Daniel J. Beckman c/o Columbia Management Investment Advisers, LLC 290 Congress Street Boston, Massachusetts 02210 |
Ryan C. Larrenaga, Esq. c/o Columbia Management Investment Advisers, LLC 290 Congress Street Boston, Massachusetts 02210 |
Ticker Symbol |
CRED |
Annual Fund Operating Expenses (expenses that you pay each year as a percentage of the value of your investment) | |
Management fees(a) |
% |
Distribution and/or service (12b-1) fees |
% |
Other expenses |
% |
Total annual Fund operating expenses |
% |
|
1 year |
3 years |
5 years |
10 years |
|
$ |
$ |
$ |
$ |
Portfolio Management |
Title |
Role with Fund |
Managed Fund Since |
Christopher Lo, CFA |
Senior Portfolio Manager |
Lead Portfolio Manager |
2023 |
Portfolio Management |
Title |
Role with Fund |
Managed Fund Since |
Henry Hom, CFA |
Senior Portfolio Manager |
Portfolio Manager |
2023 |
Portfolio Management |
Title |
Role with Fund |
Managed Fund Since |
Christopher Lo, CFA |
Senior Portfolio Manager |
Lead Portfolio Manager |
2023 |
Henry Hom, CFA |
Senior Portfolio Manager |
Portfolio Manager |
2023 |
Declaration and Distribution Schedule | |
Declarations |
Quarterly |
Distributions |
Quarterly |
Web site information | |
Fund |
Internet address |
Columbia Research Enhanced Real Estate ETF |
https://www.columbiathreadneedleus.com/investment-products/details/?cusip=19761L110 |
|
Year Ended December 31 2023(a) |
Per share data |
|
Net asset value, beginning of year |
$19.79 |
Income (loss) from investment operations: |
|
Net investment income |
0.50 |
Net realized and unrealized gain |
1.84 |
Total from investment operations |
2.34 |
Less distributions to shareholders: |
|
Net investment income |
(0.51 ) |
Net realized gains |
(0.08 ) |
Total distribution to shareholders |
(0.59 ) |
Net asset value, end of year |
$21.54 |
Total Return at NAV |
12.10 % |
Total Return at Market Price |
12.67 % |
Ratios to average net assets: |
|
Total gross expenses(b) |
0.33 % |
Total net expenses(b)(c) |
0.33 % |
Net investment income |
3.66 % |
Supplemental data |
|
Net assets, end of year (in thousands) |
$3,232 |
Portfolio turnover |
2 % |
Columbia ETF Trust I |
Columbia Diversified Fixed Income Allocation ETF: DIAL |
Columbia International Equity Income ETF: INEQ(a) |
Columbia Multi-Sector Municipal Income ETF: MUST |
Columbia Research Enhanced Core ETF: RECS |
Columbia Research Enhanced Real Estate ETF: CRED |
Columbia Research Enhanced Value ETF: REVS |
Columbia Seligman Semiconductor and Technology ETF: SEMI* |
Columbia Short Duration Bond ETF: SBND |
Columbia U.S. Equity Income ETF: EQIN(b) |
Columbia ETF Trust II |
Columbia EM Core ex-China ETF: XCEM |
Columbia India Consumer ETF: INCO |
Columbia Research Enhanced Emerging Economies ETF: ECON(c) |
Trust, Fund Name and Fiscal Year End: |
Shareholder Report: |
Columbia ETF Trust I - October 31 |
|
Columbia Diversified Fixed Income Allocation ETF Columbia International Equity Income ETF Columbia Multi-Sector Municipal Income ETF Columbia Research Enhanced Core ETF Columbia Research Enhanced Value ETF Columbia Seligman Semiconductor and Technology ETF Columbia Short Duration Bond ETF Columbia U.S. Equity Income ETF |
|
Columbia ETF Trust I - December 31 |
|
Columbia Research Enhanced Real Estate ETF |
|
Columbia ETF Trust II - March 31 |
|
Columbia EM Core ex-China ETF Columbia India Consumer ETF Columbia Research Enhanced Emerging Economies ETF |
|
2 | |
7 | |
10 | |
16 | |
16 | |
52 | |
87 | |
87 | |
89 | |
89 | |
94 | |
95 | |
96 | |
97 | |
97 | |
97 | |
98 | |
98 | |
104 | |
104 | |
105 | |
108 | |
108 | |
122 | |
125 | |
125 | |
128 | |
130 | |
130 | |
132 | |
132 | |
132 | |
137 | |
139 | |
139 | |
140 | |
142 | |
142 | |
149 | |
151 | |
152 | |
166 | |
171 | |
172 | |
172 | |
173 | |
A-1 | |
B-1 |
1933 Act |
Securities Act of 1933, as amended |
1934 Act |
Securities Exchange Act of 1934, as amended |
1940 Act |
Investment Company Act of 1940, as amended |
Administrator |
The Bank of New York Mellon or BNY Mellon |
Administrative Services Agreement |
The Fund Administration and Accounting Agreement, as amended, if applicable, between a Trust, on behalf of its Funds, and the Administrator |
Advisers Act |
Investment Advisers Act of 1940, as amended |
Ameriprise Financial |
Ameriprise Financial, Inc. |
Authorized Participant |
A broker-dealer or other participant in the Continuous Net Settlement System of the National Securities Clearing Corporation (NSCC) or a participant in DTC with access to the DTC system, and who has executed an agreement with the Distributor that governs transactions in the Funds’ Creation Units |
Balancing Amount |
An amount equal to the difference between the NAV of a Creation Unit and the market value of the In-Kind Creation (or Redemption) Basket, used to ensure that the NAV of a Fund Deposit (or Redemption) (other than the Transaction Fee) is identical to the NAV of the Creation Unit being purchased |
Board |
A Trust’s Board of Trustees |
Business Day |
Any day on which the NYSE is open for business. A business day typically ends at the close of regular trading on the NYSE, usually at 4:00 p.m. Eastern time. If the NYSE is scheduled to close early, the business day will be considered to end as of the time of the NYSE’s scheduled close. The Fund will not treat an intraday unscheduled disruption in NYSE trading or an intraday unscheduled closing as a close of regular trading on the NYSE for these purposes and will price its shares as of the regularly scheduled closing time for that day (typically, 4:00 p.m. Eastern time). Notwithstanding the foregoing, the NAV of Fund shares may be determined at such other time or times (in addition to or in lieu of the time set forth above) as the Fund’s Board may approve or ratify. On holidays and other days when the NYSE is closed, the Fund's NAV is not calculated and the Fund does not accept buy or sell orders. However, the value of the Fund's assets may still be affected on such days to the extent that the Fund holds foreign securities that trade on days that foreign securities markets are open. |
Cash Component |
An amount of cash, including a Transaction Fee, calculated in connection with creations |
Cash Redemption Amount |
An amount of cash, including a Transaction Fee, calculated in connection with redemptions |
CEA |
Commodity Exchange Act |
CFTC |
The United States Commodity Futures Trading Commission |
Code |
Internal Revenue Code of 1986, as amended |
Codes of Ethics |
The codes of ethics adopted by the Funds, Columbia Management Investment Advisers, LLC (the Investment Manager), ALPS Distributors, Inc. and/or any sub-adviser, as applicable, pursuant to Rule 17j-1 under the 1940 Act |
CET I |
Columbia ETF Trust I |
CET II |
Columbia ETF Trust II |
Columbia Funds or Columbia Funds Complex |
The fund complex, including the Funds, that is comprised of the registered investment companies, including traditional mutual funds, closed-end funds, and ETFs, advised by the Investment Manager or its affiliates |
Columbia Management |
Columbia Management Investment Advisers, LLC |
Columbia Threadneedle Investments |
The global brand name of the Columbia and Threadneedle group of companies |
Creation Unit |
An aggregation or block of shares that each Fund issues and redeems on a continuous basis at NAV. Shares will not be issued or redeemed except in Creation Units, which can vary by size (number of Shares) from Fund to Fund. A Fund’s Creation Unit size is disclosed in its prospectus. |
Custodian |
BNY Mellon |
Distribution Agreement |
The Distribution Agreement between a Trust, on behalf of its Funds, and the Distributor |
Distribution Plan(s) |
One or more of the plans adopted by the Board pursuant to Rule 12b-1 under the 1940 Act for the distribution of the Funds’ shares |
Distributor |
ALPS Distributors, Inc. |
DTC |
Depository Trust Company |
Exchange |
NYSE Arca, Inc. |
FDIC |
Federal Deposit Insurance Corporation |
FHLMC |
The Federal Home Loan Mortgage Corporation |
FINRA |
Financial Industry Regulatory Authority |
Fitch |
Fitch Ratings, Inc. |
FNMA |
Federal National Mortgage Association |
Foreign Funds |
Collectively, Columbia International Equity Income ETF and each series of CET II |
The Fund(s) or a Fund |
One or more of the ETFs listed on the front cover of this SAI |
Fund Deposit |
The In-Kind Creation Basket and Cash Component necessary to purchase a Creation Unit from a Fund |
Fund Redemption |
The In-Kind Redemption Basket and Cash Redemption Amount received in connection with the redemption of a Creation Unit |
GICS |
The Global Industry Classification Standard (GICS®). GICS was developed by and/or is the exclusive property of MSCI, Inc. (MSCI®) and S&P Global Market Intelligence Inc. (S&P Global Market Intelligence). GICS is a service mark of MSCI and S&P Global Market Intelligence and has been licensed for use by the Investment Manager. Neither GICS, MSCI, nor S&P Global Market Intelligence are affiliated with the Funds, the Investment Manager or any Columbia entity. |
GNMA |
Government National Mortgage Association |
IIV or Intraday Indicative Value |
An approximate per-share value of a Fund’s portfolio, disseminated every fifteen seconds throughout the trading day by the Exchange or other information providers |
In-Kind Creation Basket |
Basket of securities or other instruments to be deposited to purchase Creation Units of a Fund |
In-Kind Redemption Basket |
Basket of securities or other instruments received upon redemption of a Creation Unit |
Independent Trustees |
The Trustees of the Board who are not “interested persons” (as defined in the 1940 Act) of the Funds |
Index |
The index identified in an Index Fund’s prospectus, the performance of which the Fund seeks to track |
Index Fund(s) |
Index-based ETFs that seek to track the performance of a specified index; each series of CET I and CET II are Index Funds other than Columbia International Equity Income ETF, Columbia Seligman Semiconductor and Technology ETF and Columbia U.S. Equity Income ETF |
Interested Trustee |
A Trustee of the Board who is currently deemed to be an “interested person” (as defined in the 1940 Act) of the Funds |
Investment Management Services Agreement |
The Investment Management Services Agreement, as amended, if applicable, between a Trust, on behalf of its Funds, and the Investment Manager |
Investment Manager |
Columbia Management Investment Advisers, LLC |
IRS |
United States Internal Revenue Service |
LIBOR |
London Inter-bank Offered Rate |
Moody’s |
Moody’s Investors Service, Inc. |
NASDAQ |
National Association of Securities Dealers Automated Quotations system |
NAV |
Net asset value per share of a Fund |
Non-Indexed Fund(s) |
A Fund that is not an Index Fund (and therefore is actively managed), but like an Index Fund discloses its portfolio holdings each Business Day (unlike a Semi-Transparent Fund, which does not disclose its portfolio holdings each Business Day). Each of the following Funds is a Non- Indexed Fund: Columbia International Equity Income ETF and Columbia U.S. Equity Income ETF. The disclosure throughout this SAI with respect to Non-Indexed Funds is effective on or about June 1, 2024. |
NRSRO |
Nationally recognized statistical ratings organization (such as, for example, Moody’s, Fitch or S&P) |
NSCC |
National Securities Clearing Corporation |
NYSE |
New York Stock Exchange |
PwC |
PricewaterhouseCoopers LLP |
REIT |
Real estate investment trust |
REMIC |
Real estate mortgage investment conduit |
RIC |
A “regulated investment company,” as such term is used in the Code |
S&P |
S&P Global Ratings, a division of S&P Global Inc. (“Standard & Poor’s” and “S&P” are trademarks of S&P Global Inc. and have been licensed for use by the Investment Manager. The Columbia Funds are not sponsored, endorsed, sold or promoted by S&P Global Ratings, and S&P Global Ratings makes no representation regarding the advisability of investing in the Columbia Funds.) |
SAI |
This Statement of Additional Information, as amended and supplemented from time-to-time |
SEC |
United States Securities and Exchange Commission |
Semi-Transparent Fund(s) |
Funds that are actively managed (i.e., they do not seek to track the performance of an index) and do not disclose their complete portfolio holdings daily. Columbia Seligman Semiconductor and Technology ETF is a Semi-Transparent Fund. |
Shares |
Shares of a Fund |
SOFR |
Secured Overnight Financing Rate |
Subsidiary |
EG Shares India Consumer Mauritius, a wholly-owned subsidiary of Columbia India Consumer ETF |
Threadneedle |
Threadneedle International Limited |
Tracking Basket |
(For Semi-Transparent Funds only) A Tracking Basket is designed to closely track the daily performance of a Semi-Transparent Fund but is not the Semi-Transparent Fund’s actual portfolio holdings. It is comprised of Strategy Components (select recently disclosed portfolio holdings and/or select securities from the universe from which the Fund’s investments are selected), Representative ETFs (liquid ETFs that convey information about the types of instruments (that are not otherwise fully represented by the Strategy Components) in which the Semi-Transparent Fund invests), and cash and cash equivalents. The Tracking Basket often may include a significant percentage of the securities held in the Semi- Transparent Fund’s portfolio, but it will exclude (or modify the weightings of) certain securities held in the Semi-Transparent Fund’s portfolio, such as those securities that the Semi-Transparent Fund’s portfolio managers are actively looking to purchase or sell. |
Tracking Basket Tracking Error |
(For Semi-Transparent Funds only) Tracking Basket Tracking Error is the standard deviation over the past three months of the daily proxy spread (i.e., the difference, in percentage terms, between the Tracking Basket per share NAV and that of the Semi-Transparent Fund at the end of the trading day). |
Tracking Basket Weight Overlap |
(For Semi-Transparent Funds only) Tracking Basket Weight Overlap is the percentage weight overlap between the prior business day’s Tracking Basket, compared to the portfolio holdings of the Semi-Transparent Fund that formed the basis for the Semi-Transparent Fund’s calculation of NAV at the end of the prior Business Day. |
Transaction Fees |
Fees imposed to compensate the Trust for costs incurred in connection with transactions for Creation Units. Transaction Fees may include both a fixed and variable component |
Transfer Agency Agreement |
The Transfer Agency Agreement between a Trust, on behalf of its Funds, and the Transfer Agent |
Transfer Agent |
BNY Mellon |
Transmittal Date |
The Business Day on which an order to create or redeem a Creation Unit is placed |
Trustee(s) |
One or more members of the Board |
Trusts |
Columbia ETF Trust I and Columbia ETF Trust II, which are the registered investment companies in the Columbia Funds Complex to which this SAI relates |
Fund Name: |
Referred to as: |
Columbia Diversified Fixed Income Allocation ETF |
Diversified Fixed Income Allocation ETF |
Columbia EM Core ex-China ETF |
EM Core ex-China ETF |
Columbia India Consumer ETF |
India Consumer ETF |
Columbia International Equity Income ETF |
International Equity Income ETF |
Columbia Multi-Sector Municipal Income ETF |
Multi-Sector Municipal Income ETF |
Columbia Research Enhanced Core ETF |
Research Enhanced Core ETF |
Columbia Research Enhanced Emerging Economies ETF |
Research Enhanced Emerging Economies ETF |
Columbia Research Enhanced Real Estate ETF |
Research Enhanced Real Estate ETF |
Columbia Research Enhanced Value ETF |
Research Enhanced Value ETF |
Columbia Seligman Semiconductor and Technology ETF |
Seligman Semiconductor and Technology ETF |
Columbia Short Duration Bond ETF |
Short Duration Bond ETF |
Columbia U.S. Equity Income ETF |
U.S. Equity Income ETF |
Fund |
Fiscal Year End |
Prospectus Date |
Date Began Operations |
Diversified* |
Fund Investment Category** |
Diversified Fixed Income Allocation ETF |
October 31 |
3/1/2024 |
10/12/2017 |
Yes |
Fixed Income |
EM Core ex-China ETF |
March 31 |
8/1/2023 |
9/2/2015 |
No |
Equity |
India Consumer ETF |
March 31 |
8/1/2023 |
8/10/2011 |
No |
Equity |
International Equity Income ETF |
October 31 |
3/1/2024 |
6/13/2016 |
Yes |
Equity |
Multi-Sector Municipal Income ETF |
October 31 |
3/1/2024 |
10/10/2018 |
Yes |
Fixed Income |
Research Enhanced Core ETF |
October 31 |
3/1/2024 |
9/25/2019 |
Yes |
Equity |
Research Enhanced Emerging Economies ETF |
March 31 |
8/1/2023 |
9/14/2010 |
No |
Equity |
Research Enhanced Real Estate ETF |
December 31 |
5/1/2024 |
4/26/2023 |
No |
Equity |
Research Enhanced Value ETF |
October 31 |
3/1/2024 |
9/25/2019 |
Yes |
Equity |
Seligman Semiconductor and Technology ETF |
October 31 |
3/1/2024 |
3/29/2022 |
No |
Equity |
Short Duration Bond ETF |
October 31 |
3/1/2024 |
9/21/2021 |
No |
Fixed Income |
U.S. Equity Income ETF |
October 31 |
3/1/2024 |
6/13/2016 |
Yes |
Equity |
Fund |
Effective Date of Name Change |
Previous Fund Name |
International Equity Income ETF |
on or about June 1, 2024 October 14, 2022 |
Columbia International ESG Equity Income ETF Columbia Sustainable International Equity Income ETF |
Research Enhanced Emerging Economies ETF |
on or about June 28, 2024 |
Columbia Emerging Markets Consumer ETF |
U.S. Equity Income ETF |
on or about June 1, 2024 October 14, 2022 |
Columbia U.S. ESG Equity Income ETF Columbia Sustainable U.S. Equity Income ETF |
Fund |
A Buy or sell real estate |
B Buy or sell commodities |
C Issuer Diversification |
D Concentrate in any one industry |
E Act as an underwriter |
F Lending |
G Borrowing |
H Issue senior securities |
Diversified Fixed Income Allocation ETF |
A1 |
B1 |
C1 |
D1 |
E1 |
F1 |
G1 |
H1 |
EM Core ex-China ETF |
A2 |
B2 |
C2 |
D2 |
E2 |
F2 |
G2 |
H2 |
India Consumer ETF |
A2 |
B2 |
C2 |
D2 |
E2 |
F2 |
G2 |
H2 |
International Equity Income ETF |
A1 |
B1 |
C1 |
D1 |
E1 |
F1 |
G1 |
H1 |
Multi-Sector Municipal Income ETF |
A1 |
B1 |
C1 |
D3 |
E1 |
F1 |
G1 |
H1 |
Research Enhanced Core ETF |
A1 |
B1 |
C1 |
D3 |
E1 |
F1 |
G1 |
H1 |
Research Enhanced Emerging Economies ETF |
A2 |
B2 |
C2 |
D2 |
E2 |
F2 |
G2 |
H2 |
Research Enhanced Real Estate ETF |
A1 |
B1 |
C2 |
D3 |
E1 |
F1 |
G1 |
H1 |
Research Enhanced Value ETF |
A1 |
B1 |
C1 |
D3 |
E1 |
F1 |
G1 |
H1 |
Seligman Semiconductor and Technology ETF |
A1 |
B1 |
C2 |
D4 |
E1 |
F1 |
G1 |
H1 |
Short Duration Bond ETF |
A1 |
B1 |
C2 |
D3 |
E1 |
F1 |
G1 |
H1 |
U.S. Equity Income ETF |
A1 |
B1 |
C1 |
D1 |
E1 |
F1 |
G1 |
H1 |
Type of Investment |
Equity Funds* |
Fixed Income Funds* |
|
Asset Backed Securities |
• |
• |
|
Bank Obligations (Domestic and Foreign) |
• |
• |
|
Collateralized Bond Obligations |
• |
• |
|
Commercial Paper |
• |
• |
|
Common Stock |
• |
• |
|
Convertible Securities |
• |
• |
|
Corporate Debt Securities |
• |
• |
|
Custody Receipts and Trust Certificates |
• |
• |
|
Type of Investment |
Equity Funds* |
Fixed Income Funds* |
|
Debt Obligations |
•(a) |
• |
|
Depositary Receipts |
• |
• |
|
Derivatives |
• |
• |
|
Dollar Rolls |
• |
• |
|
Exchange-Traded Notes |
• |
• |
|
Foreign Currency Transactions |
• |
• |
|
Foreign Securities |
• |
• |
|
Guaranteed Investment Contracts (Funding Agreements) |
• |
• |
|
High-Yield Securities |
• |
• |
|
Illiquid Investments |
• |
• |
|
Inflation Protected Securities |
• |
• |
|
Initial Public Offerings |
• |
• |
|
Inverse Floaters |
• |
• |
|
Investments in Other Investment Companies (Including ETFs) |
• |
• |
|
Listed Private Equity Funds |
• |
• |
|
Money Market Instruments |
• |
• |
|
Mortgage-Backed Securities |
• |
• |
|
Municipal Securities |
• |
• |
|
Participation Interests |
• |
• |
|
Partnership Securities |
• |
• |
|
Preferred Stock |
• |
• |
|
Private Placement and Other Restricted Securities |
• |
• |
|
Real Estate Investment Trusts |
• |
• |
|
Repurchase Agreements |
• |
• |
|
Reverse Repurchase Agreements |
• |
• |
|
Short Sales |
•(b) |
•(b) |
|
Sovereign Debt |
• |
• |
|
Standby Commitments |
• |
• |
|
U.S. Government and Related Obligations |
• |
• |
|
Variable- and Floating-Rate Obligations |
• |
• |
|
Warrants and Rights |
• |
• |
|
Fund |
Assets (in millions) |
Annual rate at each asset level |
Diversified Fixed Income Allocation ETF(a) |
All assets |
0.28% |
EM Core ex-China ETF(b) |
All assets |
0.16% |
India Consumer ETF(b) |
All assets |
0.75% |
International Equity Income ETF(a) |
All assets |
0.45% |
Multi-Sector Municipal Income ETF(a) |
All assets |
0.23% |
Research Enhanced Core ETF(a) |
All assets |
0.15% |
Research Enhanced Emerging Economies ETF(b) |
All assets |
0.49% |
Research Enhanced Real Estate ETF(a) |
All assets |
0.33% |
Research Enhanced Value ETF(a) |
All assets |
0.19% |
Seligman Semiconductor and Technology ETF(a) |
All assets |
0.75% |
Short Duration Bond ETF(a) |
All assets |
0.25% |
U.S. Equity Income ETF(a) |
All assets |
0.35% |
|
Investment Advisory Services Fees | ||
|
2023 |
2022 |
2021 |
For Funds with fiscal period ending March 31 | |||
EM Core ex-China ETF |
$187,924 |
$80,982 |
$35,181 |
India Consumer ETF |
577,359 |
709,377 |
596,864 |
Research Enhanced Emerging Economies ETF |
472,770 |
800,775 |
1,037,927 |
For Funds with fiscal period ending October 31 | |||
Diversified Fixed Income Allocation ETF |
1,296,624 |
2,559,232 |
2,772,311 |
International Equity Income ETF |
29,536 |
23,648 |
24,201 |
Multi-Sector Municipal Income ETF |
708,182 |
435,109 |
216,791 |
Research Enhanced Core ETF |
214,853 |
63,900 |
85,594 |
Research Enhanced Value ETF |
39,200 |
42,563 |
9,030 |
Seligman Semiconductor and Technology ETF |
147,802 |
43,546(a) |
N/A |
Short Duration Bond ETF |
123,483 |
104,781 |
5,453(b) |
U.S. Equity Income ETF |
162,960 |
93,242 |
20,806 |
For Funds with fiscal period ending December 31 | |||
Research Enhanced Real Estate ETF |
8,267(c) |
N/A |
N/A |
|
|
Other Accounts Managed (excluding the Fund) |
| ||
Fund |
Portfolio Manager |
Number and type of account* |
Approximate Total Net Assets (excluding the Fund) |
Performance Based Accounts** |
Ownership of Fund shares |
For Funds with fiscal year ending March 31 – Information is as of March 31, 2023, unless otherwise noted | |||||
EM Core ex-China ETF |
Henry Hom |
2 RICs 8 other accounts |
$156.20 million $0.50 million |
None |
None |
Christopher Lo |
11 RICs 20 other accounts |
$10.74 billion $1.69 billion |
None |
None | |
India Consumer ETF |
Henry Hom |
2 RICs 8 other accounts |
$258.98 million $0.50 million |
None |
None |
Christopher Lo |
11 RICs 20 other accounts |
$10.85 billion $1.69 billion |
None |
None | |
Research Enhanced Emerging Economies ETF |
Henry Hom |
2 RICs 8 other accounts |
$245.02 million $0.50 million |
None |
None |
Christopher Lo |
11 RICs 20 other accounts |
$10.83 billion $1.69 billion |
None |
None |
|
|
Other Accounts Managed (excluding the Fund) |
| ||
Fund |
Portfolio Manager |
Number and type of account* |
Approximate Total Net Assets (excluding the Fund) |
Performance Based Accounts** |
Ownership of Fund shares |
For Funds with fiscal year ending October 31 – Information is as of October 31, 2023, unless otherwise noted | |||||
Diversified Fixed Income Allocation ETF |
David Janssen |
2 RICs 76 other accounts |
$127.83 million $19.84 million |
None |
$10,001– $50,000(a) |
Gene Tannuzzo |
7 RICs 2 PIVs 13 other accounts |
$12.74 billion $213.02 million $1.45 billion |
None |
$50,001– $100,000(a) | |
International Equity Income ETF |
Henry Hom |
7 RICs 9 other accounts |
$971.11 million $0.90 million |
None |
None |
Christopher Lo |
12 RICs 18 other accounts |
$10.62 billion $1.42 billion |
None |
None | |
Multi-Sector Municipal Income ETF |
William Callagy |
398 other accounts |
$541.55 million |
None |
$1– $10,000(a) |
Douglas Rangel |
8 RICs 5 other accounts |
$2.94 billion $69.22 million |
None |
None | |
Catherine Stienstra |
8 RICs 3 other accounts |
$5.43 billion $1.75 million |
None |
$50,001– $100,000(a) | |
Research Enhanced Core ETF |
Henry Hom |
7 RICs 9 other accounts |
$747.66 million $0.90 million |
None |
$1– $10,000(a) |
Christopher Lo |
12 RICs 18 other accounts |
$10.40 billion $1.42 billion |
None |
$10,001– $50,000(a) | |
Jason Wang |
1 RIC 5 other accounts |
$18.67 million $2.05 million |
None |
None | |
Research Enhanced Value ETF |
Henry Hom |
7 RICs 9 other accounts |
$958.87 million $0.90 million |
None |
None |
Christopher Lo |
12 RICs 18 other accounts |
$10.61 billion $1.42 billion |
None |
None | |
Jason Wang |
1 RIC 5 other accounts |
$229.88 million $2.05 million |
None |
None | |
Seligman Semiconductor and Technology ETF |
Sanjay Devgan(b) |
3 RICs 4 other accounts |
$11.35 billion $5.66 million |
None |
$100,001– $500,000(a) |
|
Christopher Lo |
12 RICs 18 other accounts |
$10.60 billion $1.42 billion |
None |
None |
|
Shekhar Pramanick(b) |
4 RICs 6 other accounts |
$11.77 billion $13.16 million |
None |
$50,001– $100,000(a) |
|
Paul Wick(b) |
4 RICs 3 PIVs 7 other accounts |
$11.77 billion $2.50 billion $648.90 million |
2 PIVs ($1.77 B) 1 other account ($176.75 M) |
None |
Short Duration Bond ETF |
David Janssen |
2 RICs 76 other accounts |
$423.85 million $19.84 million |
None |
$10,001– $50,000(a) |
Gregory Liechty |
6 RICs 8 PIVs 44 other accounts |
$5.36 billion $1.67 billion $3.67 billion |
None |
$10,001– $50,000(a) | |
Ronald Stahl |
6 RICs 8 PIVs 54 other accounts |
$5.36 billion $1.67 billion $4.65 billion |
None |
$100,001– $500,000(a) | |
U.S. Equity Income ETF |
Henry Hom |
7 RICs 9 other accounts |
$933.56 million $0.90 million |
None |
$1– $10,000(a) |
Christopher Lo |
12 RICs 18 other accounts |
$10.58 billion $1.42 billion |
None |
None |
|
|
Other Accounts Managed (excluding the Fund) |
| ||
Fund |
Portfolio Manager |
Number and type of account* |
Approximate Total Net Assets (excluding the Fund) |
Performance Based Accounts** |
Ownership of Fund shares |
For Funds with fiscal year ending December 31 – Information is as of December 31, 2023, unless otherwise noted | |||||
Research Enhanced Real Estate ETF |
Henry Hom |
7 RICs 12 other accounts |
$1.25 billion $1.54 million |
None |
None |
Christopher Lo |
12 RICs 18 other accounts |
$12.23 billion $1.54 billion |
None |
None |
|
Amounts Reimbursed | ||
|
2023 |
2022 |
2021 |
For Funds with fiscal period ending March 31 | |||
EM Core ex-China ETF |
$0 |
$0 |
$0 |
India Consumer ETF |
15,895 |
16,614 |
40,924 |
Research Enhanced Emerging Economies ETF |
2,033 |
2,594 |
2,727 |
For Funds with fiscal period ending October 31 | |||
Diversified Fixed Income Allocation ETF |
0 |
0 |
0 |
International Equity Income ETF |
0 |
0 |
0 |
Multi-Sector Municipal Income ETF |
0 |
0 |
0 |
Research Enhanced Core ETF |
0 |
0 |
0 |
Research Enhanced Value ETF |
0 |
0 |
0 |
Seligman Semiconductor and Technology ETF |
0 |
0(a) |
N/A |
Short Duration Bond ETF |
798 |
0 |
0(b) |
U.S. Equity Income ETF |
0 |
0 |
0 |
For Funds with fiscal period ending December 31 | |||
Research Enhanced Real Estate ETF |
0(c) |
N/A |
N/A |
Name, address, year of birth |
Position held with Subsidiary and length of service |
Principal occupation during past five years |
Ravi Chandiran Cunnoosamy Suite 450, 4th Floor, Barkly Wharf East, Le Caudan Waterfront, Port Louis, Mauritius Born 1971 |
Director since February 2014 |
Business Manager, Trust and Agency Services of Deutsche Bank since 2011 |
Shahed Ahmad Hoolash Suite 450, 4th Floor, Barkly Wharf East, Le Caudan Waterfront, Port Louis, Mauritius Born 1977 |
Director since March 2010 |
Head of Corporate Services, Deutsche International Trust Corporation (Mauritius) Limited since 2013; Head of Transaction Management and Client Services, Deutsche International Trust Corporation (Mauritius) Limited (2007 - 2013) |
Name, Address, Year of Birth |
Position Held with the Columbia Funds and Length of Service |
Principal Occupation(s) During the Past Five Years and Other Relevant Professional Experience |
Number of Funds in the Columbia Funds Complex* Overseen |
Other Directorships Held by Trustee During the Past Five Years and Other Relevant Board Experience |
Committee Assignments |
George S. Batejan c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1954 |
Trustee since 2017 |
Executive Vice President, Global Head of Technology and Operations, Janus Capital Group, Inc., 2010-2016 |
161 |
Former Chairman of the Board, NICSA (National Investment Company Services Association) (Executive Committee, Nominating Committee and Governance Committee), 2014- 2016; former Director, Intech Investment Management, 2011- 2016; former Board Member, Metro Denver Chamber of Commerce, 2015-2016; former Advisory Board Member, University of Colorado Business School, 2015-2018; former Board Member, Chase Bank International, 1993- 1994 |
Compliance, Contracts, Investment Review Committee |
Name, Address, Year of Birth |
Position Held with the Columbia Funds and Length of Service |
Principal Occupation(s) During the Past Five Years and Other Relevant Professional Experience |
Number of Funds in the Columbia Funds Complex* Overseen |
Other Directorships Held by Trustee During the Past Five Years and Other Relevant Board Experience |
Committee Assignments |
Kathleen Blatz c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1954 |
Trustee since 2006 |
Attorney, specializing in arbitration and mediation; Trustee of Gerald Rauenhorst 1982 Trusts, since 2020; Chief Justice, Minnesota Supreme Court, 1998-2006; Associate Justice, Minnesota Supreme Court, 1996-1998; Fourth Judicial District Court Judge, Hennepin County, 1994- 1996; Attorney in private practice and public service, 1984-1993; State Representative, Minnesota House of Representatives, 1979-1993, which included service on the Tax and Financial Institutions and Insurance Committees; Member and Interim Chair, Minnesota Sports Facilities Authority, January-July 2017; Interim President and Chief Executive Officer, Blue Cross Blue Shield of Minnesota (health care insurance), February-July 2018, April- October 2021 |
161 |
Former Trustee, Blue Cross and Blue Shield of Minnesota, 2009- 2021 (Chair of the Business Development Committee, 2014- 2017; Chair of the Governance Committee, 2017-2019); former Member and Chair of the Board, Minnesota Sports Facilities Authority, January 2017- July 2017; former Director, Robina Foundation, 2009-2020 (Chair, 2014-2020); Director, Richard M. Schulze Family Foundation, since 2021 |
Compliance, Contracts, Investment Review Committee |
Pamela G. Carlton c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1954 |
Chair since 2023; Trustee since 2007 |
President, Springboard- Partners in Cross Cultural Leadership (consulting company), since 2003; Managing Director of US Equity Research, JP Morgan Chase, 1999-2003; Director of US Equity Research, Chase Asset Management, 1996- 1999; Co-Director Latin America Research, 1993-1996, COO Global Research, 1992-1996, Co-Director of US Research, 1991-1992, Investment Banker, 1982-1991, Morgan Stanley; Attorney, Cleary Gottlieb Steen & Hamilton LLP, 1980-1982 |
161 |
Trustee, New York Presbyterian Hospital Board, since 1996; Director, DR Bank (Audit Committee, since 2017 and Audit Committee Chair since November 2023); Director, Evercore Inc. (Audit Committee, Nominating and Governance Committee) (financial services company), since 2019; Director, Apollo Commercial Real Estate Finance, Inc. (Chair, Nominating and Governance Committee), since 2021; the Governing Council of the Independent Directors Council (IDC), since 2021 |
Contracts, Board Governance, Investment Review Committee |
Janet Langford Carrig c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1957 |
Trustee since 1996 |
Senior Vice President, General Counsel and Corporate Secretary, ConocoPhillips (independent energy company), September 2007-October 2018 |
161 |
Director, EQT Corporation (natural gas producer), since 2019; former Director, Whiting Petroleum Corporation (independent oil and gas company), 2020- 2022 |
Contracts, Board Governance, Investment Review Committee |
Name, Address, Year of Birth |
Position Held with the Columbia Funds and Length of Service |
Principal Occupation(s) During the Past Five Years and Other Relevant Professional Experience |
Number of Funds in the Columbia Funds Complex* Overseen |
Other Directorships Held by Trustee During the Past Five Years and Other Relevant Board Experience |
Committee Assignments |
J. Kevin Connaughton c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1964 |
Trustee since 2020 |
CEO and President, RhodeWay Financial (non-profit financial planning firm), since December 2022; Member, FINRA National Adjudicatory Council, January 2020-December 2023; Adjunct Professor of Finance, Bentley University, January 2018-April 2023; Consultant to Independent Trustees of CFVIT and CFST I from March 2016 to June 2020 with respect to CFVIT and to December 2020 with respect to CFST I; Managing Director and General Manager of Mutual Fund Products, Columbia Management Investment Advisers, LLC, May 2010- February 2015; President, Columbia Funds, 2008-2015; and senior officer of Columbia Funds and affiliated funds, 2003-2015 |
159 |
Former Director, The Autism Project, March 2015-December 2021; former Member of the Investment Committee, St. Michael’s College, November 2015- February 2020; former Trustee, St. Michael’s College, June 2017- September 2019; former Trustee, New Century Portfolios (former mutual fund complex), January 2015-December 2017 |
Audit, Contracts, Investment Review Committee |
Olive M. Darragh c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1962 |
Trustee since 2020 |
Managing Director of Darragh Inc. (strategy and talent management consulting firm), since 2010; Founder and CEO, Zolio, Inc. (investment management talent identification platform), since 2004; Consultant to Independent Trustees of CFVIT and CFST I from June 2019 to June 2020 with respect to CFVIT and to December 2020 with respect to CFST I; Partner, Tudor Investments, 2004- 2010; Senior Partner, McKinsey & Company (consulting), 1990-2004; Touche Ross CPA, 1985-1988 |
159 |
Treasurer, Edinburgh University US Trust Board, since January 2023; Member, HBS Community Action Partners Board, since September 2022; former Director, University of Edinburgh Business School (Member of US Board), 2004-2019; former Director, Boston Public Library Foundation, 2008-2017 |
Contracts, Investment Review Committee |
Patricia M. Flynn c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1950 |
Trustee since 2004 |
Professor Emeritus of Economics and Management, Bentley University, since 2023; Professor of Economics and Management, Bentley University, 1976-2023; Dean, McCallum Graduate School of Business, Bentley University, 1992-2002 |
161 |
Former Trustee, MA Taxpayers Foundation, 1997-2022; former Director, The MA Business Roundtable, 2003-2019; former Chairperson, Innovation Index Advisory Committee, MA Technology Collaborative, 1997- 2020 |
Audit, Contracts, Investment Review Committee |
Name, Address, Year of Birth |
Position Held with the Columbia Funds and Length of Service |
Principal Occupation(s) During the Past Five Years and Other Relevant Professional Experience |
Number of Funds in the Columbia Funds Complex* Overseen |
Other Directorships Held by Trustee During the Past Five Years and Other Relevant Board Experience |
Committee Assignments |
Brian J. Gallagher c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1954 |
Trustee since 2017 |
Retired; Partner with Deloitte & Touche LLP and its predecessors, 1977-2016 |
161 |
Trustee, Catholic Schools Foundation, since 2004 |
Audit, Contracts, Investment Review Committee |
Douglas A. Hacker c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1955 |
Trustee since 1996 |
Independent business executive, since May 2006; Executive Vice President – Strategy of United Airlines, December 2002-May 2006; President of UAL Loyalty Services (airline marketing company), September 2001- December 2002; Executive Vice President and Chief Financial Officer of United Airlines, July 1999-September 2001 |
161 |
Director, SpartanNash Company (food distributor), since November 2013 (Chair of the Board since May 2021); Director, Aircastle Limited (aircraft leasing), since August 2006 (Chair of Audit Committee); former Director, Nash Finch Company (food distributor), 2005-2013; former Director, SeaCube Container Leasing Ltd. (container leasing), 2010-2013; and former Director, Travelport Worldwide Limited (travel information technology), 2014-2019 |
Audit, Contracts, Board Governance, Investment Review Committee |
Nancy T. Lukitsh c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1956 |
Trustee since 2011 |
Senior Vice President, Partner and Director of Marketing, Wellington Management Company, LLP (investment adviser), 1997-2010; Chair, Wellington Management Portfolios (commingled non- U.S. investment pools), 2007 -2010; Director, Wellington Trust Company, NA and other Wellington affiliates, 1997- 2010 |
159 |
None |
Compliance, Contracts, Board Governance, Investment Review Committee |
Name, Address, Year of Birth |
Position Held with the Columbia Funds and Length of Service |
Principal Occupation(s) During the Past Five Years and Other Relevant Professional Experience |
Number of Funds in the Columbia Funds Complex* Overseen |
Other Directorships Held by Trustee During the Past Five Years and Other Relevant Board Experience |
Committee Assignments |
David M. Moffett c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1952 |
Trustee since 2011 |
Retired; former Chief Executive Officer of Freddie Mac and Chief Financial Officer of U.S. Bank |
161 |
Director, CSX Corporation (transportation suppliers); Director, PayPal Holdings Inc. (payment and data processing services); former Director, eBay Inc. (online trading community), 2007- 2015; and former Director, CIT Bank, CIT Group Inc. (commercial and consumer finance), 2010-2016; former Senior Adviser to The Carlyle Group (financial services), March 2008- September 2008; former Governance Consultant to Bridgewater Associates (investment company), January 2013- December 2015 |
Audit, Contracts, Investment Review Committee |
Catherine James Paglia c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1952 |
Trustee since 2004 |
Director, Enterprise Asset Management, Inc. (private real estate and asset management company), since September 1998; Managing Director and Partner, Interlaken Capital, Inc., 1989-1997; Vice President, 1982-1985, Principal, 1985-1987, Managing Director, 1987- 1989, Morgan Stanley; Vice President, Investment Banking, 1980-1982, Associate, Investment Banking, 1976- 1980, Dean Witter Reynolds, Inc. |
161 |
Director, Valmont Industries, Inc. (irrigation systems manufacturer), since 2012; Trustee, Carleton College (on the Investment Committee), since 1987; Trustee, Carnegie Endowment for International Peace (on the Investment Committee), since 2009 |
Compliance, Contracts, Board Governance, Investment Review Committee |
Name, Address, Year of Birth |
Position Held with the Columbia Funds and Length of Service |
Principal Occupation(s) During the Past Five Years and Other Relevant Professional Experience |
Number of Funds in the Columbia Funds Complex* Overseen |
Other Directorships Held by Trustee During the Past Five Years and Other Relevant Board Experience |
Committee Assignments |
Natalie A. Trunow c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1967 |
Trustee since 2020 |
Chief Executive Officer, Millennial Portfolio Solutions LLC (asset management and consulting services) January 2016-January 2021; Non- executive Member of the Investment Committee and Valuation Committee, Sarona Asset Management Inc. (private equity firm) since September 2019; Advisor, Horizon Investments (asset management and consulting services), August 2018- January 2022; Advisor, Paradigm Asset Management, November 2016-January 2022; Consultant to Independent Trustees of CFVIT and CFST I from September 2016 to June 2020 with respect to CFVIT and to December 2020 with respect to CFST I; Director of Investments/Consultant, Casey Family Programs, April 2016-November 2016; Senior Vice President and Chief Investment Officer, Calvert Investments, August 2008- January 2016; Section Head and Portfolio Manager, General Motors Asset Management, June 1997-August 2008 |
159 |
Independent Director, (Investment Committee), Health Services for Children with Special Needs, Inc., 2010-2021; Independent Director, (Executive Committee and Chair, Audit Committee), Consumer Credit Counseling Services (formerly Guidewell Financial Solutions), since 2016; Independent Director (Investment Committee), Sarona Asset Management, since 2019 |
Compliance, Contracts, Investment Review Committee |
Sandra L. Yeager c/o Columbia Management Investment Advisers, LLC, 290 Congress Street Boston, MA 02210 1964 |
Trustee since 2017 |
Retired; President and founder, Hanoverian Capital, LLC (SEC registered investment advisor firm), 2008-2016; Managing Director, DuPont Capital, 2006- 2008; Managing Director, Morgan Stanley Investment Management, 2004-2006; Senior Vice President, Alliance Bernstein, 1990-2004 |
161 |
Former Director, NAPE (National Alliance for Partnerships in Equity) Education Foundation, October 2016-October 2020; Advisory Board, Jennersville YMCA, June 2022-June 2023 |
Audit, Contracts, Investment Review Committee |
Name, Address, Year of Birth |
Position Held with the Columbia Funds and Length of Service |
Principal Occupation(s) During the Past Five Years and Other Relevant Professional Experience |
Number of Funds in the Columbia Funds Complex* Overseen |
Other Directorships Held by Trustee During the Past Five Years and Other Relevant Board Experience |
Committee Assignments |
Daniel J. Beckman c/o Columbia Management Investment Advisers, LLC 290 Congress Street Boston, MA 02210 1962 |
Trustee since November 2021 and President since June 2021 |
President and Principal Executive Officer of the Columbia Funds, since June 2021; Vice President, Columbia Management Investment Advisers, LLC, since April 2015; formerly, Vice President – Head of North America Product, Columbia Management Investment Advisers, LLC, April 2015 – December 2023; President and Principal Executive Officer, Columbia Acorn/Wanger Funds, since July 2021 |
161 |
Director, Ameriprise Trust Company, since October 2016; Director, Columbia Management Investment Distributors, Inc., since November 2018; Board of Governors, Columbia Wanger Asset Management, LLC, since January 2022 |
None |
Name, Address and Year of Birth |
Position and Year First Appointed to Position for any Fund in the Columbia Funds Complex or a Predecessor Thereof |
Principal Occupation(s) During Past Five Years |
Michael G. Clarke 290 Congress Street Boston, MA 02210 1969 |
Chief Financial Officer and Principal Financial Officer (2009); Senior Vice President (2019) and Treasurer and Chief Accounting Officer (Principal Accounting Officer) (2024) for CFST, CFST I, CFST II, CFVIT and CFVST II |
Senior Vice President and North America Head of Operations & Investor Services, Columbia Management Investment Advisers, LLC, since June 2023 (previously Senior Vice President and Head of Global Operations & Investor Services, March 2022 - June 2023, Vice President, Head of North America Operations, and Co- Head of Global Operations, June 2019 - February 2022 and Vice President – Accounting and Tax, May 2010 - May 2019); senior officer of Columbia Funds and affiliated funds, since 2002. Director, Ameriprise Trust Company, since June 2023. |
Marybeth Pilat 290 Congress Street Boston, MA 02210 1968 |
Treasurer and Chief Accounting Officer (Principal Accounting Officer) and Principal Financial Officer (2020) for CET I and CET II; Assistant Treasurer, CFST, CFST I, CFST II, CFVIT and CFVST II |
Vice President – Product Pricing and Administration, Columbia Management Investment Advisers, LLC, since May 2017. |
Name, Address and Year of Birth |
Position and Year First Appointed to Position for any Fund in the Columbia Funds Complex or a Predecessor Thereof |
Principal Occupation(s) During Past Five Years |
William F. Truscott 290 Congress Street Boston, MA 02210 1960 |
Senior Vice President (2001) |
Formerly, Trustee/Director of Columbia Funds Complex or legacy funds, November 2001 - January 1, 2021; Chief Executive Officer, Global Asset Management, Ameriprise Financial, Inc., since September 2012; Chairman of the Board and President, Columbia Management Investment Advisers, LLC, since July 2004 and February 2012, respectively; Chairman of the Board and Chief Executive Officer, Columbia Management Investment Distributors, Inc., since November 2008 and February 2012, respectively; Chairman of the Board and Director, TAM UK International Holdings Limited, since July 2021; formerly Chairman of the Board and Director, Threadneedle Asset Management Holdings, Sàrl, March 2013 – December 2022 and December 2008 – December 2022, respectively; senior executive of various entities affiliated with Columbia Threadneedle Investments. |
Christopher O. Petersen 5228 Ameriprise Financial Center Minneapolis, MN 55474 1970 |
Senior Vice President and Assistant Secretary (2021) |
Formerly, Trustee/Director of funds within the Columbia Funds Complex, July 1, 2020 - November 22, 2021; Senior Vice President and Assistant General Counsel, Ameriprise Financial, Inc., since September 2021 (previously Vice President and Lead Chief Counsel, January 2015 - September 2021); formerly, President and Principal Executive Officer of the Columbia Funds, 2015 - 2021; officer of Columbia Funds and affiliated funds, since 2007. |
Thomas P. McGuire 290 Congress Street Boston, MA 02210 1972 |
Senior Vice President and Chief Compliance Officer (2012) |
Vice President – Asset Management Compliance, Ameriprise Financial, Inc., since May 2010; Chief Compliance Officer, Columbia Acorn/Wanger Funds, since December 2015; formerly, Chief Compliance Officer, Ameriprise Certificate Company, September 2010 - September 2020. |
Ryan C. Larrenaga 290 Congress Street Boston, MA 02210 1970 |
Senior Vice President (2017), Chief Legal Officer (2017) and Secretary (2015) |
Vice President and Chief Counsel, Ameriprise Financial, Inc. since August 2018 (previously Vice President and Group Counsel, August 2011 - August 2018); Chief Legal Officer, Columbia Acorn/Wanger Funds, since September 2020; officer of Columbia Funds and affiliated funds since 2005. |
Michael E. DeFao 290 Congress Street Boston, MA 02210 1968 |
Vice President (2011) and Assistant Secretary (2010) |
Vice President and Chief Counsel, Ameriprise Financial, Inc., since May 2010; Vice President, Chief Legal Officer and Assistant Secretary, Columbia Management Investment Advisers, LLC, since October 2021 (previously Vice President and Assistant Secretary, May 2010 - September 2021). |
Lyn Kephart-Strong 5903 Ameriprise Financial Center Minneapolis, MN 55474 1960 |
Vice President (2015) |
Vice President, Global Investment Operations Services, Columbia Management Investment Advisers, LLC, since 2010; Director (since January 2007) and President (since October 2014), Columbia Management Investment Services Corp.; Director (since December 2017) and President (since January 2017), Ameriprise Trust Company. |
Fiscal Period |
Audit Committee |
Compliance Committee |
Contracts Committee |
Board Governance Committee |
Investment Review Committee |
For the fiscal year ending March 31, 2023 |
4 |
4 |
6 |
7 |
5 |
For the fiscal year ending October 31, 2023 |
5 |
4 |
5 |
6 |
5 |
For the fiscal year ending December 31, 2023 |
5 |
5 |
5 |
5 |
5 |
|
Batejan |
Blatz |
Carlton |
Carrig |
Connaughton |
Darragh |
Flynn |
Diversified Fixed Income Allocation ETF |
A |
A |
A |
A |
D |
A |
A |
EM Core ex-China ETF |
A |
A |
A |
A |
A |
A |
A |
India Consumer ETF |
A |
A |
A |
A |
A |
A |
A |
International Equity Income ETF |
A |
A |
A |
A |
A |
A |
A |
Multi-Sector Municipal Income ETF |
A |
A |
A |
A |
A |
A |
A |
Research Enhanced Core ETF |
A |
A |
A |
A |
A |
A |
A |
Research Enhanced Emerging Economies ETF |
D |
A |
A |
A |
A |
A |
A |
Research Enhanced Real Estate ETF |
A |
A |
A |
A |
A |
A |
A |
Research Enhanced Value ETF |
A |
A |
A |
A |
A |
A |
A |
Seligman Semiconductor and Technology ETF |
A |
A |
A |
A |
C |
A |
A |
Short Duration Bond ETF |
A |
A |
A |
A |
A |
A |
A |
U.S. Equity Income ETF |
A |
A |
A |
A |
A |
A |
A |
Aggregate Dollar Range of Equity Securities in all Funds in the Columbia Funds Complex Overseen by the Trustee |
E(a) |
E |
E(a) |
E(a) |
E |
E(a) |
E(a) |
|
Gallagher |
Hacker |
Lukitsh |
Moffett |
Paglia |
Trunow |
Yeager |
Diversified Fixed Income Allocation ETF |
A |
A |
A |
A |
A |
A |
A |
EM Core ex-China ETF |
A |
A |
A |
A |
C |
A |
A |
India Consumer ETF |
A |
A |
A |
A |
C |
A |
A |
International Equity Income ETF |
A |
A |
A |
A |
A |
A |
A |
Multi-Sector Municipal Income ETF |
A |
A |
A |
A |
A |
A |
A |
Research Enhanced Core ETF |
A |
A |
A |
A |
C |
A |
A |
Research Enhanced Emerging Economies ETF |
A |
A |
A |
A |
A |
A |
A |
Research Enhanced Real Estate ETF |
A |
A |
A |
A |
A |
A |
A |
Research Enhanced Value ETF |
A |
A |
A |
A |
A |
A |
A |
Seligman Semiconductor and Technology ETF |
A |
A |
A |
A |
C |
A |
A |
Short Duration Bond ETF |
A |
A |
A |
A |
A |
A |
A |
U.S. Equity Income ETF |
A |
A |
A |
A |
A |
A |
A |
Aggregate Dollar Range of Equity Securities in all Funds in the Columbia Funds Complex Overseen by the Trustee |
E(a) |
E |
E |
E(a) |
E(a) |
E(a) |
E(a) |
|
Beckman |
Diversified Fixed Income Allocation ETF |
B |
EM Core ex-China ETF |
A |
India Consumer ETF |
A |
International Equity Income ETF |
C |
Multi-Sector Municipal Income ETF |
A |
Research Enhanced Core ETF |
C |
Research Enhanced Emerging Economies ETF |
A |
Research Enhanced Real Estate ETF |
A |
Research Enhanced Value ETF |
C |
Seligman Semiconductor and Technology ETF |
C |
Short Duration Bond ETF |
A |
U.S. Equity Income ETF |
C |
Aggregate Dollar Range of Equity Securities in all Funds in the Columbia Funds Complex Overseen by the Trustee |
E(a) |
Trustees |
Total Cash Compensation from the Columbia Funds Complex Paid to Trustee(a) |
Amount Deferred from Total Compensation(b) |
George S. Batejan |
$469,000 |
$23,450 |
Kathleen Blatz |
$481,000 |
$0 |
Pamela G. Carlton |
$560,000 |
$0 |
Janet Langford Carrig |
$484,000 |
$484,000 |
J. Kevin Connaughton |
$489,000 |
$0 |
Olive M. Darragh |
$474,000 |
$94,800 |
Patricia M. Flynn |
$451,000 |
$0 |
Brian J. Gallagher |
$499,000 |
$249,500 |
Douglas A. Hacker |
$466,000 |
$0 |
Nancy T. Lukitsh |
$471,000 |
$0 |
David M. Moffett |
$456,000 |
$0 |
Catherine James Paglia |
$466,000 |
$0 |
Natalie A. Trunow |
$456,000 |
$228,000 |
Sandra L. Yeager |
$484,000 |
$242,000 |
Fund |
Aggregate Compensation from Fund Independent Trustees | |||||||
Batejan(a) |
Blatz |
Carlton(b) |
Carrig(c) |
Connaughton |
Darragh(d) |
Flynn(e) |
Gallagher(f) | |
For Funds with fiscal period ending March 31 | ||||||||
EM Core ex-China ETF |
$1,025 |
$990 |
$1,099 |
$1,083 |
$1,089 |
$1,057 |
$973 |
$1,052 |
Amount Deferred |
$51 |
$0 |
$79 |
$1,083 |
$0 |
$445 |
$0 |
$526 |
India Consumer ETF |
$991 |
$956 |
$1,061 |
$1,047 |
$1,053 |
$1,022 |
$941 |
$1,016 |
Amount Deferred |
$50 |
$0 |
$78 |
$1,047 |
$0 |
$434 |
$0 |
$508 |
Research Enhanced Emerging Economies ETF |
$1,011 |
$976 |
$1,082 |
$1,068 |
$1,074 |
$1,043 |
$960 |
$1,036 |
Amount Deferred |
$51 |
$0 |
$79 |
$1,068 |
$0 |
$443 |
$0 |
$518 |
For Funds with fiscal period ending October 31 | ||||||||
Diversified Fixed Income Allocation ETF |
$1,378 |
$1,407 |
$1,647 |
$1,443 |
$1,484 |
$1,422 |
$1,342 |
$1,475 |
Amount Deferred |
$69 |
$0 |
$31 |
$1,443 |
$0 |
$370 |
$0 |
$738 |
Multi-Sector Municipal Income ETF |
$1,191 |
$1,217 |
$1,423 |
$1,243 |
$1,284 |
$1,230 |
$1,161 |
$1,276 |
Amount Deferred |
$60 |
$0 |
$23 |
$1,243 |
$0 |
$310 |
$0 |
$638 |
Research Enhanced Core ETF |
$1,024 |
$1,048 |
$1,224 |
$1,070 |
$1,105 |
$1,057 |
$999 |
$1,098 |
Amount Deferred |
$51 |
$0 |
$20 |
$1,070 |
$0 |
$266 |
$0 |
$549 |
Research Enhanced Value ETF |
$917 |
$937 |
$1,096 |
$959 |
$989 |
$947 |
$894 |
$983 |
Amount Deferred |
$46 |
$0 |
$19 |
$959 |
$0 |
$241 |
$0 |
$491 |
International Equity Income ETF |
$904 |
$923 |
$1,079 |
$944 |
$974 |
$933 |
$880 |
$968 |
Amount Deferred |
$45 |
$0 |
$19 |
$944 |
$0 |
$238 |
$0 |
$484 |
U.S. Equity Income ETF |
$943 |
$963 |
$1,126 |
$985 |
$1,016 |
$973 |
$919 |
$1,010 |
Amount Deferred |
$47 |
$0 |
$19 |
$985 |
$0 |
$248 |
$0 |
$505 |
Short Duration Bond ETF |
$946 |
$967 |
$1,130 |
$989 |
$1,020 |
$977 |
$922 |
$1,013 |
Amount Deferred |
$47 |
$0 |
$20 |
$989 |
$0 |
$249 |
$0 |
$507 |
Seligman Semiconductor and Technology ETF |
$916 |
$936 |
$1,094 |
$957 |
$987 |
$945 |
$892 |
$981 |
Amount Deferred |
$46 |
$0 |
$19 |
$957 |
$0 |
$241 |
$0 |
$490 |
For Funds with fiscal period ending December 31 | ||||||||
Research Enhanced Real Estate ETF |
$607 |
$629 |
$723 |
$629 |
$646 |
$626 |
$589 |
$646 |
Amount Deferred |
$30 |
$0 |
$0 |
$629 |
$0 |
$125 |
$0 |
$323 |
Fund |
Aggregate Compensation from Fund Independent Trustees | ||||||
Hacker |
Lukitsh |
Moffett(a) |
Paglia(b) |
Shaw(c) |
Trunow(d) |
Yeager(e) | |
For Funds with fiscal period ending March 31 | |||||||
EM Core ex-China ETF |
$1,096 |
$1,024 |
$975 |
$1,096 |
$742 |
$1,005 |
$1,057 |
Amount Deferred |
$0 |
$0 |
$718 |
$417 |
$371 |
$712 |
$529 |
India Consumer ETF |
$1,061 |
$991 |
$942 |
$1,061 |
$728 |
$972 |
$1,022 |
Amount Deferred |
$0 |
$0 |
$705 |
$409 |
$364 |
$692 |
$511 |
Research Enhanced Emerging Economies ETF |
$1,083 |
$1,011 |
$961 |
$1,083 |
$744 |
$992 |
$1,043 |
Amount Deferred |
$0 |
$0 |
$720 |
$419 |
$372 |
$706 |
$521 |
For Funds with fiscal period ending October 31 | |||||||
Diversified Fixed Income Allocation ETF |
$1,382 |
$1,404 |
$1,379 |
$1,365 |
$285 |
$1,370 |
$1,439 |
Amount Deferred |
$0 |
$0 |
$277 |
$141 |
$142 |
$765 |
$720 |
Multi-Sector Municipal Income ETF |
$1,195 |
$1,215 |
$1,193 |
$1,179 |
$213 |
$1,183 |
$1,246 |
Amount Deferred |
$0 |
$0 |
$207 |
$105 |
$106 |
$651 |
$623 |
Research Enhanced Core ETF |
$1,029 |
$1,046 |
$1,027 |
$1,014 |
$183 |
$1,018 |
$1,072 |
Amount Deferred |
$0 |
$0 |
$178 |
$91 |
$92 |
$560 |
$536 |
Research Enhanced Value ETF |
$921 |
$935 |
$919 |
$909 |
$173 |
$912 |
$959 |
Amount Deferred |
$0 |
$0 |
$168 |
$86 |
$87 |
$504 |
$480 |
International Equity Income ETF |
$907 |
$921 |
$905 |
$895 |
$171 |
$898 |
$945 |
Amount Deferred |
$0 |
$0 |
$166 |
$84 |
$85 |
$497 |
$472 |
U.S. Equity Income ETF |
$946 |
$961 |
$944 |
$934 |
$177 |
$937 |
$986 |
Amount Deferred |
$0 |
$0 |
$172 |
$88 |
$89 |
$518 |
$493 |
Short Duration Bond ETF |
$949 |
$965 |
$947 |
$937 |
$179 |
$940 |
$989 |
Amount Deferred |
$0 |
$0 |
$174 |
$88 |
$89 |
$520 |
$495 |
Seligman Semiconductor and Technology ETF |
$919 |
$934 |
$917 |
$907 |
$172 |
$910 |
$957 |
Amount Deferred |
$0 |
$0 |
$167 |
$85 |
$86 |
$503 |
$479 |
For Funds with fiscal period ending December 31 | |||||||
Research Enhanced Real Estate ETF |
$607 |
$629 |
$609 |
$607 |
N/A |
$609 |
$626 |
Amount Deferred |
$0 |
$0 |
$0 |
$0 |
N/A |
$304 |
$313 |
|
Total Brokerage Commissions | ||
Fund |
2023 |
2022 |
2021 |
For Funds with fiscal period ending March 31 | |||
EM Core ex-China ETF |
$36,484 |
$19,373 |
$4,397 |
India Consumer ETF |
12,208 |
24,012 |
12,279 |
Research Enhanced Emerging Economies ETF |
28,840 |
45,911 |
48,802 |
For Funds with fiscal period ending October 31 | |||
Diversified Fixed Income Allocation ETF |
0 |
0 |
0 |
International Equity Income ETF |
4,923 |
4,856 |
2,521 |
|
Total Brokerage Commissions | ||
Fund |
2023 |
2022 |
2021 |
Multi-Sector Municipal Income ETF |
$0 |
$0 |
$0 |
Research Enhanced Core ETF |
15,365 |
4,825 |
7,483 |
Research Enhanced Value ETF |
4,621 |
3,313 |
1,145 |
Seligman Semiconductor and Technology ETF |
3,563 |
1,269(a) |
N/A |
Short Duration Bond ETF |
0 |
0 |
0(b) |
U.S. Equity Income ETF |
9,382 |
14,504 |
1,821 |
For Funds with fiscal period ending December 31 | |||
Research Enhanced Real Estate ETF |
34(c) |
N/A |
N/A |
|
Brokerage directed for research | |
Fund |
Amount of Transactions |
Amount of Commissions Imputed or Paid |
For Funds with fiscal period ending March 31 | ||
EM Core ex-China ETF |
$0 |
$0 |
India Consumer ETF |
0 |
0 |
Research Enhanced Emerging Economies ETF |
0 |
0 |
For Funds with fiscal period ending October 31 | ||
Diversified Fixed Income Allocation ETF |
0 |
0 |
International Equity Income ETF |
0 |
0 |
Multi-Sector Municipal Income ETF |
0 |
0 |
Research Enhanced Core ETF |
0 |
0 |
Research Enhanced Value ETF |
0 |
0 |
Seligman Semiconductor and Technology ETF |
4,962,315 |
1,227 |
Short Duration Bond ETF |
0 |
0 |
U.S. Equity Income ETF |
0 |
0 |
For Funds with fiscal period ending December 31 | ||
Research Enhanced Real Estate ETF(a) |
0 |
0 |
Fund |
Issuer |
Value of securities owned at end of fiscal period |
For Funds with fiscal period ending March 31, 2023 | ||
EM Core ex-China ETF |
None |
N/A |
India Consumer ETF |
None |
N/A |
Research Enhanced Emerging Economies ETF |
None |
N/A |
For Funds with fiscal period ending October 31, 2023 | ||
Diversified Fixed Income Allocation ETF |
Barclays PLC |
$641,225 |
Citigroup Global Markets |
$466,310 | |
Morgan Stanley |
$491,776 |
Fund |
Issuer |
Value of securities owned at end of fiscal period |
International Equity Income ETF |
None |
N/A |
Multi-Sector Municipal Income ETF |
None |
N/A |
Research Enhanced Core ETF |
Citigroup Global Markets |
$1,078,353 |
Goldman Sachs Group, Inc. (The) |
$1,367,156 | |
J.P. Morgan Securities LLC |
$5,546,269 | |
Morgan Stanley |
$1,173,346 | |
Virtu Americas LLC |
$22,983 | |
Wells Fargo Securities, LLC |
$2,062,234 | |
Research Enhanced Value ETF |
Citigroup Global Markets |
$184,537 |
Goldman Sachs Group, Inc. (The) |
$233,780 | |
J.P. Morgan Securities LLC |
$899,301 | |
Morgan Stanley |
$200,846 | |
Virtu Americas LLC |
$3,975 | |
Wells Fargo Securities, LLC |
$352,959 | |
Seligman Semiconductor and Technology ETF |
None |
N/A |
Short Duration Bond ETF |
Barclays Plc |
$190,864 |
Citigroup, Inc. |
$186,767 | |
Goldman Sachs Group, Inc. (The) |
$78,905 | |
Morgan Stanley |
$117,248 | |
U.S. Equity Income ETF |
None |
N/A |
For Funds with fiscal period ending December 31, 2023 | ||
Research Enhanced Real Estate ETF |
None |
N/A |
Identity of Recipient |
|
Conditions/restrictions on use of information |
|
Frequency of Disclosure |
Recipients under arrangements with the Funds or Investment Manager: |
|
| ||
Abel Noser |
|
Used for evaluating and assessing trading activity, execution and practices. |
|
Quarterly |
Identity of Recipient |
|
Conditions/restrictions on use of information |
|
Frequency of Disclosure |
Allvue Systems Company |
|
Used for front office trading, bank loan analytics, and compliance. |
|
Daily |
Axioma Inc. |
|
Used as a hosted risk analytics platform designed for research, portfolio holdings, investment oversight and strategy development. |
|
Daily |
Bank of New York Mellon |
|
Used as the accounting system of record for ETFs. |
|
Daily |
BlackRock, Inc. |
|
Used for front office trading and analytics, back office settlements, portfolio accounting and reconciliations, collateral management, portfolio risk oversight, compliance mandate monitoring and portfolio performance calculations. |
|
Daily |
Bloomberg Finance L.P. |
|
Used for portfolio analytics, statistical analysis and independent research. Used for executing cleared swaps electronically. Used for executing fixed income trades. Used for evaluating and assessing trading activity, execution and practices in respect of market abuse regulatory requirements. |
|
Daily |
Bolger, Inc. |
|
Used for commercial printing. |
|
As Needed |
Bond Connect Company Limited |
|
Used for executing Chinese fixed income trades. |
|
Ad Hoc |
Boston Investors Communications Group, LLC |
|
Used for writing services that require disclosing portfolio holdings in advance of their dissemination to the general public. |
|
As Needed |
Capital Markets Services Group |
|
Used for intraday post-trade information when equity exposures (either via futures or options trades) are modified beyond certain limits for certain Funds. |
|
As Needed |
Castine LLC |
|
Used for facilitating the evaluation of commission rates and providing flexible commission reporting. |
|
Daily |
Catapult ME, Inc. |
|
Used for commercial printing. |
|
As Needed |
Citigroup, Inc. |
|
Used for mortgage decision support. |
|
Daily |
Compliance Solutions Strategies LLC |
|
Used for reporting returns and analytics to client facing materials. Used for data storage and as a transformation solution to support Enhanced Client Regulatory Reporting and Fund Detail reporting. Used as a form reporting solution to support the Alternative Investment Fund Managers Directive and Money Market Funds Regulation quarterly reporting obligations. Used as a data dissemination service to support the dissemination of industry standard templates to entities authorized by Columbia Threadneedle Investments. |
|
Monthly or Quarterly |
Deloitte Haskins & Sells, LLP |
|
Used for calculating foreign capital gains tax accruals irrespective of the tax lot relief method. |
|
Weekly |
Identity of Recipient |
|
Conditions/restrictions on use of information |
|
Frequency of Disclosure |
Donnelley Financial Solutions |
|
Used for providing EDGAR filing and typesetting services, and printing of prospectuses, factsheets, annual and semi-annual reports. |
|
As Needed |
DS Graphics, Inc. |
|
Used for printing of prospectuses, factsheets, annual and semi-annual reports. |
|
As Needed |
Depository Trust & Clearing Corporation |
|
Used for providing trade allocation and acceptance services. |
|
Daily |
Elevation Exhibits & Events |
|
Used for trade show exhibits. |
|
As Needed |
Equifax, Inc. |
|
Used for ensuring Columbia Management does not violate the Office of Foreign Assets Control sanction requirements. |
|
Daily |
Ernst & Young, LLP |
|
Used for analyzing passive foreign investment company investments. |
|
Monthly |
FactSet Research Systems, Inc. |
|
Used for calculating portfolio performance attribution, portfolio analytics, data for fundamental research, and general market news and analysis. Used for executing equity and convertible trades. |
|
Daily |
Fidelity National Information Services, Inc. |
|
Used as a portfolio accounting system. |
|
Daily |
FMR LLC |
|
Used for advertising review. |
|
Daily |
Harte-Hanks, Inc. |
|
Used for printing of prospectuses, factsheets, annual and semi-annual reports. |
|
As Needed |
ICE Data Indices, LLC |
|
Used for calculation and dissemination of ETF IIVs. |
|
Daily |
Institutional Shareholder Services Inc. |
|
Used for proxy voting administration and research on proxy matters. |
|
Daily |
Intex Solutions Inc. |
|
Used for providing mortgage analytics. |
|
As Needed |
Investment Company Institute |
|
Disclosure of Form N-PORT data. |
|
As Needed |
Investortools, Inc. |
|
Used for municipal bond analytics, research, and decision support. |
|
As Needed |
JDP Marketing Services |
|
Used for writing Columbia Funds shareholder reports, quarterly fund commentaries and communications, including shareholder letters and management’s discussion of Columbia Funds’ performance. |
|
As Needed |
John Roberts, Inc. |
|
Used for commercial printing. |
|
As Needed |
Kessler Topaz Meltzer & Check, LLP |
|
Used for monitoring eligibility to participate in global litigation matters. |
|
Monthly |
Kynex, Inc. |
|
Used for providing portfolio attribution reports for Convertible Securities Fund. Used for portfolio analytics. |
|
Daily |
MarketAxess |
|
Used for executing fixed income trades. |
|
Daily |
Merrill Corporation |
|
Used for printing of prospectuses, factsheets, annual and semi-annual reports. |
|
As Needed |
Morningstar Investment Services, LLC |
|
Used for independent research and ranking of funds. Used for statistical analysis. |
|
As Needed |
Identity of Recipient |
|
Conditions/restrictions on use of information |
|
Frequency of Disclosure |
R. R. Donnelley & Sons Co. |
|
Used for printing of prospectuses, factsheets, annual and semi-annual reports. Used for commercial printing. |
|
As Needed |
Refinitiv |
|
Used for executing foreign currency exchange orders. Used for executing fixed income trades. |
|
Daily |
RegEd, Inc. |
|
Used for reviewing external and certain internal communications prior to dissemination. |
|
Daily |
SIX Group Services Ltd. |
|
Used as a trade repository authorized by the Swiss regulator to submit holdings supporting the SIX Financial Market Infrastructure Act derivative reporting requirement. |
|
Daily |
S.W.I.F.T. Scrl. |
|
Used for sending trade messages via SWIFT to custodian. |
|
Daily |
Taylor Impressions |
|
Used for commercial printing. |
|
As Needed |
TC ICAP |
|
Used for executing equity and fixed income trades. |
|
Daily |
Thomson Reuters Corp. |
|
Used for statistical analysis. |
|
As Needed |
Trepp, Inc. |
|
Used for insights about commercial mortgage-backed securities mortgage bonds. |
|
Daily |
Trumid Holdings, LLC |
|
Used for executing fixed income trades. |
|
Ad Hoc |
Virtu Financial |
|
Used for executing equity trades. |
|
Daily |
Visions, Inc. |
|
Used for commercial printing. |
|
As Needed |
Wilshire Associates, Inc. |
|
Used for providing performance attribution reporting. |
|
Daily |
Fund |
Standard Transaction Fee |
Maximum Transaction Fee |
Variable Charge |
Diversified Fixed Income Allocation ETF |
$500 |
$2,000 |
Up to 2% |
EM Core ex-China ETF |
$2,000 |
$2,000 |
None |
India Consumer ETF |
$1,000 |
$1,000 |
Fixed $425 (Redemptions Only) |
International Equity Income ETF |
$2,000 |
$8,000 |
None |
Multi-Sector Municipal Income ETF |
$500 |
$2,000 |
Up to 2% |
Research Enhanced Core ETF |
$900 |
$2,000 |
None |
Research Enhanced Emerging Economies ETF |
$1,000 |
$1,000 |
None |
Research Enhanced Real Estate ETF |
$500 |
$2,000 |
None |
Research Enhanced Value ETF |
$650 |
$2,000 |
None |
Seligman Semiconductor and Technology ETF |
$500 |
$2,000 |
None |
Short Duration Bond ETF |
$500 |
$2,000 |
Up to 2% |
U.S. Equity Income ETF |
$500 |
$2,000 |
None |
Fund |
Total Capital Loss Carryovers |
Amount not Expiring | |
Short-term |
Long-term | ||
For Funds with fiscal period ending March 31 | |||
EM Core ex-China ETF |
$4,539,920 |
$3,222,020 |
$1,317,900 |
Research Enhanced Emerging Economies ETF |
$222,280,563 |
$5,070,768 |
$217,209,795 |
For Funds with fiscal period ending October 31 | |||
Diversified Fixed Income Allocation ETF |
$90,401,307 |
$54,663,601 |
$35,737,706 |
International Equity Income ETF |
$694,434 |
$0 |
$694,434 |
Multi-Sector Municipal Income ETF |
$3,743,459 |
$1,837,742 |
$1,905,717 |
Research Enhanced Core ETF |
$1,609,773 |
$1,399,574 |
$210,199 |
Research Enhanced Value ETF |
$2,017,333 |
$1,398,321 |
$619,012 |
Seligman Semiconductor and Technology ETF |
$232,838 |
$232,838 |
$0 |
Short Duration Bond ETF |
$2,223,127 |
$1,703,787 |
$519,340 |
U.S. Equity Income ETF |
$708,673 |
$419,408 |
$289,265 |
Name and Address |
Percentage |
CHARLES SCHWAB & CO., INC. 2423 E LINCOLN DRIVE PHOENIX, AZ 85016-1215 |
27.31% |
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD. JERSEY CITY, NJ 07310 |
19.30% |
TD AMERITRADE CLEARING, INC. 4700 ALLIANCE GATEWAY FREEWAY FORT WORTH, TX 76177 |
12.96% |
MORGAN STANLEY SMITH BARNEY LLC 1300 THAMES ST 6TH FLOOR BALTIMORE, MD 21231 |
7.69% |
Name and Address |
Percentage |
CHARLES SCHWAB & CO., INC. 2423 E LINCOLN DRIVE PHOENIX, AZ 85016-1215 |
27.54% |
MORGAN STANLEY SMITH BARNEY LLC 1300 THAMES ST 6TH FLOOR BALTIMORE, MD 21231 |
17.05% |
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD. JERSEY CITY, NJ 07310 |
9.16% |
AMERICAN ENTERPRISE INVESTMENT SERVICES 901 3RD AVE SOUTH MINNEAPOLIS, MN 55474 |
5.69% |
PERSHING LLC ONE PERSHING PLAZA JERSEY CITY, NJ 07399 |
5.21% |
Name and Address |
Percentage |
MORGAN STANLEY SMITH BARNEY LLC 1300 THAMES ST 6TH FLOOR BALTIMORE, MD 21231 |
19.51% |
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED 4804 DEERLAKE DR. E. JACKSONVILLE FL, 32246 |
15.21% |
UBS FINANCIAL SERVICES INC. 1000 HARBOR BLVD WEEHAWKEN, NJ 07086 |
14.26% |
CHARLES SCHWAB & CO., INC. 2423 E LINCOLN DRIVE PHOENIX, AZ 85016-1215 |
8.42% |
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD. JERSEY CITY, NJ 07310 |
8.00% |
BANK OF AMERICA, NA/GWIM TRUST OPERA 1201 MAIN STREET 9TH FLOOR DALLAS, TX 75202 |
5.83% |
Name and Address |
Percentage |
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION 14201 DALLAS PKWY FLOOR 12 - CORP ACTIONS DEPT DALLAS, TX 75254 |
36.34% |
AMERICAN ENTERPRISE INVESTMENT SERVICES 901 3RD AVE SOUTH MINNEAPOLIS, MN 55474 |
22.54% |
CHARLES SCHWAB & CO., INC. 2423 E LINCOLN DRIVE PHOENIX, AZ 85016-1215 |
13.52% |
MORGAN STANLEY SMITH BARNEY LLC 1300 THAMES ST 6TH FLOOR BALTIMORE, MD 21231 |
6.03% |
Name and Address |
Percentage |
LPL FINANCIAL CORPORATION 9785 TOWNE CENTRE DRIVE SAN DIEGO, CA 92121-1968 |
24.76% |
MERRILL LYNCH, PIERCE, FENNER & SMITH 4804 DEAR LAKE DR E JACKSONVILLE, FL 32246 |
16.91% |
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD. JERSEY CITY, NJ 07310 |
14.81% |
CHARLES SCHWAB & CO., INC. 2423 E LINCOLN DRIVE PHOENIX, AZ 85016-1215 |
13.02% |
Name and Address |
Percentage |
J.P. MORGAN CLEARING CORP. CORPORATE ACTIONS DEPT 14201 DALLAS PARKWAY, 12TH FL DALLAS, TX 75254 |
9.63% |
GOLDMAN, SACHS & CO. 30 HUDSON STREET PROXY DEPARTMENT JERSEY CITY, NJ 07302 |
8.22% |
Name and Address |
Percentage |
AMERICAN ENTERPRISE INVESTMENT SERVICES 901 3RD AVE SOUTH MINNEAPOLIS, MN 55474 |
34.70% |
CHARLES SCHWAB & CO., INC. 2423 E LINCOLN DRIVE PHOENIX, AZ 85016-1215 |
12.68% |
FIRST CLEARING, LLC 2801 MARKET STREET ST. LOUIS, MO 63103 |
11.25% |
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD. JERSEY CITY, NJ 07310 |
9.20% |
MORGAN STANLEY SMITH BARNEY LLC 1300 THAMES ST 6TH FLOOR BALTIMORE, MD 21231 |
5.33% |
Name and Address |
Percentage |
LPL FINANCIAL CORPORATION 9785 TOWNE CENTRE DRIVE SAN DIEGO, CA 92121-1968 |
20.70% |
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED 4804 DEERLAKE DR. E. JACKSONVILLE FL, 32246 |
16.28% |
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD. JERSEY CITY, NJ 07310 |
15.68% |
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION 14201 DALLAS PKWY FLOOR 12 - CORP ACTIONS DEPT DALLAS, TX 75254 |
10.99% |
AMERICAN ENTERPRISE INVESTMENT SERVICES 901 3RD AVE SOUTH MINNEAPOLIS, MN 55474 |
10.62% |
CHARLES SCHWAB & CO., INC. 2423 E LINCOLN DRIVE PHOENIX, AZ 85016-1215 |
8.97% |
PERSHING LLC ONE PERSHING PLAZA JERSEY CITY, NJ 07399 |
6.49% |
Name and Address |
Percentage |
LPL FINANCIAL CORPORATION 9785 TOWNE CENTRE DRIVE SAN DIEGO, CA 92121-1968 |
31.67% |
CHARLES SCHWAB & CO., INC. 2423 E LINCOLN DRIVE PHOENIX, AZ 85016-1215 |
21.00% |
PERSHING LLC ONE PERSHING PLAZA JERSEY CITY, NJ 07399 |
18.74% |
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD. JERSEY CITY, NJ 07310 |
10.62% |
Name and Address |
Percentage |
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION 14201 DALLAS PKWY FLOOR 12 - CORP ACTIONS DEPT DALLAS, TX 75254 |
46.60% |
CHARLES SCHWAB & CO., INC. 2423 E LINCOLN DRIVE PHOENIX, AZ 85016-1215 |
39.58% |
Name and Address |
Percentage |
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION 14201 DALLAS PKWY FLOOR 12 - CORP ACTIONS DEPT DALLAS, TX 75254 |
89.18% |
Name and Address |
Percentage |
SEI PRIVATE TRUST COMPANY ONE FREEDOM VALLEY DRIVE OAKS, PA 19456 |
40.92% |
CHARLES SCHWAB & CO., INC. 2423 E LINCOLN DRIVE PHOENIX, AZ 85016-1215 |
24.43% |
LPL FINANCIAL CORPORATION 9785 TOWNE CENTRE DRIVE SAN DIEGO, CA 92121-1968 |
14.29% |
NATIONAL FINANCIAL SERVICES LLC 499 WASHINGTON BLVD. JERSEY CITY, NJ 07310 |
7.01% |
Name and Address |
Percentage |
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION 14201 DALLAS PKWY FLOOR 12 - CORP ACTIONS DEPT DALLAS, TX 75254 |
64.38% |
Name and Address |
Percentage |
WELLS FARGO SECURITIES, LLC 1525 WEST W.T. HARRIS BLVD, 1B1 CHARLOTTE, NC 28262 |
18.62% |
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED 4804 DEERLAKE DR. E. JACKSONVILLE FL, 32246 |
9.20% |
CHARLES SCHWAB & CO., INC. 2423 E LINCOLN DRIVE PHOENIX, AZ 85016-1215 |
5.26% |
Long-Term Rating |
Short-Term Rating |
AAA |
F1+ |
AA+ |
F1+ |
AA |
F1+ |
AA– |
F1+ |
A+ |
F1 or F1+ |
A |
F1 or F1+ |
A– |
F2 or F1 |
BBB+ |
F2 or F1 |
BBB |
F3 or F2 |
BBB– |
F3 |
BB+ |
B |
BB |
B |
BB– |
B |
B+ |
B |
B |
B |
B– |
B |
CCC+ / CCC / CCC– |
C |
CC |
C |
C |
C |
RD / D |
RD / D |
Long-Term Rating |
Short-Term Rating |
AAA AA+ AA AA– |
K1+ |
A+ |
K1+ or K1 |
A |
K1 |
A– |
K1 or K2 |
BBB+ |
K2 |
BBB |
K2 or K3 |
BBB– |
K3 |
BB+ BB BB– B+ B B– |
B |
CCC+ CCC CCC– CC C |
C |
D |
D |
1 Overview of key principles and approach |
B-1 |
2 Role, structure and operation of boards |
B-2 |
3 Board committees |
B-5 |
4 Compensation |
B-6 |
5 Audit, risk and control |
B-7 |
6 Shareholder rights |
B-8 |
7 Reporting |
B-9 |
8 Social and environmental factors |
B-11 |
9 Voting matters |
B-13 |
Exhibit Number |
Exhibit Description |
Filed Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
Registrant that Made the Filing |
File No. of Such Registrant |
Type of Filing |
Exhibit of Document in that Filing |
Filing Date | |||
(a)(1) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Registration Statement |
(a) |
8/16/2012 | |
(a)(2) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Pre-Effective Amendment #1 on Form N-1A |
(a)(2) |
5/31/2016 | |
(a)(3) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #7 on Form N-1A |
(a)(3) |
2/28/2018 | |
(a)(4) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #10 on Form N-1A |
(a)(4) |
7/17/2018 | |
(a)(5) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #15 on Form N-1A |
(a)(5) |
7/26/2019 | |
(a)(6) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #20 on Form N-1A |
(a)(6) |
2/25/2021 | |
(a)(7) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #23 on Form N-1A |
(a)(7) |
9/17/2021 | |
(a)(8) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #23 on Form N-1A |
(a)(8) |
9/17/2021 | |
(a)(9) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #27 on Form N-1A |
(a)(9) |
3/18/2022 | |
(a)(10) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #28 on Form N-1A |
(a)(10) |
12/12/2022 | |
(a)(11) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #32 on Form N-1A |
(a)(11) |
3/31/2023 | |
(b) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #20 on Form N-1A |
(b) |
2/25/2021 | |
(c) |
Stock Certificate: Not Applicable |
|
|
|
|
|
|
(d)(1) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Pre-Effective Amendment #1 on Form N-1A |
(d)(1) |
5/31/2016 | |
(d)(1)(i) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #32 on Form N-1A |
(d)(1)(i) |
3/31/2023 | |
(e)(1) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #10 on Form N-1A |
(e)(1) |
7/17/2018 |
Exhibit Number |
Exhibit Description |
Filed Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
Registrant that Made the Filing |
File No. of Such Registrant |
Type of Filing |
Exhibit of Document in that Filing |
Filing Date | |||
(e)(1)(i) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #10 on Form N-1A |
(e)(1)(i) |
7/17/2018 | |
(e)(1)(ii) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #15 on Form N-1A |
(e)(1)(ii) |
7/26/2019 | |
(e)(1)(iii) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #20 on Form N-1A |
(e)(1)(iii) |
2/25/2021 | |
(e)(1)(iv) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #23 on Form N-1A |
(e)(1)(iv) |
9/17/2021 | |
(e)(1)(v) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #27 on Form N-1A |
(e)(1)(v) |
3/18/2022 | |
(e)(1)(vi) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #31 on Form N-1A |
(e)(1)(vi) |
2/28/2023 | |
(e)(1)(vii) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #32 on Form N-1A |
(e)(1)(vii) |
3/31/2023 | |
(f) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #20 on Form N-1A |
(f) |
2/25/2021 | |
(g)(1) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #12 on Form N-1A |
(g)(1) |
2/27/2019 | |
(g)(1)(i) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #14 on Form N-1A |
(g)(1)(i) |
5/15/2019 |
Exhibit Number |
Exhibit Description |
Filed Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
Registrant that Made the Filing |
File No. of Such Registrant |
Type of Filing |
Exhibit of Document in that Filing |
Filing Date | |||
(g)(1)(ii) |
Incorporated by Reference |
Columbia ETF Trust II |
333-155709 |
Post-Effective Amendment #109 on Form N-1A |
(g)(1)(ii) |
7/26/2019 | |
(g)(1)(iii) |
Incorporated by Reference |
Columbia ETF Trust II |
333-155709 |
Post-Effective Amendment #111 on Form N-1A |
(g)(1)(iii) |
7/28/2020 | |
(g)(1)(iv) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #23 on Form N-1A |
(g)(1)(iv) |
9/17/2021 | |
(g)(1)(v) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #27 on Form N-1A |
(g)(1)(v) |
3/18/2022 | |
(g)(1)(vi) |
Incorporated by Reference |
Columbia ETF Trust II |
333-155709 |
Post-Effective Amendment #115 on Form N-1A |
(g)(1)(vi) |
7/26/2023 | |
(g)(2) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #12 on Form N-1A |
(g)(2) |
2/27/2019 | |
(g)(2)(i) |
Incorporated by Reference |
Columbia ETF Trust II |
333-155709 |
Post-Effective Amendment #109 on Form N-1A |
(g)(2)(i) |
7/26/2019 | |
(g)(2)(ii) |
Incorporated by Reference |
Columbia ETF Trust II |
333-155709 |
Post-Effective Amendment #111 on Form N-1A |
(g)(2)(ii) |
7/28/2020 | |
(g)(2)(iii) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #23 on Form N-1A |
(g)(2)(iii) |
9/17/2021 | |
(g)(2)(iv) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #27 on Form N-1A |
(g)(2)(iv) |
3/18/2022 | |
(g)(2)(v) |
Incorporated by Reference |
Columbia ETF Trust II |
333-155709 |
Post-Effective Amendment #115 on Form N-1A |
(g)(2)(v) |
7/26/2023 |
Exhibit Number |
Exhibit Description |
Filed Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
Registrant that Made the Filing |
File No. of Such Registrant |
Type of Filing |
Exhibit of Document in that Filing |
Filing Date | |||
(h)(1) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #12 on Form N-1A |
(h)(1) |
2/27/2019 | |
(h)(1)(i) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #14 on Form N-1A |
(h)(1)(i) |
5/15/2019 | |
(h)(1)(ii) |
Incorporated by Reference |
Columbia ETF Trust II |
333-155709 |
Post-Effective Amendment #109 on Form N-1A |
(h)(1)(ii) |
7/26/2019 | |
(h)(1)(iii) |
Incorporated by Reference |
Columbia ETF Trust II |
333-155709 |
Post-Effective Amendment #109 on Form N-1A |
(h)(1)(iii) |
7/26/2019 | |
(h)(1)(iv) |
Incorporated by Reference |
Columbia ETF Trust II |
333-155709 |
Post-Effective Amendment #111 on Form N-1A |
(h)(1)(iv) |
7/28/2020 | |
(h)(1)(v) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #23 on Form N-1A |
(h)(1)(v) |
9/17/2021 | |
(h)(1)(vi) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #27 on Form N-1A |
(h)(1)(vi) |
3/18/2022 | |
(h)(1)(vii) |
Incorporated by Reference |
Columbia ETF Trust II |
333-155709 |
Post-Effective Amendment #115 on Form N-1A |
(h)(1)(vii) |
7/26/2023 | |
(h)(2) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #12 on Form N-1A |
(h)(2) |
2/27/2019 | |
(h)(2)(i) |
Incorporated by Reference |
Columbia ETF Trust II |
333-155709 |
Post-Effective Amendment #109 on Form N-1A |
(h)(2)(i) |
7/26/2019 |
Exhibit Number |
Exhibit Description |
Filed Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
Registrant that Made the Filing |
File No. of Such Registrant |
Type of Filing |
Exhibit of Document in that Filing |
Filing Date | |||
(h)(2)(ii) |
Incorporated by Reference |
Columbia ETF Trust II |
333-155709 |
Post-Effective Amendment #111 on Form N-1A |
(h)(2)(ii) |
7/28/2020 | |
(h)(2)(iii) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #23 on Form N-1A |
(h)(2)(iii) |
9/17/2021 | |
(h)(2)(iv) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #27 on Form N-1A |
(h)(2)(iv) |
3/18/2022 | |
(h)(2)(v) |
Incorporated by Reference |
Columbia ETF Trust II |
333-155709 |
Post-Effective Amendment #115 on Form N-1A |
(h)(2)(v) |
7/26/2023 | |
(h)(3) |
Incorporated by Reference |
Columbia Funds Variable Series Trust II |
333-146374 |
Post-Effective Amendment #90 on Form N-1A |
(h)(8) |
11/8/2023 | |
(h)(4) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #5 on Form N-1A |
(h)(13) |
9/22/2017 | |
(h)(4)(i) |
|
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #23 on Form N-1A |
(h)(6)(i) |
9/17/2021 |
(h)(5) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #17 on Form N-1A |
(h)(5) |
9/25/2019 | |
(h)(6) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #32 on Form N-1A |
(h)(7) |
3/31/2023 |
Exhibit Number |
Exhibit Description |
Filed Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
Registrant that Made the Filing |
File No. of Such Registrant |
Type of Filing |
Exhibit of Document in that Filing |
Filing Date | |||
(h)(7) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #25 on Form N-1A |
(h)(7) |
2/25/2022 | |
(h)(8) |
Incorporated by Reference |
Columbia ETF Trust II |
333-155709 |
Post-Effective Amendment #114 on Form N-1A |
(h)(9) |
7/27/2022 | |
(h)(9) |
Incorporated by Reference |
Columbia ETF Trust II |
333-155709 |
Post-Effective Amendment #115 on Form N-1A |
(h)(9)(ii) |
7/26/2023 | |
(h)(10) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #34 on Form N-1A |
(h)(11) |
2/26/2024 | |
(i)(1) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Pre-Effective Amendment #1 on Form N-1A |
(i) |
5/31/2016 | |
(i)(2) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #5 on Form N-1A |
(i)(2) |
9/22/2017 | |
(i)(3) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #10 on Form N-1A |
(i)(3) |
7/17/2018 | |
(i)(4) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #15 on Form N-1A |
(i)(4) |
7/26/2019 | |
(i)(5) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #23 on Form N-1A |
(i)(5) |
9/17/2021 | |
(i)(6) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #27 on Form N-1A |
(i)(6) |
3/18/2022 | |
(i)(7) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #32 on Form N-1A |
(i)(7) |
3/31/2023 | |
(j)(1) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #34 on Form N-1A |
(j) |
2/26/2024 | |
(j)(2) |
Filed Herewith |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #36 on Form N-1A |
(j)(2) |
4/24/2024 | |
(k) |
Omitted Financial Statements: Not Applicable |
|
|
|
|
|
|
Exhibit Number |
Exhibit Description |
Filed Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
Registrant that Made the Filing |
File No. of Such Registrant |
Type of Filing |
Exhibit of Document in that Filing |
Filing Date | |||
(l) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Pre-Effective Amendment #1 on Form N-1A |
(l) |
5/31/2016 | |
(m)(1) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Pre-Effective Amendment #1 on Form N-1A |
(m) |
5/31/2016 | |
(m)(1)(i) |
Incorporated by Reference |
Columbia ETF Trust I |
333-209996 |
Post-Effective Amendment #32 on Form N-1A |
(m)(1)(i) |
3/31/2023 | |
(n) |
Not Applicable |
|
|
|
|
|
|
(o) |
Reserved. |
|
|
|
|
|
|
(p)(1) |
Incorporated by Reference |
Columbia Funds Variable Series Trust II |
333-146374 |
Post-Effective Amendment #68 on Form N-1A |
(p)(1) |
4/26/2019 | |
(p)(2) |
Incorporated by Reference |
Columbia Funds Series Trust II |
333-131683 |
Post-Effective Amendment #241 on Form N-1A |
(p)(2) |
12/21/2023 |
Name and Principal Business Address* |
Position and Offices with Principal Underwriter |
Positions and Offices with Registrant |
Stephen J. Kyllo |
President, Chief Operating Officer, Director, Chief Compliance Officer |
None |
Brian Schell** |
Vice President and Treasurer |
None |
Eric Parsons |
Vice President, Controller and Assistant Treasurer |
None |
Jason White*** |
Secretary |
None |
Richard C. Noyes |
Senior Vice President, General Counsel, Assistant Secretary |
None |
Eric Theroff^ |
Assistant Secretary |
None |
Adan Girard^^ |
Tax Officer |
None |
Liza Price |
Vice President, Managing Counsel |
None |
Jed Stahl |
Vice President, Managing Counsel |
None |
Name and Principal Business Address* |
Position and Offices with Principal Underwriter |
Positions and Offices with Registrant |
Terence Digan |
Vice President |
None |
James Stegall |
Vice President |
None |
Gary Ross |
Senior Vice President |
None |
Hilary Quinn |
Vice President |
None |
Funds FYE |
N-CEN filing date |
October 31, 2023 |
January 12, 2024 |
December 31, 2023 |
March 13, 2024 |
COLUMBIA ETF TRUST I | |
By: |
/s/ Daniel J. Beckman |
|
Daniel J. Beckman Trustee and President |
Signature |
Capacity |
Signature |
Capacity |
/s/ Daniel J. Beckman |
Trustee and President (Principal Executive Officer) |
/s/ Patricia M. Flynn* |
Trustee |
Daniel J. Beckman |
Patricia M. Flynn | ||
/s/ Michael G. Clarke* |
Chief Financial Officer, Principal Financial Officer and Senior Vice President |
/s/ Brian J. Gallagher* |
Trustee |
Michael G. Clarke |
Brian J. Gallagher | ||
/s/ Marybeth Pilat* |
Treasurer, Chief Accounting Officer (Principal Accounting Officer) and Principal Financial Officer |
/s/ Douglas A. Hacker* |
Trustee |
Marybeth Pilat |
Douglas A. Hacker | ||
/s/ Pamela G. Carlton* |
Chair of the Board |
/s/ Nancy T. Lukitsh* |
Trustee |
Pamela G. Carlton |
Nancy T. Lukitsh | ||
/s/ George S. Batejan* |
Trustee |
/s/ David M. Moffett* |
Trustee |
George S. Batejan |
David M. Moffett | ||
/s/ Kathleen A. Blatz* |
Trustee |
/s/ Catherine James Paglia* |
Trustee |
Kathleen A. Blatz |
Catherine James Paglia | ||
/s/ Janet Langford Carrig* |
Trustee |
/s/ Natalie A. Trunow* |
Trustee |
Janet Langford Carrig |
Natalie A. Trunow | ||
/s/ J. Kevin Connaughton* |
Trustee |
/s/ Sandra L. Yeager* |
Trustee |
J. Kevin Connaughton |
Sandra L. Yeager | ||
/s/ Olive M. Darragh* |
Trustee |
|
|
Olive M. Darragh |
|
|
* |
By: Name: |
/s/ Joseph D’Alessandro |
|
Joseph D’Alessandro** Attorney-in-fact |
| ||
** |
Executed by Joseph D’Alessandro on behalf of Michael G. Clarke pursuant to a Power of Attorney, dated February 1, 2021, on behalf of Marybeth Pilat pursuant to a Power of Attorney, dated January 2, 2020, and on behalf of each of the Trustees pursuant to a Trustees’ Power of Attorney, dated January 1, 2023. |
/s/ George S. Batejan |
Trustee |
/s/ Brian J. Gallagher |
Trustee |
George S. Batejan |
Brian J. Gallagher | ||
/s/ Daniel J. Beckman |
Trustee |
/s/ Douglas Hacker |
Trustee |
Daniel J. Beckman |
Douglas Hacker | ||
/s/ Kathleen A. Blatz |
Trustee |
/s/ Nancy T. Lukitsh |
Trustee |
Kathleen A. Blatz |
Nancy T. Lukitsh | ||
/s/ Pamela G. Carlton |
Trustee |
/s/ David M. Moffett |
Trustee |
Pamela G. Carlton |
David M. Moffett | ||
/s/ Janet Langford Carrig |
Trustee |
/s/ Catherine James Paglia |
Trustee |
Janet Langford Carrig |
Catherine James Paglia | ||
/s/ J. Kevin Connaughton |
Trustee |
/s/ Natalie A. Trunow |
Trustee |
J. Kevin Connaughton |
Natalie A. Trunow | ||
/s/ Olive M. Darragh |
Trustee |
/s/ Sandra L. Yeager |
Trustee |
Olive M. Darragh |
Sandra L. Yeager | ||
/s/ Patricia M. Flynn |
Trustee |
|
|
Patricia M. Flynn |
|
|
(j)(2) |
PwC Consent |
Exhibit No. |
Description |
EX-101.INS |
XBRL Instance Document |
EX-101.SCH |
XBRL Taxonomy Extension Schema Document |
EX-101.CAL |
XBRL Taxonomy Extension Calculation Linkbase |
EX-101.DEF |
XBRL Taxonomy Extension Definition Linkbase |
EX-101.LAB |
XBRL Taxonomy Extension Labels Linkbase |
EX-101.PRE |
XBRL Taxonomy Extension Presentation Linkbase |