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Name | Symbol | Market | Type |
---|---|---|---|
Innovator S&P Investment Grade Preferred ETF | AMEX:EPRF | AMEX | Exchange Traded Fund |
Price Change | % Change | Price | High Price | Low Price | Open Price | Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
-0.1774 | -0.95% | 18.4919 | 18.71 | 18.4485 | 18.60 | 3,816 | 21:00:06 |
Innovator S&P Investment Grade Preferred ETF
|
||||||||
Schedule of Investments
|
||||||||
January 31, 2020 (Unaudited)
|
||||||||
Shares
|
Value
|
|||||||
PREFERRED STOCKS - 99.68% (a)
|
||||||||
Banks - 27.21%
|
||||||||
Bank of America Corp., Series 02, 3.000% to 02/28/2020 then 3-Month Libor + 0.650%
|
2,193
|
$
|
49,014
|
|||||
Bank of America Corp., Series 4, 4.000% to 02/28/2020 then 3-Month Libor + 0.750%
|
1,989
|
49,824
|
||||||
Bank of America Corp., Series 5, 4.000% to 02/21/2020 then 3-Month Libor + 0.500%
|
1,921
|
47,506
|
||||||
Bank of America Corp., Series CC, 6.200%
|
1,802
|
47,158
|
||||||
Bank of America Corp., Series E, 4.000% to 02/18/2020 then 3-Month Libor + 0.350% (b)
|
1,904
|
47,105
|
||||||
Bank of America Corp., Series EE, 6.000%
|
1,768
|
46,604
|
||||||
Bank of America Corp., Series GG, 6.000%
|
1,683
|
46,703
|
||||||
Bank of America Corp., Series HH, 5.875%
|
1,717
|
47,269
|
||||||
Bank of America Corp., Series KK, 5.375%
|
1,768
|
47,294
|
||||||
Bank of America Corp., Series LL, 5.000%
|
1,802
|
47,212
|
||||||
First Republic Bank/CA, Series J, 4.750%
|
20,485
|
523,596
|
||||||
HSBC Holdings PLC, Series A, 6.200%
|
19,210
|
518,094
|
||||||
JPMorgan Chase & Co., Series AA, 6.100%
|
3,332
|
85,066
|
||||||
JPMorgan Chase & Co., Series BB, 6.150%
|
3,332
|
85,066
|
||||||
JPMorgan Chase & Co., Series DD, 5.750%
|
3,111
|
85,428
|
||||||
JPMorgan Chase & Co., Series EE, 6.000%
|
3,009
|
83,740
|
||||||
JPMorgan Chase & Co., Series GG, 4.750%
|
3,315
|
85,361
|
||||||
JPMorgan Chase & Co., Series Y, 6.125%
|
3,332
|
83,700
|
||||||
Northern Trust Corp., Series E, 4.750%
|
19,873
|
521,468
|
||||||
State Street Corp., Series C, 5.250%
|
6,698
|
171,804
|
||||||
State Street Corp., Series D, 5.900% to 03/15/2024 then 3-Month Libor + 3.108%
|
6,222
|
175,087
|
||||||
State Street Corp., Series G, 5.350% to 03/15/2026 then 3-Month Libor + 3.709% (b)
|
6,069
|
173,149
|
||||||
The Bank of New York Mellon Corp., 5.200%
|
19,822
|
515,768
|
||||||
The PNC Financial Services Group, Inc., Series P, 6.125% to 05/01/2022 then 3-Month Libor + 4.067%
|
9,367
|
257,405
|
||||||
The PNC Financial Services Group, Inc., Series Q, 5.375%
|
10,115
|
259,854
|
||||||
Truist Financial Corp., Series F, 5.200%
|
5,083
|
129,667
|
||||||
Truist Financial Corp., Series G, 5.200%
|
5,083
|
129,617
|
||||||
Truist Financial Corp., Series H, 5.625% (b)
|
4,777
|
129,075
|
||||||
Truist Financial Corp., Series I, 4.000% to 03/16/2020 then 3-Month Libor + 0.530%
|
5,270
|
132,857
|
||||||
US Bancorp., 5.150%
|
4,930
|
126,455
|
||||||
US Bancorp., Series B, 3.500% to 04/15/2020 then 3-Month Libor + 0.600%
|
5,950
|
131,614
|
||||||
US Bancorp., Series F, 6.500% to 01/15/2022 then 3-Month Libor + 4.468%
|
4,692
|
129,124
|
||||||
US Bancorp., Series K, 5.500% (b)
|
4,641
|
129,159
|
||||||
Wells Fargo & Co., 5.200%
|
2,006
|
50,952
|
||||||
Wells Fargo & Co., Series O, 5.125%
|
2,023
|
51,263
|
||||||
Wells Fargo & Co., Series P, 5.250%
|
2,023
|
51,425
|
||||||
Wells Fargo & Co., Series Q, 5.850% to 09/15/2023 then 3-Month Libor + 3.090%
|
1,853
|
50,365
|
||||||
Wells Fargo & Co., Series R, 6.625% to 03/15/2024 then 3-Month Libor + 3.690%
|
1,768
|
50,795
|
||||||
Wells Fargo & Co., Series T, 6.000%
|
2,023
|
51,283
|
||||||
Wells Fargo & Co., Series V, 6.000%
|
1,972
|
51,311
|
||||||
Wells Fargo & Co., Series W, 5.700%
|
1,972
|
51,154
|
||||||
Wells Fargo & Co., Series X, 5.500%
|
1,989
|
51,714
|
||||||
Wells Fargo & Co., Series Y, 5.625%
|
1,921
|
50,907
|
||||||
5,649,012
|
||||||||
Capital Markets - 12.57%
|
||||||||
Apollo Global Management, Inc., Series A, 6.375%
|
9,690
|
261,436
|
||||||
Apollo Global Management, Inc., Series B, 6.375%
|
9,486
|
257,924
|
||||||
Gabelli Equity Trust, Inc., Series K, 5.000%
|
20,434
|
532,306
|
||||||
Highland Income Fund, Series A, 5.375%
|
20,366
|
523,608
|
||||||
KKR & Co., Inc., Series A, 6.750%
|
9,588
|
256,095
|
||||||
KKR & Co., Inc., Series B, 6.500%
|
9,486
|
257,450
|
Oaktree Capital Group LLC, Series A, 6.625%
|
9,486
|
259,063
|
||||||
Oaktree Capital Group LLC, Series B, 6.550%
|
9,418
|
261,444
|
||||||
2,609,326
|
||||||||
Diversified Financial Services - 4.99%
|
||||||||
Allied Capital Corp., 6.875%, 04/15/2047
|
9,673
|
258,463
|
||||||
Ares Management Corp., Series A, 7.000%
|
9,537
|
256,736
|
||||||
The Charles Schwab Corp., Series C, 6.000%
|
19,635
|
521,505
|
||||||
1,036,704
|
||||||||
Electric - 9.96%
|
||||||||
Alabama Power Co., Series A, 5.000%
|
18,734
|
518,744
|
||||||
Duke Energy Corp., 5.125%, 01/15/2073
|
9,996
|
259,896
|
||||||
Duke Energy Corp., Series A, 5.750%
|
9,282
|
262,217
|
||||||
NextEra Energy Capital Holdings, Inc., 5.000%, 01/15/2073
|
10,030
|
257,069
|
||||||
NextEra Energy Capital Holdings, Inc., Series I, 5.125%, 11/15/2072
|
9,996
|
260,196
|
||||||
PPL Capital Funding, Inc., Series B, 5.900%, 04/30/2073
|
19,839
|
508,672
|
||||||
2,066,794
|
||||||||
Insurance - 32.38%
|
||||||||
Aegon NV, Series 1, 4.000% to 03/16/2020 then 3-Month Libor + 0.875%
|
20,927
|
521,291
|
||||||
American International Group, Inc., Series A, 5.850%
|
18,564
|
509,211
|
||||||
Arch Capital Group Ltd., Series E, 5.250%
|
10,081
|
261,501
|
||||||
Arch Capital Group Ltd., Series F, 5.450%
|
9,877
|
262,629
|
||||||
Aspen Insurance Holdings Ltd., 5.625%
|
6,477
|
173,260
|
||||||
Aspen Insurance Holdings Ltd., 5.625%
|
6,494
|
171,052
|
||||||
Aspen Insurance Holdings Ltd., 5.950% to 07/01/2023 then 3-Month Libor + 4.060%
|
5,984
|
169,886
|
||||||
Athene Holding Ltd., Series A, 6.350% to 06/30/2029 then 3-Month USD Libor + 4.253%
|
9,061
|
259,145
|
||||||
Athene Holding Ltd., Series B, 5.625%
|
9,843
|
256,115
|
||||||
Axis Capital Holdings Ltd., Series E, 5.500%
|
19,856
|
518,043
|
||||||
MetLife Inc., Series A, 4.000% to 03/16/2020 then 3-Month Libor + 1.000%
|
10,370
|
258,835
|
||||||
MetLife Inc., Series E, 5.625% (b)
|
9,350
|
260,491
|
||||||
PartnerRe Ltd., Series H, 7.250%
|
9,401
|
255,425
|
||||||
PartnerRe Ltd., Series I, 5.875%
|
9,843
|
257,690
|
||||||
Prudential Financial, Inc., 5.700%, 03/15/2053
|
9,962
|
258,414
|
||||||
Prudential Financial, Inc., 5.750%, 12/15/2052
|
9,894
|
258,827
|
||||||
Prudential PLC, 6.500%
|
9,265
|
259,327
|
||||||
Prudential PLC, 6.750%
|
9,282
|
255,348
|
||||||
RenaissanceRe Holdings Ltd., Series E, 5.375%
|
10,166
|
259,335
|
||||||
RenaissanceRe Holdings Ltd., Series F, 5.750%
|
9,469
|
260,966
|
||||||
The Allstate Corp., 5.100% to 01/15/2023 then 3-Month Libor + 3.165%, 01/15/2053 (b)
|
6,307
|
173,190
|
||||||
The Allstate Corp., Series H. 5.100%
|
6,528
|
172,143
|
||||||
The Allstate Corp., Series I, 4.750%
|
6,681
|
174,307
|
||||||
The Hartford Financial Services Group, Inc., 7.875% to 04/15/2022 then 3-Month Libor + 5.596%, 04/15/2042 (b)
|
9,027
|
256,547
|
||||||
The Hartford Financial Services Group, Inc., Series G, 6.000%
|
9,282
|
258,040
|
||||||
6,721,018
|
||||||||
Real Estate Investment Trusts - 12.57%
|
||||||||
Federal Realty Investment Trust, Series C, 5.000% (b)
|
19,958
|
522,700
|
||||||
Kimco Realty Corp., Series L, 5.125% (b)
|
9,894
|
264,170
|
||||||
Kimco Realty Corp., Series M, 5.250%
|
9,860
|
261,980
|
||||||
National Retail Properties, Inc., Series F, 5.200%
|
19,873
|
522,660
|
||||||
PS Business Parks, Inc., Series W, 5.200%
|
4,947
|
130,304
|
||||||
PS Business Parks, Inc., Series X, 5.250%
|
4,879
|
129,733
|
||||||
PS Business Parks, Inc., Series Y, 5.200%
|
4,896
|
129,695
|
||||||
PS Business Parks, Inc., Series Z, 4.875%
|
5,151
|
130,372
|
||||||
Public Storage, Series B, 5.400%
|
1,649
|
42,890
|
||||||
Public Storage, Series C, 5.125%
|
1,649
|
43,319
|
||||||
Public Storage, Series D, 4.950%
|
1,666
|
43,099
|
||||||
Public Storage, Series E, 4.900% (b)
|
1,649
|
42,709
|
||||||
Public Storage, Series F, 5.150% (b)
|
1,615
|
43,444
|
Public Storage, Series G, 5.050% (b)
|
1,632
|
43,476
|
||||||
Public Storage, Series H, 5.600%
|
1,530
|
42,871
|
||||||
Public Storage, Series I, 4.875%
|
1,649
|
43,319
|
||||||
Public Storage, Series J, 4.700%
|
1,649
|
43,121
|
||||||
Public Storage, Series K, 4.750%
|
1,683
|
43,977
|
||||||
Public Storage, Series V, 5.375%
|
1,683
|
42,816
|
||||||
Public Storage, Series W, 5.200%
|
1,683
|
42,832
|
||||||
2,609,487
|
||||||||
TOTAL PREFERRED STOCKS (Cost $20,053,945)
|
20,692,341
|
|||||||
INVESTMENTS PURCHASED WITH PROCEEDS FROM SECURITIES LENDING - 4.32%
|
||||||||
Mount Vernon Liquid Assets Portfolio, LLC, 1.77% (c)
|
897,177
|
897,177
|
||||||
TOTAL INVESTMENTS PURCHASED WITH PROCEEDS FROM SECURITIES LENDING (Cost $897,177)
|
897,177
|
|||||||
SHORT TERM INVESTMENTS - 0.61%
|
||||||||
Money Market Funds - 0.61%
|
||||||||
First American Government Obligations Fund - Class X, 1.48% (c)
|
127,042
|
127,042
|
||||||
TOTAL SHORT TERM INVESTMENTS (Cost $127,042)
|
127,042
|
|||||||
Total Investments (Cost $21,078,164) - 104.61%
|
21,716,560
|
|||||||
Liabilities in Excess of Other Assets - (4.61)%
|
(957,617
|
)
|
||||||
TOTAL NET ASSETS - 100.00%
|
$
|
20,758,943
|
||||||
Asset Type
|
% of Net Assets
|
|||||||
Preferred Stocks
|
99.68
|
%
|
||||||
Investments Purchased with Proceeds From Securities Lending
|
4.32
|
|||||||
Short Term Investments
|
0.61
|
|||||||
Total Investments
|
104.61
|
|||||||
Liabilities in Excess of Other Assets
|
(4.61
|
)
|
||||||
Net Assets
|
100.00
|
%
|
||||||
Percentages are stated as a percent of net assets.
|
USD -
|
United States Dollar
|
||||
Libor -
|
London Interbank Offered Rate
|
||||
(a)
|
Securities with no stated maturity date are perpetual in nature.
|
||||
(b)
|
All or a portion of this security is on loan as of January 31, 2020. The total value of securities on loan is $873,058, or 4.21% of net assets.
|
||||
(c)
|
Represents annualized seven-day yield as of the end of the reporting period.
|
8,039,445
|
||||||||
Electronics - 1.87%
|
||||||||
Keysight Technologies Inc. (a)(b)
|
17,148
|
1,594,593
|
||||||
PerkinElmer, Inc. (a)
|
17,600
|
1,627,648
|
||||||
3,222,241
|
||||||||
Hand/Machine Tools - 1.07%
|
||||||||
Stanley Black & Decker, Inc.
|
11,597
|
1,847,750
|
||||||
Healthcare-Products - 3.13%
|
||||||||
ABIOMED, Inc. (a)(b)
|
8,571
|
1,596,692
|
||||||
Align Technology, Inc. (b)
|
7,791
|
2,003,066
|
||||||
Intuitive Surgical, Inc. (b)
|
3,216
|
1,800,252
|
||||||
5,400,010
|
||||||||
Insurance - 0.86%
|
||||||||
Lincoln National Corp.
|
27,098
|
1,476,299
|
||||||
Internet - 4.80%
|
||||||||
Amazon.com, Inc. (b)
|
1,061
|
2,131,252
|
||||||
Netflix, Inc. (b)
|
6,565
|
2,265,516
|
||||||
NortonLifeLock, Inc.
|
60,220
|
1,711,452
|
||||||
Twitter, Inc. (b)
|
67,108
|
2,179,668
|
||||||
8,287,888
|
||||||||
Leisure Time - 0.75%
|
||||||||
Harley-Davidson, Inc. (a)
|
38,904
|
1,299,394
|
||||||
Lodging - 3.25%
|
||||||||
Las Vegas Sands Corp.
|
27,354
|
1,786,490
|
||||||
MGM Resorts International
|
53,671
|
1,667,021
|
||||||
Wynn Resorts Ltd.
|
17,031
|
2,148,631
|
||||||
5,602,142
|
||||||||
Machinery-Construction & Mining - 0.87%
|
||||||||
Caterpillar, Inc.
|
11,469
|
1,506,453
|
||||||
Machinery-Diversified - 1.83%
|
||||||||
Deere & Co.
|
8,719
|
1,382,659
|
||||||
Flowserve Corp.
|
37,981
|
1,772,953
|
||||||
3,155,612
|
||||||||
Mining - 1.09%
|
||||||||
Freeport-McMoRan, Inc.
|
169,302
|
1,879,252
|
||||||
Miscellaneous Manufacturing - 2.75%
|
||||||||
General Electric Co.
|
132,391
|
1,648,268
|
||||||
Parker-Hannifin Corp.
|
8,206
|
1,605,832
|
||||||
Textron, Inc.
|
32,385
|
1,487,443
|
||||||
4,741,543
|
||||||||
Office/Business Equipment - 0.86%
|
||||||||
Xerox Holdings Corp.
|
41,686
|
1,482,771
|
||||||
Oil & Gas - 11.19%
|
||||||||
Apache Corp. (a)
|
66,153
|
1,815,238
|
||||||
Cimarex Energy Co.
|
42,100
|
1,847,769
|
||||||
Concho Resources, Inc.
|
23,769
|
1,801,215
|
||||||
Devon Energy Corp.
|
79,720
|
1,731,518
|
||||||
Diamondback Energy, Inc. (a)
|
20,219
|
1,504,294
|
EOG Resources, Inc.
|
20,058
|
1,462,429
|
||||||
Hess Corp.
|
26,072
|
1,474,893
|
||||||
HollyFrontier Corp.
|
31,296
|
1,405,816
|
||||||
Marathon Oil Corp.
|
146,996
|
1,671,344
|
||||||
Marathon Petroleum Corp.
|
24,231
|
1,320,590
|
||||||
Noble Energy, Inc.
|
84,913
|
1,678,730
|
||||||
Pioneer Natural Resources Co.
|
11,739
|
1,584,765
|
||||||
19,298,601
|
||||||||
Oil & Gas Services - 1.66%
|
||||||||
Halliburton Co. (a)
|
72,168
|
1,573,984
|
||||||
TechnipFMC PLC (a)
|
78,045
|
1,288,523
|
||||||
2,862,507
|
||||||||
Packaging & Containers - 0.89%
|
||||||||
Westrock Co.
|
39,086
|
1,524,354
|
||||||
Pharmaceuticals - 1.04%
|
||||||||
Perrigo Co. PLC (a)
|
31,506
|
1,797,102
|
||||||
Retail - 2.25%
|
||||||||
Best Buy Co., Inc.
|
19,643
|
1,663,566
|
||||||
L Brands, Inc.
|
95,611
|
2,214,350
|
||||||
3,877,916
|
||||||||
Semiconductors - 18.62%
|
||||||||
Advanced Micro Devices, Inc. (b)
|
80,596
|
3,788,012
|
||||||
Analog Devices, Inc.
|
14,083
|
1,545,609
|
||||||
Applied Materials, Inc.
|
33,132
|
1,921,325
|
||||||
Broadcom, Inc.
|
4,952
|
1,511,152
|
||||||
Intel Corp.
|
25,961
|
1,659,687
|
||||||
IPG Photonics Corp. (a)(b)
|
15,289
|
1,951,947
|
||||||
KLA Corp.
|
10,180
|
1,687,233
|
||||||
Lam Research Corp.
|
6,890
|
2,054,667
|
||||||
Maxim Integrated Products, Inc.
|
27,686
|
1,664,482
|
||||||
Microchip Technology, Inc. (a)
|
19,741
|
1,924,353
|
||||||
Micron Technology, Inc. (b)
|
49,722
|
2,639,741
|
||||||
NVIDIA Corp.
|
11,724
|
2,771,905
|
||||||
Qorvo, Inc. (a)(b)
|
17,039
|
1,803,749
|
||||||
Skyworks Solutions, Inc.
|
18,349
|
2,076,189
|
||||||
Texas Instruments, Inc.
|
13,034
|
1,572,552
|
||||||
Xilinx, Inc.
|
18,243
|
1,541,169
|
||||||
32,113,772
|
||||||||
Software - 10.16%
|
||||||||
Adobe, Inc. (b)
|
6,236
|
2,189,709
|
||||||
ANSYS, Inc. (b)
|
7,318
|
2,007,547
|
||||||
Autodesk, Inc. (b)
|
12,309
|
2,423,027
|
||||||
Cadence Design Systems, Inc. (b)
|
24,620
|
1,775,348
|
||||||
Intuit, Inc.
|
5,991
|
1,679,757
|
||||||
Microsoft Corp.
|
11,009
|
1,874,062
|
||||||
MSCI, Inc. (a)
|
6,328
|
1,808,542
|
||||||
salesforce.com, Inc. (b)
|
11,226
|
2,046,612
|
||||||
Synopsys, Inc. (b)
|
11,629
|
1,715,394
|
||||||
17,519,998
|
||||||||
Telecommunications - 2.90%
|
||||||||
Arista Networks, Inc. (a)(b)
|
9,882
|
2,207,046
|
(a)
|
All or a portion of this security is on loan as of January 31, 2020. The total value of securities on loan is $24,141,894, or 14.00% of net assets.
|
||||
(b)
|
Non-income producing security.
|
||||
(c)
|
Represents annualized seven-day yield as of the end of the reporting period.
|
EPRF
|
||||||||||||||||
Level 1
|
Level 2
|
Level 3
|
Total
|
|||||||||||||
Assets
|
||||||||||||||||
Preferred Stocks
|
20,692,341
|
-
|
-
|
20,692,341
|
||||||||||||
Investments Purchased with Proceeds From Securities Lending
|
-
|
897,177
|
-
|
897,177
|
||||||||||||
Short Term Investments
|
127,042
|
-
|
-
|
127,042
|
||||||||||||
Total Assets
|
$
|
20,819,383
|
$
|
897,177
|
$
|
-
|
$
|
21,716,560
|
||||||||
LVHB
|
||||||||||||||||
Level 1
|
Level 2
|
Level 3
|
Total
|
|||||||||||||
Assets
|
||||||||||||||||
Common Stocks
|
$
|
171,842,140
|
$
|
-
|
$
|
-
|
$
|
171,842,140
|
||||||||
Investments Purchased with Proceeds From Securities Lending
|
-
|
25,388,039
|
-
|
25,388,039
|
||||||||||||
Short Term Investments
|
1,098,652
|
-
|
-
|
1,098,652
|
||||||||||||
Total Assets
|
$
|
172,940,792
|
$
|
25,388,039
|
$
|
-
|
$
|
198,328,831
|
Value of Securities on Loan
|
Cash Collateral Received
|
|||||||
EPRF
|
$
|
873,058
|
$
|
897,177
|
||||
LVHB
|
24,141,894
|
25,388,039
|
(a) |
The Registrant’s Principal Executive Officer and Principal Financial Officer have concluded that the Registrant's disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940 (the “1940
Act”)) (17 CFR 270.30a-3(c)) are effective as of a date within 90 days of the filing date of the report that includes the disclosure required by this paragraph, based on the evaluation of these controls and procedures
required by Rule 30a-3(b) under the 1940 Act (17 CFR 270.30a-3(b)) and Rule 13a-15(b) or Rule 15d‑15(b) under the Securities Exchange Act of 1934, as amended (17 CFR 240.13a-15(b) or 240.15d-15(d)).
|
(b) |
There were no changes in the Registrant's internal control over financial reporting (as defined in Rule 30a-3(d) under the 1940 Act) (17 CFR 270.30a-3(d)) that occurred during the Registrant's last fiscal quarter that have
materially affected, or are reasonably likely to materially affect, the Registrant's internal control over financial reporting.
|
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