291 | 164 | 10,226 | 36,249 |
Cash
collateral management expenses not included in securities lending income paid to BTC |
165 | 123 | 1,341 | 29,949 |
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) |
68 | 38 | 100 | 5,441 |
Other
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate fees/compensation for securities lending activities |
$524 | $325 | $11,667 | $71,639 |
Net
income from securities lending activities |
$1,350 | $722 | $46,699 | $157,211 |
Fund | iShares
Expanded Tech-Software Sector ETF |
iShares
Factors US Growth Style ETF |
iShares
Factors US Value Style ETF |
iShares
Focused Value Factor ETF |
Gross
income from securities lending activities |
$1,024,380 | $1,109 | $1,211 | $329 |
Fees
and/or compensation for securities lending activities and related services |
Fund | iShares
Expanded Tech-Software Sector ETF |
iShares
Factors US Growth Style ETF |
iShares
Factors US Value Style ETF |
iShares
Focused Value Factor ETF |
Securities
lending income paid to BTC for services as securities lending agent |
190,415 | 241 | 260 | 58 |
Cash
collateral management expenses not included in securities lending income paid to BTC |
97,458 | 35 | 45 | 41 |
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) |
20,235 | 4 | 3 | 0 |
Other
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate fees/compensation for securities lending activities |
$308,108 | $280 | $308 | $99 |
Net
income from securities lending activities |
$716,272 | $829 | $903 | $230 |
Fund | iShares
International Developed Small Cap Value Factor ETF |
iShares
JPX-Nikkei 400 ETF |
iShares Micro-Cap ETF | iShares
Mortgage Real Estate ETF |
|
Gross
income from securities lending activities |
$481 | $2,840 | $3,963,154 | $2,117 |
Fund | iShares
International Developed Small Cap Value Factor ETF |
iShares
JPX-Nikkei 400 ETF |
iShares Micro-Cap ETF | iShares
Mortgage Real Estate ETF |
|
Fees
and/or compensation for securities lending activities and related services |
|||||
Securities
lending income paid to BTC for services as securities lending agent |
84 | 499 | 857,923 | 436 | |
Cash
collateral management expenses not included in securities lending income paid to BTC |
16 | 57 | 76,091 | 174 | |
Administrative
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Fund | iShares
International Developed Small Cap Value Factor ETF |
iShares
JPX-Nikkei 400 ETF |
iShares Micro-Cap ETF | iShares
Mortgage Real Estate ETF |
|
Indemnification
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 | |
Rebates
(paid to borrowers) |
0 | 13 | 8,899 | 0 | |
Other
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 | |
Aggregate fees/compensation for securities lending activities |
$100 | $569 | $942,913 | $610 | |
Net
income from securities lending activities |
$381 | $2,271 | $3,020,241 | $1,507 |
Fund | iShares
North American Natural Resources ETF |
iShares
North American Tech-Multimedia Networking ETF |
iShares
Preferred and Income Securities ETF |
iShares
Residential and Multisector Real Estate ETF |
Gross
income from securities lending activities |
$31,668 | $17,785 | $6,087,694 | $0 |
Fees
and/or compensation for securities lending activities and related services |
Fund | iShares
North American Natural Resources ETF |
iShares
North American Tech-Multimedia Networking ETF |
iShares
Preferred and Income Securities ETF |
iShares
Residential and Multisector Real Estate ETF |
Securities
lending income paid to BTC for services as securities lending agent |
5,343 | 2,642 | 1,341,822 | 0 |
Cash
collateral management expenses not included in securities lending income paid to BTC |
3,908 | 2,611 | 44,600 | 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) |
226 | 262 | 3,238 | 0 |
Other
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate fees/compensation for securities lending activities |
$9,477 | $5,515 | $1,389,660 | $0 |
Net
income from securities lending activities |
$22,191 | $12,270 | $4,698,034 | $0 |
Fund | iShares
Russell 1000 ETF |
iShares
Russell 1000 Growth ETF |
iShares
Russell 1000 Value ETF |
iShares
Russell 2000 ETF |
Gross
income from securities lending activities |
$1,333,409 | $4,024,633 | $1,662,085 | $49,584,798 |
Fees
and/or compensation for securities lending activities and related services |
||||
Securities
lending income paid to BTC for services as securities lending agent |
241,090 | 737,846 | 296,306 | 10,212,554 |
Cash
collateral management expenses not included in securities lending income paid to BTC |
132,863 | 389,647 | 162,737 | 2,553,756 |
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) |
25,570 | 73,564 | 41,125 | 385,380 |
Other
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate fees/compensation for securities lending activities |
$399,523 | $1,201,057 | $500,168 | $13,151,690 |
Net
income from securities lending activities |
$933,886 | $2,823,576 | $1,161,917 | $36,433,108 |
Fund | iShares
Russell 2000 Growth ETF |
iShares
Russell 2000 Value ETF |
iShares
Russell 3000 ETF |
iShares
Russell Mid Cap ETF |
Gross
income from securities lending activities |
$12,718,899 | $7,050,921 | $1,026,468 | $4,084,909 |
Fees
and/or compensation for securities lending activities and related services |
Fund | iShares
Russell 2000 Growth ETF |
iShares
Russell 2000 Value ETF |
iShares
Russell 3000 ETF |
iShares
Russell Mid Cap ETF |
Securities
lending income paid to BTC for services as securities lending agent |
2,606,437 | 1,468,935 | 201,929 | 746,851 |
Cash
collateral management expenses not included in securities lending income paid to BTC |
627,132 | 383,893 | 76,028 | 380,443 |
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) |
104,099 | 54,991 | 16,237 | 98,909 |
Other
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate fees/compensation for securities lending activities |
$3,337,668 | $1,907,819 | $294,194 | $1,226,203 |
Net
income from securities lending activities |
$9,381,231 | $5,143,102 | $732,274 | $2,858,706 |
Fund | iShares
Russell Mid-Cap Growth ETF |
iShares
Russell Mid-Cap Value ETF |
iShares
Russell Top 200 ETF |
iShares
Russell Top 200 Growth ETF |
Gross
income from securities lending activities |
$3,732,438 | $1,096,013 | $6,254 | $37,152 |
Fees
and/or compensation for securities lending activities and related services |
||||
Securities
lending income paid to BTC for services as securities lending agent |
700,873 | 193,418 | 1,097 | 5,679 |
Cash
collateral management expenses not included in securities lending income paid to BTC |
328,414 | 109,753 | 621 | 4,710 |
Fund | iShares
Russell Mid-Cap Growth ETF |
iShares
Russell Mid-Cap Value ETF |
iShares
Russell Top 200 ETF |
iShares
Russell Top 200 Growth ETF |
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) |
52,237 | 26,234 | 0 | 779 |
Other
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate fees/compensation for securities lending activities |
$1,081,524 | $329,405 | $1,718 | $11,168 |
Net
income from securities lending activities |
$2,650,914 | $766,608 | $4,536 | $25,984 |
Fund | iShares
Russell Top 200 Value ETF |
iShares S&P 100 ETF | iShares
S&P 500 Growth ETF |
iShares
S&P 500 Value ETF |
Gross
income from securities lending activities |
$3,363 | $18,298 | $250,433 | $177,480 |
Fees
and/or compensation for securities lending activities and related services |
||||
Securities
lending income paid to BTC for services as securities lending agent |
534 | 2,363 | 28,847 | 24,818 |
Cash
collateral management expenses not included in securities lending income paid to BTC |
316 | 3,106 | 44,080 | 25,360 |
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 |
Fund | iShares
Russell Top 200 Value ETF |
iShares S&P 100 ETF | iShares
S&P 500 Growth ETF |
iShares
S&P 500 Value ETF |
Rebates
(paid to borrowers) |
54 | 68 | 7,520 | 9,522 |
Other
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate fees/compensation for securities lending activities |
$904 | $5,537 | $80,447 | $59,700 |
Net
income from securities lending activities |
$2,459 | $12,761 | $169,986 | $117,780 |
Fund | iShares
S&P Mid-Cap 400 Growth ETF |
iShares
S&P Mid-Cap 400 Value ETF |
iShares
S&P Small-Cap 600 Growth ETF |
iShares
S&P Small-Cap 600 Value ETF |
Gross
income from securities lending activities |
$1,000,559 | $394,588 | $1,341,701 | $706,652 |
Fees
and/or compensation for securities lending activities and related services |
||||
Securities
lending income paid to BTC for services as securities lending agent |
136,650 | 50,606 | 249,025 | 102,559 |
Cash
collateral management expenses not included in securities lending income paid to BTC |
142,447 | 62,163 | 138,376 | 99,097 |
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) |
26,891 | 18,121 | 23,030 | 21,665 |
Fund | iShares
S&P Mid-Cap 400 Growth ETF |
iShares
S&P Mid-Cap 400 Value ETF |
iShares
S&P Small-Cap 600 Growth ETF |
iShares
S&P Small-Cap 600 Value ETF |
Other
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate fees/compensation for securities lending activities |
$305,988 | $130,890 | $410,431 | $223,321 |
Net
income from securities lending activities |
$694,571 | $263,698 | $931,270 | $483,331 |
Fund | iShares Semiconductor ETF |
iShares
U.S. Aerospace & Defense ETF |
iShares
U.S. Broker-Dealers & Securities Exchanges ETF |
iShares
U.S. Healthcare Providers ETF |
Gross
income from securities lending activities |
$776,692 | $243,810 | $0 | $182,037 |
Fees
and/or compensation for securities lending activities and related services |
||||
Securities
lending income paid to BTC for services as securities lending agent |
138,655 | 47,404 | 0 | 31,410 |
Cash
collateral management expenses not included in securities lending income paid to BTC |
53,106 | 17,323 | 0 | 18,629 |
Fund | iShares Semiconductor ETF |
iShares
U.S. Aerospace & Defense ETF |
iShares
U.S. Broker-Dealers & Securities Exchanges ETF |
iShares
U.S. Healthcare Providers ETF |
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) |
9,643 | 1,658 | 0 | 4,410 |
Other
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate fees/compensation for securities lending activities |
$201,404 | $66,385 | $0 | $54,449 |
Net
income from securities lending activities |
$575,288 | $177,425 | $0 | $127,588 |
Fund | iShares
U.S. Home Construction ETF |
iShares
U.S. Infrastructure ETF |
iShares
U.S. Insurance ETF |
iShares
U.S. Medical Devices ETF |
|
Gross
income from securities lending activities |
$115,650 | $27,826 | $5,092 | $508,668 | |
Fees
and/or compensation for securities lending activities and related services |
|||||
Securities
lending income paid to BTC for services as securities lending agent |
13,401 | 4,356 | 1,017 | 73,464 |
Fund | iShares
U.S. Home Construction ETF |
iShares
U.S. Infrastructure ETF |
iShares
U.S. Insurance ETF |
iShares
U.S. Medical Devices ETF |
|
Cash
collateral management expenses not included in securities lending income paid to BTC |
20,240 | 2,558 | 162 | 61,624 | |
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) |
3,540 | 384 | 90 | 11,685 | |
Other
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 | |
Aggregate fees/compensation for securities lending activities |
$37,181 | $7,298 | $1,269 | $146,773 | |
Net
income from securities lending activities |
$78,469 | $20,528 | $3,823 | $361,895 |
Fund | iShares
U.S. Oil & Gas Exploration & Production ETF |
IShares
U.S. Oil Equipment & Services ETF |
iShares
U.S. Pharmaceuticals ETF |
iShares
U.S. Real Estate ETF |
Gross
income from securities lending activities |
$10,845 | $22,396 | $163,337 | $88,631 |
Fees
and/or compensation for securities lending activities and related services |
||||
Securities
lending income paid to BTC for services as securities lending agent |
1,427 | 3,157 | 30,173 | 13,690 |
Fund | iShares
U.S. Oil & Gas Exploration & Production ETF |
IShares
U.S. Oil Equipment & Services ETF |
iShares
U.S. Pharmaceuticals ETF |
iShares
U.S. Real Estate ETF |
Cash
collateral management expenses not included in securities lending income paid to BTC |
1,715 | 3,243 | 4,870 | 11,303 |
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) |
360 | 933 | 851 | 4,739 |
Other
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate fees/compensation for securities lending activities |
$3,502 | $7,333 | $35,894 | $29,732 |
Net
income from securities lending activities |
$7,343 | $15,063 | $127,443 | $58,899 |
Fund | iShares
U.S. Regional Banks ETF |
iShares
U.S. Telecommunications ETF |
iShares
US Small Cap Value Factor ETF |
|
Gross
income from securities lending activities |
$17,409 | $20,309 | $4,435 | |
Fees
and/or compensation for securities lending activities and related services |
Fund | iShares
U.S. Regional Banks ETF |
iShares
U.S. Telecommunications ETF |
iShares
US Small Cap Value Factor ETF |
|
Securities
lending income paid to BTC for services as securities lending agent |
2,014 | 3,026 | 544 | |
Cash
collateral management expenses not included in securities lending income paid to BTC |
3,206 | 2,855 | 688 | |
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) |
40 | 696 | 330 | |
Other
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | |
Aggregate fees/compensation for securities lending activities |
$5,260 | $6,577 | $1,562 | |
Net
income from securities lending activities |
$12,149 | $13,732 | $2,873 |
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 Biotechnology ETF | 02/05/01 | $1,545,280 | $834,068 | $674,765 | ||||
iShares Core S&P 500 ETF | 05/15/00 | 1,222,724 | 1,409,732 | 1,250,816 | ||||
iShares Core S&P Mid-Cap ETF | 05/22/00 | 2,411,031 | 2,847,172 | 2,084,841 | ||||
iShares Core S&P Small-Cap ETF | 05/22/00 | 4,930,489 | 6,734,154 | 4,708,435 | ||||
iShares Core S&P Total U.S. Stock Market ETF | 01/20/04 | 474,339 | 494,569 | 243,415 | ||||
iShares Core S&P U.S. Growth ETF | 07/24/00 | 102,294 | 72,148 | 176,924 | ||||
iShares Core S&P U.S. Value ETF | 07/24/00 | 156,549 | 205,781 | 210,750 | ||||
iShares ESG Screened S&P 500 ETF | 09/22/20 | 953 | 66 | N/A | ||||
iShares ESG Screened S&P Mid-Cap ETF | 09/22/20 | 2,837 | 273 | N/A | ||||
iShares ESG Screened S&P Small-Cap ETF | 09/22/20 | 3,350 | 864 | N/A | ||||
iShares Europe ETF | 07/25/00 | 46,626 | 28,948 | 38,602 | ||||
iShares Expanded Tech Sector ETF | 03/13/01 | 31,682 | 18,927 | 18,969 | ||||
iShares Expanded Tech-Software Sector ETF | 07/10/01 | 118,897 | 102,456 | 110,042 | ||||
iShares Factors US Growth Style ETF | 01/14/20 | 791 | 614 | 38 | ||||
iShares Factors US Value Style ETF | 01/14/20 | 1,996 | 2,816 | 109 | ||||
iShares Focused Value Factor ETF | 03/19/19 | 16,959 | 5,899 | 12,050 |
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 Developed Small Cap Value Factor ETF | 03/23/21 | 6,649 | 28 | N/A | ||||
iShares JPX-Nikkei 400 ETF | 10/23/01 | 4,874 | 5,455 | 4,639 | ||||
iShares Micro-Cap ETF | 08/12/05 | 548,474 | 342,706 | 235,016 | ||||
iShares Mortgage Real Estate ETF | 05/01/07 | 333,931 | 570,146 | 501,081 | ||||
iShares North American Natural Resources ETF | 10/22/01 | 27,127 | 26,241 | 37,745 | ||||
iShares North American Tech-Multimedia Networking ETF | 07/10/01 | 15,724 | 8,882 | 10,077 | ||||
iShares Preferred and Income Securities ETF | 03/26/07 | 1,432,215 | 2,045,323 | 2,183,048 | ||||
iShares Residential and Multisector Real Estate ETF | 05/01/07 | 21,441 | 9,842 | 19,227 | ||||
iShares Russell 1000 ETF | 05/15/00 | 219,444 | 199,947 | 165,354 | ||||
iShares Russell 1000 Growth ETF | 05/22/00 | 468,336 | 556,228 | 707,442 | ||||
iShares Russell 1000 Value ETF | 05/22/00 | 732,974 | 860,614 | 898,426 | ||||
iShares Russell 2000 ETF | 05/22/00 | 6,921,437 | 5,497,730 | 3,864,228 | ||||
iShares Russell 2000 Growth ETF | 07/24/00 | 1,309,210 | 988,881 | 821,463 | ||||
iShares Russell 2000 Value ETF | 07/24/00 | 2,119,942 | 1,864,464 | 969,394 | ||||
iShares Russell 3000 ETF | 05/22/00 | 116,303 | 95,042 | 114,610 | ||||
iShares Russell Mid-Cap ETF | 07/17/01 | 551,567 | 640,260 | 360,657 | ||||
iShares Russell Mid-Cap Growth ETF | 07/17/01 | 369,882 | 327,319 | 218,731 | ||||
iShares Russell Mid-Cap Value ETF | 07/17/01 | 323,549 | 511,031 | 367,974 | ||||
iShares Russell Top 200 ETF | 09/22/09 | 3,252 | 3,031 | 1,699 | ||||
iShares Russell Top 200 Growth ETF | 09/22/09 | 15,391 | 16,199 | 25,477 | ||||
iShares Russell Top 200 Value ETF | 09/22/09 | 14,620 | 12,689 | 7,779 | ||||
iShares S&P 100 ETF | 10/23/00 | 23,658 | 52,086 | 36,028 | ||||
iShares S&P 500 Growth ETF | 05/22/00 | 264,743 | 174,278 | 374,287 | ||||
iShares S&P 500 Value ETF | 05/22/00 | 318,752 | 422,154 | 520,693 | ||||
iShares S&P Mid-Cap 400 Growth ETF | 07/24/00 | 389,448 | 455,474 | 473,048 | ||||
iShares S&P Mid-Cap 400 Value ETF | 07/24/00 | 544,798 | 465,920 | 482,724 | ||||
iShares S&P Small-Cap 600 Growth ETF | 07/24/00 | 535,494 | 927,092 | 754,745 | ||||
iShares S&P Small-Cap 600 Value ETF | 07/24/00 | 1,325,001 | 1,698,044 | 1,299,177 | ||||
iShares Semiconductor ETF | 07/10/01 | 390,636 | 103,868 | 40,713 | ||||
iShares U.S. Aerospace & Defense ETF | 05/01/06 | 88,164 | 210,740 | 115,303 | ||||
iShares U.S. Broker-Dealers & Securities Exchanges ETF | 05/01/06 | 26,680 | 9,128 | 7,740 | ||||
iShares U.S. Healthcare Providers ETF | 05/01/06 | 55,147 | 33,014 | 43,409 | ||||
iShares U.S. Home Construction ETF | 05/01/06 | 13,422 | 50,988 | 49,446 | ||||
iShares U.S. Infrastructure ETF | 04/03/18 | 128,432 | 28,398 | 1,032 | ||||
iShares U.S. Insurance ETF | 05/01/06 | 2,769 | 1,408 | 1,815 | ||||
iShares U.S. Medical Devices ETF | 05/01/06 | 99,163 | 84,901 | 78,960 | ||||
iShares U.S. Oil & Gas Exploration & Production ETF | 05/01/06 | 18,260 | 28,194 | 23,130 | ||||
iShares U.S. Oil Equipment & Services ETF | 05/01/06 | 38,494 | 124,746 | 27,448 | ||||
iShares U.S. Pharmaceuticals ETF | 05/01/06 | 30,565 | 38,901 | 34,596 | ||||
iShares U.S. Real Estate ETF | 06/12/00 | 156,955 | 296,838 | 180,998 | ||||
iShares U.S. Regional Banks ETF | 05/01/06 | 38,492 | 8,550 | 7,877 | ||||
iShares U.S. Telecommunications ETF | 05/22/00 | 97,972 | 65,572 | 58,227 | ||||
iShares US Small Cap Value Factor ETF | 10/27/20 | 14,711 | 5,286 | N/A |
Fund | Issuer | Market
Value of Investment | ||
iShares Core S&P 500 ETF | JPMorgan Chase & Co. | $3,495,387,391 | ||
Bank of America Corp. | 2,542,275,281 | |||
Wells Fargo & Co. | 1,633,813,150 | |||
Morgan Stanley | 1,074,986,701 | |||
Goldman Sachs Group Inc. (The) | 972,245,841 | |||
Citigroup Inc. | 919,032,103 | |||
iShares Core S&P Total U.S. Stock Market ETF | JPMorgan Chase & Co. | $393,582,968 | ||
Bank of America Corp. | 287,634,479 | |||
Wells Fargo & Co. | 184,276,564 | |||
Morgan Stanley | 120,549,684 | |||
Goldman Sachs Group Inc. (The) | 109,233,414 | |||
Citigroup Inc. | 102,882,683 | |||
iShares Core S&P U.S. Growth ETF | Bank of America Corp. | $80,696,476 | ||
Goldman Sachs Group Inc. (The) | 70,135,026 | |||
Morgan Stanley | 37,943,923 | |||
iShares Core S&P U.S. Value ETF | Wells Fargo & Co. | $113,346,195 | ||
Bank of America Corp. | 98,781,957 | |||
Citigroup Inc. | 63,836,710 | |||
Morgan Stanley | 37,994,878 | |||
iShares ESG Screened S&P 500 ETF | JPMorgan Chase & Co. | $2,641,882 | ||
Bank of America Corp. | 1,927,447 | |||
Morgan Stanley | 815,442 | |||
Citigroup Inc. | 698,419 | |||
iShares Europe ETF | HSBC Holdings PLC | $26,923,804 | ||
UBS Group AG | 13,909,245 | |||
Barclays PLC | 5,940,395 | |||
Credit Suisse Group AG | 3,783,109 | |||
iShares Factors US Growth Style ETF | Goldman Sachs Group Inc. (The) | $102,991 | ||
iShares Factors US Value Style ETF | Goldman Sachs Group Inc. (The) | $71,302 | ||
Morgan Stanley | 32,862 | |||
JPMorgan Chase & Co. | 20,721 | |||
Citigroup Inc. | 20,025 | |||
iShares International Developed Small Cap Value Factor ETF | Close Brothers Group PLC. | $631,169 | ||
iShares JPX-Nikkei 400 ETF | Nomura Holdings Inc. | $ 312,909 | ||
Fund | Issuer | Market
Value of Investment | ||
iShares Preferred and Income Securities ETF | Wells Fargo & Co. | $844,608,033 | ||
Bank of America Corp. | 834,867,266 | |||
JPMorgan Chase & Co. | 723,628,399 | |||
Morgan Stanley | 514,694,296 | |||
Goldman Sachs Group Inc. (The) | 296,810,931 | |||
Citigroup Inc. | 203,971,797 | |||
Cowen Inc. | 8,131,458 | |||
iShares Russell 1000 ETF | JPMorgan Chase & Co. | $287,376,328 | ||
Bank of America Corp. | 210,428,182 | |||
Wells Fargo & Co. | 135,294,505 | |||
Morgan Stanley | 82,917,167 | |||
Goldman Sachs Group Inc. (The) | 77,655,695 | |||
Citigroup Inc. | 76,062,746 | |||
iShares Russell 1000 Growth ETF | Goldman Sachs Group Inc. (The) | $22,279,769 | ||
iShares Russell 1000 Value ETF | JPMorgan Chase & Co. | $1,114,673,236 | ||
Bank of America Corp. | 816,208,143 | |||
Wells Fargo & Co. | 524,781,045 | |||
Morgan Stanley | 322,014,375 | |||
Citigroup Inc. | 294,706,910 | |||
Goldman Sachs Group Inc. (The) | 283,099,702 | |||
iShares Russell 2000 ETF | Cowen Inc. | $16,380,785 | ||
iShares Russell 3000 ETF | JPMorgan Chase & Co. | $106,679,806 | ||
Bank of America Corp. | 78,115,198 | |||
Wells Fargo & Co. | 50,224,186 | |||
Morgan Stanley | 30,770,831 | |||
Goldman Sachs Group Inc. (The) | 28,863,122 | |||
Citigroup Inc. | 28,260,882 | |||
iShares Russell Top 200 ETF | JPMorgan Chase & Co. | $13,227,130 | ||
Bank of America Corp. | 9,685,340 | |||
Wells Fargo & Co. | 6,223,766 | |||
Morgan Stanley | 3,828,208 | |||
Goldman Sachs Group Inc. (The) | 3,574,323 | |||
Citigroup Inc. | 3,501,919 | |||
iShares Russell Top 200 Growth ETF | Goldman Sachs Group Inc. (The) | $1,791,452 | ||
iShares Russell Top 200 Value ETF | JPMorgan Chase & Co. | $37,921,361 | ||
Bank of America Corp. | 27,767,523 | |||
Wells Fargo & Co. | 17,853,149 | |||
Morgan Stanley | 10,948,161 | |||
Citigroup Inc. | 10,037,011 | |||
Goldman Sachs Group Inc. (The) | 9,622,415 |
Fund | Issuer | Market
Value of Investment | ||
iShares S&P 100 ETF | Bank of America Corp. | $100,085,252 | ||
Wells Fargo & Co. | 64,320,667 | |||
Morgan Stanley | 42,320,304 | |||
Goldman Sachs Group Inc. (The) | 38,307,775 | |||
Citigroup Inc. | 36,217,375 | |||
iShares S&P 500 Growth ETF | Bank of America Corp. | $244,195,029 | ||
Goldman Sachs Group Inc. (The) | 212,229,212 | |||
Morgan Stanley | 115,163,571 | |||
iShares S&P 500 Value ETF | JPMorgan Chase & Co. | $297,065,272 | ||
Wells Fargo & Co. | 257,138,064 | |||
Bank of America Corp. | 224,065,160 | |||
Citigroup Inc. | 144,700,009 | |||
Morgan Stanley | 86,286,524 | |||
iShares U.S. Broker-Dealers & Securities Exchanges ETF | Morgan Stanley | $108,733,641 | ||
Goldman Sachs Group Inc. (The) | 35,881,210 | |||
Cowen Inc. | 2,129,789 | |||
iShares US Small Cap Value Factor ETF | Cowen Inc. | $747,364 |
Fund | Fiscal
Year Ended March 31, 2022 |
Fiscal
Year Ended March 31, 2021 | ||
iShares Biotechnology ETF | 46% | 34% | ||
iShares Core S&P 500 ETF | 3% | 5% | ||
iShares Core S&P Mid-Cap ETF | 16% | 20% | ||
iShares Core S&P Small-Cap ETF | 16% | 20% | ||
iShares Core S&P Total U.S. Stock Market ETF | 4% | 5% | ||
iShares Core S&P U.S. Growth ETF | 15% | 14% | ||
iShares Core S&P U.S. Value ETF | 20% | 25% |
Fund | Fiscal
Year Ended March 31, 2022 |
Fiscal
Year Ended March 31, 2021 | ||
iShares ESG Screened S&P 500 ETF | 3% | 6%1,2 | ||
iShares ESG Screened S&P Mid-Cap ETF | 26% | 11%1,2 | ||
iShares ESG Screened S&P Small-Cap ETF | 34% | 18%1,2 | ||
iShares Europe ETF | 5% | 5% | ||
iShares Expanded Tech Sector ETF | 8% | 9% | ||
iShares Expanded Tech-Software Sector ETF | 15% | 22% | ||
iShares Factors US Growth Style ETF | 111% | 103% | ||
iShares Factors US Value Style ETF | 104% | 148% | ||
iShares Focused Value Factor ETF | 138% | 70% | ||
iShares International Developed Small Cap Value Factor ETF | 35% | 0%3,4 | ||
iShares JPX-Nikkei 400 ETF | 11% | 10% | ||
iShares Micro-Cap ETF | 44% | 35% | ||
iShares Mortgage Real Estate ETF | 20% | 30% | ||
iShares North American Natural Resources ETF | 15% | 14% | ||
iShares North American Tech-Multimedia Networking ETF | 37% | 38% | ||
iShares Preferred and Income Securities ETF | 21% | 28% | ||
iShares Residential and Multisector Real Estate ETF | 8% | 7% | ||
iShares Russell 1000 ETF | 6% | 5% | ||
iShares Russell 1000 Growth ETF | 13% | 14% | ||
iShares Russell 1000 Value ETF | 17% | 18% | ||
iShares Russell 2000 ETF | 23% | 20% | ||
iShares Russell 2000 Growth ETF | 40% | 35% | ||
iShares Russell 2000 Value ETF | 35% | 28% | ||
iShares Russell 3000 ETF | 5% | 4% | ||
iShares Russell Mid-Cap ETF | 13% | 14% | ||
iShares Russell Mid-Cap Growth ETF | 35% | 23% | ||
iShares Russell Mid-Cap Value ETF | 21% | 25% | ||
iShares Russell Top 200 ETF | 4% | 5% | ||
iShares Russell Top 200 Growth ETF | 10% | 11% | ||
iShares Russell Top 200 Value ETF | 15% | 17% | ||
iShares S&P 100 ETF | 2% | 8% | ||
iShares S&P 500 Growth ETF | 14% | 13% | ||
iShares S&P 500 Value ETF | 18% | 26% | ||
iShares S&P Mid-Cap 400 Growth ETF | 45% | 50% | ||
iShares S&P Mid-Cap 400 Value ETF | 38% | 43% | ||
iShares S&P Small-Cap 600 Growth ETF | 44% | 52% | ||
iShares S&P Small-Cap 600 Value ETF | 42% | 52% | ||
iShares Semiconductor ETF | 32% | 23% | ||
iShares U.S. Aerospace & Defense ETF | 27% | 49% | ||
iShares U.S. Broker-Dealers & Securities Exchanges ETF | 24% | 37% | ||
iShares U.S. Healthcare Providers ETF | 24% | 27% | ||
iShares U.S. Home Construction ETF | 5% | 14% | ||
iShares U.S. Infrastructure ETF | 33% | 65% | ||
iShares U.S. Insurance ETF | 11% | 10% | ||
iShares U.S. Medical Devices ETF | 11% | 9% | ||
iShares U.S. Oil & Gas Exploration & Production ETF | 17% | 21% | ||
iShares U.S. Oil Equipment & Services ETF | 55% | 71% | ||
iShares U.S. Pharmaceuticals ETF | 20% | 52% | ||
iShares U.S. Real Estate ETF | 9% | 14% | ||
iShares U.S. Regional Banks ETF | 14% | 6% | ||
iShares U.S. Telecommunications ETF | 75% | 40% |
Fund | Fiscal
Year Ended March 31, 2022 |
Fiscal
Year Ended March 31, 2021 | ||
iShares US Small Cap Value Factor ETF | 13% | 14%5,6 |
Fund | Shares
Per Creation Unit |
Approximate Value Per Creation Unit (U.S.$) | ||
iShares Biotechnology ETF | 50,000 | $5,832,502.90 | ||
iShares Core S&P 500 ETF | 50,000 | 20,691,918.25 | ||
iShares Core S&P Mid-Cap ETF | 50,000 | 12,465,569.15 | ||
iShares Core S&P Small-Cap ETF | 50,000 | 4,974,738.50 | ||
iShares Core S&P Total U.S. Stock Market ETF | 50,000 | 4,591,002.20 | ||
iShares Core S&P U.S. Growth ETF | 50,000 | 4,629,523.10 | ||
iShares Core S&P U.S. Value ETF | 50,000 | 3,601,234.05 | ||
iShares ESG Screened S&P 500 ETF | 50,000 | 1,555,000.15 | ||
iShares ESG Screened S&P Mid-Cap ETF | 50,000 | 1,688,720.35 | ||
iShares ESG Screened S&P Small-Cap ETF | 50,000 | 1,742,662.30 | ||
iShares Europe ETF | 50,000 | 2,363,609.20 | ||
iShares Expanded Tech Sector ETF | 50,000 | 16,618,222.20 | ||
iShares Expanded Tech-Software Sector ETF | 50,000 | 14,998,085.05 | ||
iShares Factors US Growth Style ETF | 50,000 | 1,628,822.05 | ||
iShares Factors US Value Style ETF | 50,000 | 1,398,348.10 | ||
iShares Focused Value Factor ETF | 50,000 | 2,703,334.30 | ||
iShares International Developed Small Cap Value Factor ETF | 100,000 | 3,241,958.90 | ||
iShares JPX-Nikkei 400 ETF | 150,000 | 8,978,503.05 | ||
iShares Micro-Cap ETF | 50,000 | 5,781,296.40 | ||
iShares Mortgage Real Estate ETF | 50,000 | 1,480,031.80 | ||
iShares North American Natural Resources ETF | 50,000 | 1,957,072.10 | ||
iShares North American Tech-Multimedia Networking ETF | 50,000 | 3,225,319.80 | ||
iShares Preferred and Income Securities ETF | 50,000 | 1,704,287.55 |
Fund | Shares
Per Creation Unit |
Approximate Value Per Creation Unit (U.S.$) | ||
iShares Residential and Multisector Real Estate ETF | 50,000 | 4,518,203.95 | ||
iShares Russell 1000 ETF | 50,000 | 11,387,609.60 | ||
iShares Russell 1000 Growth ETF | 50,000 | 12,192,811.15 | ||
iShares Russell 1000 Value ETF | 50,000 | 7,824,807.15 | ||
iShares Russell 2000 ETF | 50,000 | 9,252,287.90 | ||
iShares Russell 2000 Growth ETF | 50,000 | 11,232,177.10 | ||
iShares Russell 2000 Value ETF | 50,000 | 7,442,730.60 | ||
iShares Russell 3000 ETF | 50,000 | 11,928,499.65 | ||
iShares Russell Mid-Cap ETF | 50,000 | 3,600,106.65 | ||
iShares Russell Mid-Cap Growth ETF | 50,000 | 4,459,960.10 | ||
iShares Russell Mid-Cap Value ETF | 50,000 | 5,621,056.80 | ||
iShares Russell Top 200 ETF | 50,000 | 4,895,228.05 | ||
iShares Russell Top 200 Growth ETF | 50,000 | 6,956,846.80 | ||
iShares Russell Top 200 Value ETF | 50,000 | 3,289,186.55 | ||
iShares S&P 100 ETF | 50,000 | 9,390,689.10 | ||
iShares S&P 500 Growth ETF | 50,000 | 3,340,346.70 | ||
iShares S&P 500 Value ETF | 50,000 | 7,400,482.30 | ||
iShares S&P Mid-Cap 400 Growth ETF | 50,000 | 3,575,615.25 | ||
iShares S&P Mid-Cap 400 Value ETF | 50,000 | 5,112,961.05 | ||
iShares S&P Small-Cap 600 Growth ETF | 50,000 | 5,669,354.60 | ||
iShares S&P Small-Cap 600 Value ETF | 50,000 | 4,796,924.55 | ||
iShares Semiconductor ETF | 50,000 | 20,005,165.75 | ||
iShares U.S. Aerospace & Defense ETF | 50,000 | 5,145,118.35 | ||
iShares U.S. Broker-Dealers & Securities Exchanges ETF | 50,000 | 4,447,515.90 | ||
iShares U.S. Healthcare Providers ETF | 50,000 | 13,300,141.30 | ||
iShares U.S. Home Construction ETF | 50,000 | 2,889,159.70 | ||
iShares U.S. Infrastructure ETF | 50,000 | 1,832,661.85 | ||
iShares U.S. Insurance ETF | 50,000 | 4,271,842.30 | ||
iShares U.S. Medical Devices ETF | 50,000 | 2,753,316.65 | ||
iShares U.S. Oil & Gas Exploration & Production ETF | 50,000 | 4,140,671.40 | ||
iShares U.S. Oil Equipment & Services ETF | 50,000 | 902,182.10 | ||
iShares U.S. Pharmaceuticals ETF | 50,000 | 9,393,362.00 | ||
iShares U.S. Real Estate ETF | 50,000 | 5,184,731.10 | ||
iShares U.S. Regional Banks ETF | 50,000 | 2,648,423.60 | ||
iShares U.S. Telecommunications ETF | 50,000 | 1,299,831.70 | ||
iShares US Small Cap Value Factor ETF | 50,000 | 1,427,370.10 |
Fund | Standard
Creation Transaction Fee |
Maximum
Additional Charge for Creations* | ||
iShares Europe ETF | $10,000 | 3.0% | ||
iShares International Developed Small Cap Value Factor ETF | 8,350 | 3.0% | ||
iShares JPX-Nikkei 400 ETF | 3,000 | 3.0% |
* | As a percentage of the net asset value per Creation Unit. |
Fund | Standard
Creation Transaction Fee* |
Maximum
Additional Charge** | ||
iShares Biotechnology ETF | $613.75 | 3.0% | ||
iShares Core S&P 500 ETF | 776.25 | 3.0% | ||
iShares Core S&P Mid-Cap ETF | 646.25 | 3.0% | ||
iShares Core S&P Small-Cap ETF | 805 | 3.0% | ||
iShares Core S&P Total U.S. Stock Market ETF | 4,263.75 | 3.0% | ||
iShares Core S&P U.S. Growth ETF | 737.50 | 3.0% | ||
iShares Core S&P U.S. Value ETF | 1,066.25 | 3.0% | ||
iShares ESG Screened S&P 500 ETF | 722.50 | 3.0% | ||
iShares ESG Screened S&P Mid-Cap ETF | 622.50 | 3.0% | ||
iShares ESG Screened S&P Small-Cap ETF | 776.25 | 3.0% | ||
iShares Expanded Tech Sector ETF | 587.50 | 3.0% | ||
iShares Expanded Tech-Software Sector ETF | 300 | 3.0% | ||
iShares Factors US Growth Style ETF | 296.25 | 3.0% | ||
iShares Factors US Value Style ETF | 442.50 | 3.0% | ||
iShares Focused Value Factor ETF | 201.25 | 3.0% | ||
iShares Micro-Cap ETF | 2,386.25 | 3.0% | ||
iShares Mortgage Real Estate ETF | 193.75 | 3.0% | ||
iShares North American Natural Resources ETF | 291.25 | 3.0% | ||
iShares North American Tech-Multimedia Networking ETF | 178.75 | 3.0% | ||
iShares Preferred and Income Securities ETF | 778.75 | 3.0% | ||
iShares Residential and Multisector Real Estate ETF | 205 | 3.0% | ||
iShares Russell 1000 ETF | 1,417.50 | 3.0% | ||
iShares Russell 1000 Growth ETF | 797.50 | 3.0% | ||
iShares Russell 1000 Value ETF | 1,210 | 3.0% | ||
iShares Russell 2000 ETF | 2,527.50 | 3.0% | ||
iShares Russell 2000 Growth ETF | 1,530 | 3.0% | ||
iShares Russell 2000 Value ETF | 1,947.50 | 3.0% | ||
iShares Russell 3000 ETF | 3,613.75 | 3.0% | ||
iShares Russell Mid-Cap ETF | 1,178.75 | 3.0% | ||
iShares Russell Mid-Cap Growth ETF | 658.75 | 3.0% | ||
iShares Russell Mid-Cap Value ETF | 1,023.75 | 3.0% | ||
iShares Russell Top 200 ETF | 400 | 3.0% | ||
iShares Russell Top 200 Growth ETF | 290 | 3.0% | ||
iShares Russell Top 200 Value ETF | 341.25 | 3.0% | ||
iShares S&P 100 ETF | 276.25 | 3.0% | ||
iShares S&P 500 Growth ETF | 448.75 | 3.0% | ||
iShares S&P 500 Value ETF | 705 | 3.0% | ||
iShares S&P Mid-Cap 400 Growth ETF | 437.50 | 3.0% | ||
iShares S&P Mid-Cap 400 Value ETF | 515 | 3.0% | ||
iShares S&P Small-Cap 600 Growth ETF | 605 | 3.0% | ||
iShares S&P Small-Cap 600 Value ETF | 655 | 3.0% | ||
iShares Semiconductor ETF | 190 | 3.0% | ||
iShares U.S. Aerospace & Defense ETF | 195 | 3.0% | ||
iShares U.S. Broker-Dealers & Securities Exchanges ETF | 183.75 | 3.0% | ||
iShares U.S. Healthcare Providers ETF | 237.50 | 3.0% | ||
iShares U.S. Home Construction ETF | 208.75 | 3.0% | ||
iShares U.S. Infrastructure ETF | 340 | 3.0% | ||
iShares U.S. Insurance ETF | 211.25 | 3.0% | ||
iShares U.S. Medical Devices ETF | 231.25 | 3.0% |
Fund | Standard
Creation Transaction Fee* |
Maximum
Additional Charge** | ||
iShares U.S. Oil & Gas Exploration & Production ETF | 213.75 | 3.0% | ||
iShares U.S. Oil Equipment & Services ETF | 181.25 | 3.0% | ||
iShares U.S. Pharmaceuticals ETF | 206.25 | 3.0% | ||
iShares U.S. Real Estate ETF | 257.50 | 3.0% | ||
iShares U.S. Regional Banks ETF | 197.50 | 3.0% | ||
iShares U.S. Telecommunications ETF | 176.25 | 3.0% | ||
iShares US Small Cap Value Factor ETF | 481.25 | 3.0% |
* | The standard creation transaction fee consists of the ETF Servicing Fee and Custody Transaction Costs. The standard creation transaction fee may vary over time depending on the factors discussed above, and may be higher than the fee set forth above. |
** | As a percentage of the net asset value per Creation Unit. |
Fund | Standard
Redemption Transaction Fee |
Maximum
Additional Charge for Redemptions* | ||
iShares Europe ETF | $10,000 | 2.0% | ||
iShares International Developed Small Cap Value Factor ETF | 8,350 | 2.0% | ||
iShares JPX-Nikkei 400 ETF | 3,000 | 2.0% |
* | As a percentage of the net asset value per Creation Unit, inclusive of the standard redemption transaction fee. |
Fund | Standard
Redemption Transaction Fee* |
Maximum
Additional Charge** | ||
iShares Biotechnology ETF | $613.75 | 2.0% | ||
iShares Core S&P 500 ETF | 776.25 | 2.0% | ||
iShares Core S&P Mid-Cap ETF | 646.25 | 2.0% | ||
iShares Core S&P Small-Cap ETF | 805 | 2.0% | ||
iShares Core S&P Total U.S. Stock Market ETF | 4,263.75 | 2.0% | ||
iShares Core S&P U.S. Growth ETF | 737.50 | 2.0% | ||
iShares Core S&P U.S. Value ETF | 1,066.25 | 2.0% | ||
iShares ESG Screened S&P 500 ETF | 722.50 | 2.0% | ||
iShares ESG Screened S&P Mid-Cap ETF | 622.50 | 2.0% | ||
iShares ESG Screened S&P Small-Cap ETF | 776.25 | 2.0% | ||
iShares Expanded Tech Sector ETF | 587.50 | 2.0% | ||
iShares Expanded Tech-Software Sector ETF | 300 | 2.0% | ||
iShares Factors US Growth Style ETF | 296.25 | 2.0% | ||
iShares Factors US Value Style ETF | 442.50 | 2.0% |
Fund | Standard
Redemption Transaction Fee* |
Maximum
Additional Charge** | ||
iShares Focused Value Factor ETF | 201.25 | 2.0% | ||
iShares Micro-Cap ETF | 2,386.25 | 2.0% | ||
iShares Mortgage Real Estate ETF | 193.75 | 2.0% | ||
iShares North American Natural Resources ETF | 291.25 | 2.0% | ||
iShares North American Tech-Multimedia Networking ETF | 178.75 | 2.0% | ||
iShares Preferred and Income Securities ETF | 778.75 | 2.0% | ||
iShares Residential and Multisector Real Estate ETF | 205 | 2.0% | ||
iShares Russell 1000 ETF | 1,417.50 | 2.0% | ||
iShares Russell 1000 Growth ETF | 797.50 | 2.0% | ||
iShares Russell 1000 Value ETF | 1,210 | 2.0% | ||
iShares Russell 2000 ETF | 2,527.50 | 2.0% | ||
iShares Russell 2000 Growth ETF | 1,530 | 2.0% | ||
iShares Russell 2000 Value ETF | 1,947.50 | 2.0% | ||
iShares Russell 3000 ETF | 3,613.75 | 2.0% | ||
iShares Russell Mid-Cap ETF | 1,178.75 | 2.0% | ||
iShares Russell Mid-Cap Growth ETF | 658.75 | 2.0% | ||
iShares Russell Mid-Cap Value ETF | 1,023.75 | 2.0% | ||
iShares Russell Top 200 ETF | 400 | 2.0% | ||
iShares Russell Top 200 Growth ETF | 290 | 2.0% | ||
iShares Russell Top 200 Value ETF | 341.25 | 2.0% | ||
iShares S&P 100 ETF | 276.25 | 2.0% | ||
iShares S&P 500 Growth ETF | 448.75 | 2.0% | ||
iShares S&P 500 Value ETF | 705 | 2.0% | ||
iShares S&P Mid-Cap 400 Growth ETF | 437.50 | 2.0% | ||
iShares S&P Mid-Cap 400 Value ETF | 515 | 2.0% | ||
iShares S&P Small-Cap 600 Growth ETF | 605 | 2.0% | ||
iShares S&P Small-Cap 600 Value ETF | 655 | 2.0% | ||
iShares Semiconductor ETF | 190 | 2.0% | ||
iShares U.S. Aerospace & Defense ETF | 195 | 2.0% | ||
iShares U.S. Broker-Dealers & Securities Exchanges ETF | 183.75 | 2.0% | ||
iShares U.S. Healthcare Providers ETF | 237.50 | 2.0% | ||
iShares U.S. Home Construction ETF | 208.75 | 2.0% | ||
iShares U.S. Infrastructure ETF | 340 | 2.0% | ||
iShares U.S. Insurance ETF | 211.25 | 2.0% | ||
iShares U.S. Medical Devices ETF | 231.25 | 2.0% | ||
iShares U.S. Oil & Gas Exploration & Production ETF | 213.75 | 2.0% | ||
iShares U.S. Oil Equipment & Services ETF | 181.25 | 2.0% | ||
iShares U.S. Pharmaceuticals ETF | 206.25 | 2.0% | ||
iShares U.S. Real Estate ETF | 257.50 | 2.0% | ||
iShares U.S. Regional Banks ETF | 197.50 | 2.0% | ||
iShares U.S. Telecommunications ETF | 176.25 | 2.0% | ||
iShares US Small Cap Value Factor ETF | 481.25 | 2.0% |
* | The standard redemption transaction fee consists of the ETF Servicing Fee and Custody Transaction Costs. The standard redemption transaction fee may vary over time depending on the factors discussed above, and may be higher than the fee set forth above. |
** | 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 Biotechnology ETF | $2,130,904,723 | |
iShares Core S&P 500 ETF | 4,768,706,162 | |
iShares Core S&P Mid-Cap ETF | 1,362,420,891 | |
iShares Core S&P Small-Cap ETF | 1,050,074,976 | |
iShares Core S&P Total U.S. Stock Market ETF | 277,482,313 | |
iShares Core S&P U.S. Growth ETF | 395,394,677 | |
iShares Core S&P U.S. Value ETF | 515,825,848 | |
iShares ESG Screened S&P Mid-Cap ETF | 322,579 | |
iShares ESG Screened S&P Small-Cap ETF | 296,856 | |
iShares Europe ETF | 330,810,465 | |
iShares Expanded Tech Sector ETF | 16,755,133 | |
iShares Expanded Tech-Software Sector ETF | 164,666,778 | |
iShares Focused Value Factor ETF | 548,219 | |
iShares International Developed Small Cap Value Factor ETF | 357,587 | |
iShares JPX-Nikkei 400 ETF | 23,004,645 | |
iShares Micro-Cap ETF | 112,175,451 | |
iShares Mortgage Real Estate ETF | 191,583,889 | |
iShares North American Natural Resources ETF | 490,461,147 | |
iShares North American Tech-Multimedia Networking ETF | 69,077,425 | |
iShares Preferred and Income Securities ETF | 1,784,643,780 | |
iShares Russell 1000 ETF | 666,718,178 | |
iShares Russell 1000 Growth ETF | 1,603,451,678 | |
iShares Russell 1000 Value ETF | 2,426,541,811 | |
iShares Russell 2000 ETF | 9,508,088,657 |
Fund | Non-Expiring
Capital Loss Carryforward | |
iShares Russell 2000 Growth ETF | 934,647,008 | |
iShares Russell 2000 Value ETF | 1,454,504,025 | |
iShares Russell 3000 ETF | 134,214,036 | |
iShares Russell Mid-Cap ETF | 662,719,275 | |
iShares Russell Mid-Cap Growth ETF | 788,026,969 | |
iShares Russell Mid-Cap Value ETF | 414,944,990 | |
iShares Russell Top 200 ETF | 11,215,984 | |
iShares Russell Top 200 Growth ETF | 87,537,359 | |
iShares Russell Top 200 Value ETF | 43,326,562 | |
iShares S&P 100 ETF | 289,162,375 | |
iShares S&P 500 Growth ETF | 977,554,947 | |
iShares S&P 500 Value ETF | 1,163,006,607 | |
iShares S&P Mid-Cap 400 Growth ETF | 314,583,981 | |
iShares S&P Mid-Cap 400 Value ETF | 370,278,126 | |
iShares S&P Small-Cap 600 Growth ETF | 253,537,193 | |
iShares S&P Small-Cap 600 Value ETF | 499,167,863 | |
iShares Semiconductor ETF | 252,258,852 | |
iShares U.S. Aerospace & Defense ETF | 881,214,186 | |
iShares U.S. Broker-Dealers & Securities Exchanges ETF | 52,873,436 | |
iShares U.S. Healthcare Providers ETF | 109,949,047 | |
iShares U.S. Home Construction ETF | 161,538,130 | |
iShares U.S. Infrastructure ETF | 14,434,506 | |
iShares U.S. Insurance ETF | 3,273,055 | |
iShares U.S. Medical Devices ETF | 95,981,976 | |
iShares U.S. Oil & Gas Exploration & Production ETF | 213,062,102 | |
iShares U.S. Oil Equipment & Services ETF | 290,293,620 | |
iShares U.S. Pharmaceuticals ETF | 186,461,269 | |
iShares U.S. Real Estate ETF | 328,765,783 | |
iShares U.S. Regional Banks ETF | 29,318,265 | |
iShares U.S. Telecommunications ETF | 242,235,368 | |
iShares US Small Cap Value Factor ETF | 539,143 |
• | 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 |