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Name | Symbol | Market | Type |
---|---|---|---|
EventShares US Legislative Opportunities ETF | AMEX:PLCY | AMEX | Exchange Traded Fund |
Price Change | % Change | Price | High Price | Low Price | Open Price | Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 25.16 | 0 | 01:00:00 |
Schedule of Investments
|
||||||||||
Core Alternative ETF
|
||||||||||
January 31, 2020 (Unaudited)
|
||||||||||
Number
of Shares |
Value
|
|||||||||
COMMON STOCKS — 95.1%
|
||||||||||
Communication Services — 2.1%
|
||||||||||
AT&T, Inc.
|
62,003
|
$
|
2,332,553
|
|||||||
Consumer Discretionary — 5.7%
|
||||||||||
Genuine Parts Co.
|
18,397
|
1,721,407
|
||||||||
McDonald's Corp.
|
10,975
|
2,348,321
|
||||||||
Starbucks Corp.
|
26,300
|
2,231,029
|
||||||||
6,300,757
|
||||||||||
Consumer Staples— 16.5%
|
||||||||||
Altria Group, Inc.
|
38,092
|
1,810,513
|
||||||||
Diageo PLC - ADR (a)
|
12,817
|
2,024,445
|
||||||||
Dollar General Corp.
|
15,660
|
2,402,401
|
||||||||
Kimberly-Clark Corp.
|
16,673
|
2,388,241
|
||||||||
PepsiCo, Inc.
|
16,696
|
2,371,166
|
||||||||
Sysco Corp.
|
29,709
|
2,440,297
|
||||||||
The Procter & Gamble Co.
|
19,202
|
2,392,953
|
||||||||
Walmart, Inc.
|
19,874
|
2,275,374
|
||||||||
18,105,390
|
||||||||||
Energy — 4.2%
|
||||||||||
Chevron Corp.
|
16,708
|
1,790,095
|
||||||||
Exxon Mobil Corp.
|
25,400
|
1,577,848
|
||||||||
Occidental Petroleum Corp.
|
31,293
|
1,242,958
|
||||||||
4,610,901
|
||||||||||
Financials — 14.4%
|
||||||||||
Aflac, Inc.
|
42,684
|
2,201,214
|
||||||||
CME Group, Inc.
|
11,565
|
2,510,877
|
||||||||
Eaton Vance Corp.
|
49,582
|
2,268,376
|
||||||||
JPMorgan Chase & Co.
|
18,126
|
2,399,157
|
||||||||
Morgan Stanley
|
45,318
|
2,368,319
|
||||||||
US Bancorp (d)
|
39,292
|
2,091,120
|
||||||||
Wells Fargo & Co.
|
42,390
|
1,989,787
|
||||||||
15,828,850
|
||||||||||
Health Care — 14.0%
|
||||||||||
Abbott Laboratories
|
25,936
|
2,260,063
|
||||||||
Amgen, Inc.
|
10,200
|
2,203,710
|
||||||||
Anthem, Inc.
|
7,174
|
1,903,119
|
||||||||
Eli Lilly & Co.
|
16,642
|
2,323,889
|
||||||||
Johnson & Johnson
|
15,410
|
2,294,086
|
||||||||
Merck & Co., Inc.
|
25,570
|
2,184,701
|
||||||||
UnitedHealth Group, Inc.
|
8,243
|
2,245,805
|
||||||||
15,415,373
|
||||||||||
Industrials — 12.9%
|
||||||||||
Emerson Electric Co.
|
29,425
|
2,107,713
|
||||||||
L3Harris Technologies, Inc.
|
11,509
|
2,547,287
|
||||||||
Lockheed Martin Corp.
|
6,021
|
2,577,710
|
||||||||
Norfolk Southern Corp.
|
10,884
|
2,266,158
|
||||||||
United Technologies Corp.
|
15,358
|
2,306,772
|
||||||||
Waste Management, Inc.
|
19,897
|
2,421,465
|
||||||||
14,227,105
|
||||||||||
Information Technology — 16.8%
|
||||||||||
Accenture PLC - Class A (a)
|
11,514
|
2,362,788
|
||||||||
Apple, Inc.
|
8,734
|
2,703,260
|
||||||||
Broadridge Financial Solutions, Inc.
|
18,978
|
2,261,229
|
ADR
|
American Depositary Receipt
|
||||||
PLC
|
Public Limited Company
|
||||||
(a)
|
Foreign issued security.
|
||||||
(b)
|
The rate shown is the annualized seven-day yield at period end.
|
||||||
(c)
|
Each contract is equivalent to 100 shares of the underlying security.
|
||||||
(d)
|
Affiliated Issuer. See Affiliated Issuers Table following this Schedule of Investments.
|
|
|
|
|||
Percentages are stated as a percent of net assets.
|
Fair Value Measurements
|
||||||||||
Various inputs are used in determining the value of the Fund's investments. These inputs are summarized in three broad levels.
|
||||||||||
Level 1 includes quoted prices in active markets for identical securities. Level 2 includes other significant observable inputs
|
||||||||||
(including quoted prices for similar securities, interest rates, prepayment speeds and credit risk). Level 3 includes significant
|
||||||||||
unobservable inputs (including the Fund's own assumptions in determining the fair value of investments). The level assigned to the
|
||||||||||
securities valuations may not be an indication of the risk or liquidity associated with investing in those securities.
|
||||||||||
The Fund did not hold any investments during the period with significant unobservable inputs which would be classified as Level 3.
|
||||||||||
The following is a summary of the inputs used to value the Fund’s investments carried at fair value as of January 31, 2020:
|
Level 1
|
Level 2
|
Level 3
|
Total
|
|||||||||||||
Assets:
|
||||||||||||||||
Common Stocks*
|
$
|
104,621,117
|
$
|
-
|
$
|
-
|
$
|
104,621,117
|
||||||||
Money Market Funds
|
1,634,073
|
-
|
-
|
1,634,073
|
||||||||||||
Purchased Call Options
|
-
|
124,750
|
-
|
124,750
|
||||||||||||
Purchased Put Options
|
-
|
3,546,000
|
-
|
3,546,000
|
||||||||||||
Total Investments in Securities
|
$
|
106,255,190
|
$
|
3,670,750
|
$
|
-
|
$
|
109,925,940
|
* See the Schedule of Investments for industry classifications.
|
||||||||||
Derivative Investments
|
||||||||||
The average monthly value outstanding of purchased options during the period ended Janurary 31, 2020 were as follows:
|
Core Alternative ETF
|
|||||||||||
Purchased Options
|
$
|
2,245,892
|
|||||||||
The following is a summary of the location of derivative instruments on the Fund's Statement of Assets and Liabilities as of January 31, 2020:
|
|
Equity Risk Contracts
|
||||||
|
Location on the Statement of Assets and
Liabilities
|
||||||
|
Asset Derivatives,
Investments, at value
|
Liability Derivatives,
Options written, at value
|
|||||
Core Alternative ETF
|
$
|
3,670,750
|
$
|
–
|
The following issuer is affiliated with the U.S. Bancorp Fund Services, LLC, doing business as U.S. Bank Global Fund Services, U.S. Bank, N.A., and Quasar Distributors, LLC, which provide accounting,
administration, transfer agency, custodian and distribution services to the Fund as of the period ended January 31, 2020. See Section 2(a)(3) of the 1940 Act.
|
||||||||||
Core Alternative ETF
|
US Bancorp
|
||||||||||
April 30, 2019
|
|||||||||||
Balance
|
|||||||||||
Shares
|
35,753
|
||||||||||
Cost
|
$ |
1,853,146
|
|||||||||
Market Value
|
$ |
1,906,350
|
|||||||||
Gross Additions
|
|||||||||||
Shares
|
6,974
|
||||||||||
Cost
|
$ |
378,943
|
|||||||||
Gross Deductions
|
|||||||||||
Shares
|
3,435
|
||||||||||
Cost
|
$ |
178,678
|
|||||||||
Proceeds
|
$ |
202,174
|
|||||||||
January 31, 2020
|
|||||||||||
Balance
|
|||||||||||
Shares
|
39,292
|
||||||||||
Cost
|
$ |
2,053,411
|
|||||||||
Market Value
|
$ |
2,091,120
|
|||||||||
Net realized gain (loss)
|
$ |
23,496
|
|||||||||
Change in net unrealized appreciation/(depreciation)
|
$ |
(15,495)
|
|||||||||
Dividend income
|
$ |
30,315
|
|||||||||
(a)
|
The Registrant’s President and Treasurer 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.
|
(Registrant)
|
Listed Funds Trust
|
|
|
|
|
By (Signature and Title)*
|
/s/ Gregory Bakken |
|
|
Gregory Bakken, President and Principal Executive Officer
|
|
|
||
Date
|
3/24/2020
|
|
By (Signature and Title)*
|
/s/ Gregory Bakken |
|
|
Gregory Bakken, President and Principal Executive Officer
|
|
|
||
Date
|
3/24/2020 |
|
|
|
|
By (Signature and Title)*
|
/s/ Travis Babich |
|
|
Travis Babich, Treasurer and Principal Financial Officer
|
|
|
|
|
Date
|
3/24/2020 |
|
*
|
Print the name and title of each signing officer under his or her signature.
|
1 Year EventShares US Legislati... Chart |
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