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| Name | Symbol | Market | Type |
|---|---|---|---|
| Vesper US Large Cap Shortterm Reversal Strategy ETF | AMEX:UTRN | AMEX | Exchange Traded Fund |
| Price Change | % Change | Price | High Price | Low Price | Open Price | Traded | Last Trade | |
|---|---|---|---|---|---|---|---|---|
| -0.3312 | -1.26% | 25.9534 | 26.39 | 25.94 | 26.39 | 1,337 | 20:24:02 |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-Q
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act File number 811-22263
Exchange Traded Concepts Trust
(Exact name of Registrant as specified in charter)
J. Garrett Stevens
10900 Hefner Pointe Drive
Suite 207
Oklahoma City, Oklahoma 73120
(Address of principal executive offices) (Zip code)
Exchange Traded Concepts Trust
10900 Hefner Pointe Drive
Suite 207
Oklahoma City, Oklahoma 73120
(Name and address of agent for service)
Copy to:
Christopher Menconi
Morgan, Lewis and Bockius LLP
1111 Pennsylvania Avenue, NW
Washington, DC 20004
Registrant’s telephone number, including area code: 1-405-778-8377
Date of fiscal year end: November 30, 2020
Date of reporting period: February 29, 2020
Item 1. Schedule of Investments
The Registrant’s schedules as of the close of the reporting period, as set forth in §§ 210.12-12 through 210.12-14 of Regulation S-X [17 CFR §§ 210-12.12-12.14], are attached hereto.
FLAG-Forensic Accounting Long-Short ETF
Schedule of Investments
February 29, 2020 (Unaudited)
| Description | Shares | Fair Value | ||||||
| COMMON STOCK — 135.5% | ||||||||
| Communication Services — 7.9% | ||||||||
| AT&T | 2,049 | $ | 72,166 | |||||
| CenturyLink (A) | 5,992 | 72,323 | ||||||
| Cinemark Holdings (A) | 2,365 | 61,396 | ||||||
| Fox | 2,149 | 66,060 | ||||||
| Liberty Latin America, Cl C * | 2,261 | 34,345 | ||||||
| News, Cl A (A) | 5,682 | 68,610 | ||||||
| Omnicom Group (A) | 994 | 68,864 | ||||||
| Verizon Communications | 1,306 | 70,733 | ||||||
| 514,497 | ||||||||
| Consumer Discretionary — 16.1% | ||||||||
| BorgWarner (A) | 1,838 | 58,081 | ||||||
| Brunswick | 1,322 | 70,330 | ||||||
| Discovery Communications, Cl A * | 2,426 | 62,348 | ||||||
| Foot Locker (A) | 1,805 | 65,431 | ||||||
| Ford Motor (A) | 8,590 | 59,786 | ||||||
| Gap | 1,928 | 27,628 | ||||||
| General Motors (A) | 2,199 | 67,070 | ||||||
| Goodyear Tire & Rubber (A) | 5,325 | 51,573 | ||||||
| Harley-Davidson (A) | 1,744 | 53,140 | ||||||
| Kohl’s (A) | 1,578 | 61,779 | ||||||
| Lear (A) | 581 | 64,607 | ||||||
| Macy’s (A) | 4,870 | 64,430 | ||||||
| Murphy USA * | 238 | 23,205 | ||||||
| Newell Brands (A) | 4,182 | 64,528 | ||||||
| Nordstrom (A) | 1,966 | 68,220 | ||||||
| Qurate Retail (A) * | 9,387 | 64,020 | ||||||
| Target (A) | 623 | 64,169 | ||||||
| TripAdvisor | 2,654 | 62,236 | ||||||
| 1,052,581 | ||||||||
| Consumer Staples — 7.4% | ||||||||
| Bunge | 1,401 | 65,777 | ||||||
| Coty, Cl A | 7,329 | 67,647 | ||||||
| Ingredion (A) | 854 | 71,138 | ||||||
| Kraft Heinz (A) | 2,544 | 63,015 | ||||||
| Kroger (A) | 2,796 | 78,651 | ||||||
| Molson Coors Brewing, Cl B (A) | 1,493 | 74,068 | ||||||
| Walgreens Boots Alliance (A) | 1,363 | 62,371 | ||||||
| 482,667 | ||||||||
| Energy — 6.8% | ||||||||
| Apache | 2,995 | 74,635 | ||||||
| Chevron | 408 | 38,083 | ||||||
| ConocoPhillips (A) | 300 | 14,526 | ||||||
| CVR Energy (A) | 1,989 | 56,527 | ||||||
| Devon Energy (A) | 3,124 | 50,734 | ||||||
| Equities (A) | 5,461 | 32,056 | ||||||
| Helmerich & Payne (A) | 1,810 | 66,771 | ||||||
| HollyFrontier (A) | 1,577 | 53,113 | ||||||
| Valero Energy | 862 | 57,108 | ||||||
| 443,553 | ||||||||
| Financials — 15.8% | ||||||||
| Affiliated Managers Group (A) | 946 | 71,158 | ||||||
| Allstate (A) | 694 | 73,043 | ||||||
| CIT Group (A) | 1,516 | 60,201 | ||||||
| Federated Hermes, Cl B | 2,457 | 70,884 | ||||||
| Fidelity National Financial (A) | 1,675 | 64,923 | ||||||
| First American Financial (A) | 577 | 32,947 | ||||||
| Hanover Insurance Group (A) | 564 | 66,857 | ||||||
| Lazard, Cl A (A) (B) | 2,033 | 72,822 | ||||||
| Legg Mason (A) | 2,234 | 111,298 | ||||||
| LPL Financial Holdings | 868 | 68,989 | ||||||
| MetLife (A) | 1,557 | 66,515 | ||||||
| Prudential Financial (A) | 765 | 57,719 | ||||||
| Santander Consumer USA Holdings (A) | 3,452 | 84,229 | ||||||
| Synchrony Financial (A) | 2,215 | 64,456 | ||||||
| Unum Group (A) | 2,787 | 64,965 | ||||||
| 1,031,006 | ||||||||
| Health Care — 21.0% | ||||||||
| AbbVie (A) | 902 | 77,310 | ||||||
| Acadia Healthcare (A) * | 2,439 | 72,195 | ||||||
| AmerisourceBergen, Cl A (A) | 946 | 79,767 | ||||||
| Amgen (A) | 333 | 66,510 | ||||||
| Biogen (A) * | 268 | 82,649 | ||||||
| Bristol-Myers Squibb (A) | 1,254 | 74,061 | ||||||
| Cardinal Health (A) | 1,562 | 81,412 | ||||||
| Centene * | 1,263 | 66,964 | ||||||
| Cerner | 1,097 | 75,989 | ||||||
| DaVita (A) * | 1,076 | 83,519 | ||||||
| Encompass Health | 56 | 4,191 | ||||||
| Envista Holdings * | 2,679 | 67,993 | ||||||
| Gilead Sciences (A) | 1,219 | 84,550 | ||||||
| Henry Schein (A) * | 1,207 | 73,555 | ||||||
| Humana * | 216 | 69,051 | ||||||
| Johnson & Johnson (A) | 551 | 74,098 | ||||||
| McKesson (A) | 576 | 80,559 | ||||||
| Merck (A) | 135 | 10,336 | ||||||
| Quest Diagnostics (A) | 752 | 79,757 | ||||||
| Universal Health Services, Cl B (A) | 560 | 69,294 | ||||||
| 1,373,760 | ||||||||
| Industrials — 16.4% | ||||||||
| AECOM * | 1,862 | 83,678 | ||||||
| AGCO (A) | 970 | 58,617 | ||||||
| Alaska Air Group (A) | 1,177 | 59,391 | ||||||
| Cummins (A) | 445 | 67,324 | ||||||
| Delta Air Lines (A) | 1,291 | 59,554 | ||||||
| JetBlue Airways (A) * | 4,257 | 67,176 | ||||||
| Knight-Swift Transportation Holdings, Cl A (A) | 2,245 | 71,705 | ||||||
| Macquarie Infrastructure (A) | 1,868 | 73,319 | ||||||
| ManpowerGroup (A) | 829 | 62,955 | ||||||
| MasTec * | 1,261 | 61,890 | ||||||
| Nielsen Holdings PLC | 3,982 | 72,512 | ||||||
| Regal Beloit | 941 | 73,059 | ||||||
| Robert Half International (A) | 166 | 8,368 | ||||||
| Ryder System (A) | 1,492 | 56,756 | ||||||
| Southwest Airlines (A) | 1,480 | 68,361 | ||||||
| United Airlines Holdings (A) * | 909 | 55,985 | ||||||
| XPO Logistics (A) * | 1,002 | 74,118 | ||||||
| 1,074,768 | ||||||||
| Information Technology — 29.0% | ||||||||
| Alliance Data Systems (A) | 724 | 62,177 | ||||||
| Amdocs (A) | 1,108 | 70,635 | ||||||
| Apple (A) | 278 | 75,994 | ||||||
| Arrow Electronics * | 952 | 63,841 | ||||||
FLAG-Forensic Accounting Long-Short ETF
Schedule of Investments
February 29, 2020 (Unaudited) (continued)
FLAG-Forensic Accounting Long-Short ETF
Schedule of Investments
February 29, 2020 (Unaudited) (concluded)
| Description | Shares | Fair Value | ||||||
| Real Estate (continued) | ||||||||
| Terreno Realty‡ | (1,121 | ) | $ | (61,509 | ) | |||
| WP Carey‡ | (609 | ) | (47,143 | ) | ||||
| (170,622 | ) | |||||||
| Total Common Stock | ||||||||
| (Proceeds $2,119,317) | (2,362,459 | ) | ||||||
| Total Securities Sold Short - (36.1)% | ||||||||
| (Proceeds $2,119,317) | $ | (2,362,459 | ) | |||||
Percentages are based on Net Assets of $6,541,111.
| * | Non-income producing security. |
| ‡ | Real Estate Investment Trust |
| (A) | Substantially all of the securities or a portion thereof, has been pledged as collateral for open short positions by the Fund. The aggregate market value of the collateral at February 29, 2020 was $5,256,116. |
| (B) | Securities considered Master Limited Partnership. At February 29, 2020, these securities amounted to $72,822 or 1.1% of Net Assets. |
Cl — Class
CVR — Contingent Value Right
PLC — Public Limited Company
As of February 29, 2020, all of the Fund’s investments in securities were considered Level 1, in accordance with the authoritative guidance on fair value measurements and disclosure under U.S. generally accepted accounting principles.
For the period ended February 29, 2020, there were no transfers in or out of Level 3.
For information on the Fund’s policy regarding valuation of investments and other significant accounting policies, please refer to the Fund’s most recent annual or semi-annual financial statements.
IDS-QH-001-1500
Item 2. Controls and Procedures
(a) The Registrant’s principal executive and principal financial officers, or persons performing similar functions, have concluded that the Registrant’s disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940, as amended (the “1940 Act”) (17 CFR 270.30a-3(c))) are effective, based on the evaluation of these controls and procedures required by Rule 30a-3(b) under the 1940 Act (17CFR 270.30a-3(b)) and Rule 13a-15(b) or 15d-15(b) under the Securities Exchange Act of 1934 (17 CFR 240.13a-15(b) or 240.15d-15(b)), as of a date within 90 days of the filing date of this report.
(b) There were no significant 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.
Item 3. Exhibits.
A separate certification for the principal executive officer and the principal financial officer of the Registrant as required by Rule 30a-2(a) under the 1940 Act (17 CFR 270.30a-2(a)), are filed herewith.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| (Registrant) | Exchange Traded Concepts Trust |
| By (Signature and Title) | /s/ J. Garrett Stevens |
| J. Garrett Stevens, Trustee and President |
Date: April 24, 2020
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the Registrant and in the capacities and on the dates indicated.
| By (Signature and Title) | /s/ J. Garrett Stevens |
| J. Garrett Stevens, Trustee and President |
Date: April 24, 2020
| By (Signature and Title) | /s/ James J. Baker, Jr. |
| James J. Baker, Jr., Treasurer |
Date: April 24, 2020
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