Filed pursuant to Rule 497(e);
File nos. 333-209996
333-155709
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 |