We could not find any results for:
Make sure your spelling is correct or try broadening your search.
Register for real-time alerts, custom portfolio, and market movers
| Name | Symbol | Market | Type |
|---|---|---|---|
| Invesco QQQ Trust Series 1 | NASDAQ:QQQ | NASDAQ | Exchange Traded Fund |
| Price Change | % Change | Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Traded | Last Trade | |
|---|---|---|---|---|---|---|---|---|---|---|
| 9.25 | 2.17% | 436.15 | 436.10 | 436.16 | 436.4699 | 432.85 | 434.44 | 48,514,208 | 00:59:41 |
The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
|
| Form N-CEN Filer Information |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-CEN ANNUAL REPORT FOR REGISTERED INVESTMENT COMPANIES | OMB APPROVAL |
| OMB Number: 3235-0729 Estimated average burden hours per response: 19.04 |
| a. Report for period ending: |
2019-12-31 |
| b. Does this report cover a period of less than 12 months? | Yes X No |
| a. Full name of Registrant |
Invesco QQQ Trust, Series 1 |
| b. Investment Company Act file number ( e.g., 811-) |
811-08947 |
| c. CIK |
0001067839 |
| d. LEI |
549300VY6FEJBCIMET58 |
| a. Street 1 |
3500 LACEY ROAD |
| Street 2 |
SUITE 700 |
| b. City |
DOWNERS GROVE |
| c. State, if applicable |
ILLINOIS
|
| d. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| e. Zip code and zip code extension, or foreign postal code | 60515 |
| f. Telephone number (including country code if foreign) |
800-983-0903 |
| g. Public Website, if any | www.invesco.com |
| Instruction. Provide the requested information for each person maintaining physical possession of each account, book, or other document required to be maintained by section 31(a) of the Act (15 U.S.C. 80a-30(a)) and the rules under that section. |
| Location books Record: 1 | |
| a. Name of person (e.g., a custodian of records) |
Invesco Advisers, Inc. |
| b. Street 1 |
11 Greenway Plaza |
| Street 2 |
Suite 1000 |
| c. City |
Houston |
| d. State, if applicable |
TEXAS
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code |
77046 |
| g. Telephone number (including country code if foreign) |
713-626-1919 |
| h. Briefly describe the books and records kept at this location: |
CERTAIN FINANCIAL, PORTFOLIO MANAGEMENT AND CLIENT-RELATED RECORDS. |
| Instruction. Respond "yes" to Item B.4.b only if the Registrant has filed an application to deregister or will file an application to deregister before its next required filing on this form. |
| a. Is this the first filing on this form by the Registrant? | Yes X No |
| b. Is this the last filing on this form by the Registrant? | Yes X No |
| Instruction. "Family of investment companies" means, except for insurance company separate accounts, any two or more registered investment companies that (i) share the same investment adviser or principal underwriter; and (ii) hold themselves out to investors as related companies for purposes of investment and investor services.In responding to this item, all Registrants in the family of investment companies should report the name of the family of investment companies identically. |
| Insurance company separate accounts that may not hold themselves out to investors as related companies (products) for purposes of investment and investor services should consider themselves part of the same family if the operational or accounting or control systems under which these entities function are substantially similar. |
| a. Is the Registrant part of a family of investment companies? | X Yes No |
| i. Full name of family of investment companies | INVESCOUIT |
| Instruction. For Item B.6.a.i., the Registrant should include all Series that have been established by the Registrant and have shares outstanding (other than shares issued in connection with an initial investment to satisfy section 14(a) of the Act). |
| Indicate the classification of the Registrant by checking the applicable item below. |
| Is the Registrant the issuer of a class of securities registered under the Securities Act of 1933 ("Securities Act")? | X Yes No |
| Provide the information requested below about each person serving as director of the Registrant (management investment companies only): |
| Provide the information requested below about each person serving as chief compliance officer of the Registrant for purposes of rule 38a-1 (17 CFR 270.38a- 1): |
| Chief compliance officer Record: 1 | |
| a. Full Name | Trisha Hancock |
| b. CRD Number, if any | 004373744 |
| c. Street Address 1 |
11 Greenway Plaza |
| Street Address 2 |
Suite 1000 |
| d. City |
Houston |
| e. State, if applicable |
TEXAS
|
| f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| g. Zip code and zip code extension, or foreign postal code | 77046 |
| h. Telephone number (including country code if foreign) | XXXXXX |
| i. Has the chief compliance officer changed since the last filing? | Yes X No |
| If the chief compliance officer is compensated or employed by any person other than the Registrant, or an affiliated person of the Registrant, for providing chief compliance officer services, provide: |
| CCO employer Record: 1 | |
| i. Name of the person | N/A |
| ii. Person's IRS Employer Identification Number | N/A |
| Instruction. Registrants registered on Forms N-3, N-4 or N-6, should respond "yes" to this Item only if security holder votes were solicited on contract-level matters. |
| Were any matters submitted by the Registrant for its security holders' vote during the reporting period? | Yes X No |
| Instruction. For purposes of this Item, the following proceedings should be described: (1) any bankruptcy, receivership or similar proceeding with respect to the Registrant or any of its significant subsidiaries; (2) any proceeding to which any director, officer or other affiliated person of the Registrant is a party adverse to the Registrant or any of its subsidiaries; and (3) any proceeding involving the revocation or suspension of the right of the Registrant to sell securities. |
| a. Have there been any material legal proceedings, other than routine litigation incidental to the business, to which the Registrant or any of its subsidiaries was a party or of which any of their property was the subject during the reporting period? | Yes X No |
| b. Has any proceeding previously reported been terminated? | Yes X No |
| a. Were any claims with respect to the Registrant filed under a fidelity bond (including, but not limited to, the fidelity insuring agreement of the bond) during the reporting period? | Yes X No |
| a. Are the Registrant's officers or directors covered in their capacities as officers or directors under any directors and officers/errors and omissions insurance policy owned by the Registrant or anyone else? | X Yes No |
| i. If yes, were any claims filed under the policy during the reporting period with respect to the Registrant? | Yes X No |
| Instruction. For purposes of this Item, a provision of financial support includes any (1) capital contribution, (2) purchase of a security from a Money Market Fund in reliance on rule 17a-9 under the Act (17 CFR 270.17a-9), (3) purchase of any defaulted or devalued security at fair value reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio, (4) execution of letter of credit or letter of indemnity, (5) capital support agreement (whether or not the Registrant ultimately received support), (6) performance guarantee, or (7) other similar action reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio. Provision of financial support does not include any (1) routine waiver of fees or reimbursement of Registrant's expenses, (2) routine inter-fund lending, (3) routine inter-fund purchases of Registrant's shares, or (4) action that would qualify as financial support as defined above, that the board of directors has otherwise determined not to be reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio. |
| Did an affiliated person, promoter, or principal underwriter of the Registrant, or an affiliated person of such a person, provide any form of financial support to the Registrant during the reporting period? | Yes X No |
| a. During the reporting period, did the Registrant rely on any orders from the Commission granting an exemption from one or more provisions of the Act, Securities Act or Exchange Act? | X Yes No |
| Release number Record: 1 | |
| i. If yes, provide below the release number for each order |
IC-27753 |
| a. Provide the information requested below about each principal underwriter: |
| Principal underwriter Record: 1 | |
| i. Full name |
Invesco Distributors, Inc. |
| ii. SEC file number (e.g., 8-) |
8-21323 |
| iii. CRD number |
000007369 |
| iv. LEI, if any | N/A |
| v. State, if applicable |
TEXAS
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor? | X Yes No |
| b. Have any principal underwriters been hired or terminated during the reporting period? | Yes X No |
| Provide the following information about eachthe independent public accountant: |
| Public accountant Record: 1 | |
| a. Full Name |
PricewaterhouseCoopers LLP |
| b. PCAOB Number |
238 |
| c. LEI, if any |
5493002GVO7EO8RNNS37 |
| d. State, if applicable |
ILLINOIS
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Has the independent public accountant changed since the last filing? | Yes X No |
| Instruction. Small business investment companies are not required to respond to this item. |
| For the reporting period, did an independent public accountant's report on internal control note any material weaknesses? | Yes No |
| For the reporting period, did an independent public accountant issue an opinion other than an unqualified opinion with respect to its audit of the Registrant's financial statements? | Yes X No |
| Instruction. Responses to this item need not include changes to valuation techniques used for individual securities (e.g., changing from market approach to income approach for a private equity security). In responding to Item B.20.c., provide the applicable "asset type" category specified in Item C.4.a. of Form N-PORT. In responding to Item B.20.d., provide a brief description of the type of investments involved. If the change in valuation methods applies only to certain sub-asset types included in the response to Item B.20.c., please provide the sub-asset types in the response to Item B.20.d. The responses to Item B.20.c. and Item B.20.d. should be identical only if the change in valuation methods applies to all assets within that category. |
| Have there been material changes in the method of valuation (e.g., change from use of bid price to mid price for fixed income securities or change in trigger threshold for use of fair value factors on international equity securities) of the Registrant's assets during the reporting period? | Yes X No |
| Have there been any changes in accounting principles or practices, or any change in the method of applying any such accounting principles or practices, which will materially affect the financial statements filed or to be filed for the current year with the Commission and which has not been previously reported? | Yes X No |
| Exchange Record: 1 |
| Security Exchanges Record: 1 | |
| a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed: |
NASDAQ - ALL MARKETS
|
| b. Ticker. Provide the Fund's ticker symbol: |
QQQ |
| Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
| For each authorized participant of the Fund, provide the following information: |
| Authorized Participants Record: 1 | |
| a. Full Name |
Virtu Financial Capital Markets LLC |
| b. SEC file number |
8-51262 |
| c. CRD number |
000045986 |
| d. LEI, if any |
N/A |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
0.00000000 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
0.00000000 |
| Authorized Participants Record: 2 | |
| a. Full Name |
National Bank of Canada Financial Inc. |
| b. SEC file number |
8-39947 |
| c. CRD number |
000022698 |
| d. LEI, if any |
549300K66TF1ST7A3V76 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
0.00000000 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
0.00000000 |
| Authorized Participants Record: 3 | |
| a. Full Name |
Barclays Capital Inc. |
| b. SEC file number |
8-41342 |
| c. CRD number |
000019714 |
| d. LEI, if any |
AC28XWWI3WIBK2824319 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
1,568,739,356 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
4,281,270,514 |
| Authorized Participants Record: 4 | |
| a. Full Name |
National Financial Services LLC |
| b. SEC file number |
8-26740 |
| c. CRD number |
000013041 |
| d. LEI, if any |
549300JRHF1MHHWUAW04 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
0.00000000 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
0.00000000 |
| Authorized Participants Record: 5 | |
| a. Full Name |
MUFG Securities Americas Inc. |
| b. SEC file number |
8-43026 |
| c. CRD number |
000019685 |
| d. LEI, if any |
K5HU16E3LMSVCCJJJ255 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
0.00000000 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
0.00000000 |
| Authorized Participants Record: 6 | |
| a. Full Name |
Cantor Fitzgerald & Co. |
| b. SEC file number |
8-00201 |
| c. CRD number |
000000134 |
| d. LEI, if any |
5493004J7H4GCPG6OB62 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
0.00000000 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
0.00000000 |
| Authorized Participants Record: 7 | |
| a. Full Name |
ABN AMRO Securities (USA) LLC |
| b. SEC file number |
8-68398 |
| c. CRD number |
000151796 |
| d. LEI, if any |
549300FIFV1CB6HD9A14 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
0.00000000 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
0.00000000 |
| Authorized Participants Record: 8 | |
| a. Full Name |
Natixis Securities Americas LLC |
| b. SEC file number |
8-00719 |
| c. CRD number |
000001101 |
| d. LEI, if any |
549300L8G1E7ZHVEOG75 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
89,166,788.1 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
273,575,873.9 |
| Authorized Participants Record: 9 | |
| a. Full Name |
Virtu Americas LLC |
| b. SEC file number |
8-68193 |
| c. CRD number |
000149823 |
| d. LEI, if any |
549300RA02N3BNSWBV74 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
547,683,430.7 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
1,740,007,432 |
| Authorized Participants Record: 10 | |
| a. Full Name |
BNP Paribas Securities Corp. |
| b. SEC file number |
8-32682 |
| c. CRD number |
000015794 |
| d. LEI, if any |
RCNB6OTYUAMMP879YW96 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
4,311,357,742 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
4,649,289,865 |
| Authorized Participants Record: 11 | |
| a. Full Name |
Citadel Securities LLC |
| b. SEC file number |
8-53574 |
| c. CRD number |
000116797 |
| d. LEI, if any |
12UUJYTN7D3SW8KCSG25 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
7,797,423,158 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
8,968,385,482 |
| Authorized Participants Record: 12 | |
| a. Full Name |
HRT Financial LLC |
| b. SEC file number |
8-68430 |
| c. CRD number |
000152144 |
| d. LEI, if any |
21380037YFKONTT23854 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
0.00000000 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
0.00000000 |
| Authorized Participants Record: 13 | |
| a. Full Name |
Natwest Markets Securities Inc. |
| b. SEC file number |
8-37135 |
| c. CRD number |
000011707 |
| d. LEI, if any |
ZE2ZWJ5BTIQJ8M0C6K34 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
0.00000000 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
0.00000000 |
| Authorized Participants Record: 14 | |
| a. Full Name |
Credit Suisse Securities (USA) LLC |
| b. SEC file number |
8-00422 |
| c. CRD number |
000000816 |
| d. LEI, if any |
1V8Y6QCX6YMJ2OELII46 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
980,892,464.6 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
698,400,517.1 |
| Authorized Participants Record: 15 | |
| a. Full Name |
Goldman, Sachs & Co. |
| b. SEC file number |
8-00129 |
| c. CRD number |
000000361 |
| d. LEI, if any |
FOR8UP27PHTHYVLBNG30 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
15,856,314,915 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
18,178,215,857 |
| Authorized Participants Record: 16 | |
| a. Full Name |
CIBC World Markets Corp. |
| b. SEC file number |
8-18333 |
| c. CRD number |
000000630 |
| d. LEI, if any |
549300445CON3DBMU275 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
0.00000000 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
66,114,223.15 |
| Authorized Participants Record: 17 | |
| a. Full Name |
Cowen Execution Services LLC |
| b. SEC file number |
8-46838 |
| c. CRD number |
000035693 |
| d. LEI, if any |
5493005RJDJD18OPUP27 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
0.00000000 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
20,209,930.39 |
| Authorized Participants Record: 18 | |
| a. Full Name |
Nomura Securities International, Inc. |
| b. SEC file number |
8-15255 |
| c. CRD number |
000004297 |
| d. LEI, if any |
OXTKY6Q8X53C9ILVV871 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
0.00000000 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
86,776,941.33 |
| Authorized Participants Record: 19 | |
| a. Full Name |
Electronic Transaction Clearing, Inc. |
| b. SEC file number |
8-67790 |
| c. CRD number |
000146122 |
| d. LEI, if any |
N/A |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
0.00000000 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
0.00000000 |
| Authorized Participants Record: 20 | |
| a. Full Name |
Jefferies LLC |
| b. SEC file number |
8-15074 |
| c. CRD number |
000002347 |
| d. LEI, if any |
58PU97L1C0WSRCWADL48 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
0.00000000 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
0.00000000 |
| Authorized Participants Record: 21 | |
| a. Full Name |
Deutsche Bank Securities, Inc. |
| b. SEC file number |
8-17822 |
| c. CRD number |
000002525 |
| d. LEI, if any |
9J6MBOOO7BECTDTUZW19 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
3,032,913,931 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
4,605,184,486 |
| Authorized Participants Record: 22 | |
| a. Full Name |
Wedbush Securities Inc. |
| b. SEC file number |
8-12987 |
| c. CRD number |
000000877 |
| d. LEI, if any |
549300CSX55MXZ47EI78 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
36,091,247.26 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
142,568,310.9 |
| Authorized Participants Record: 23 | |
| a. Full Name |
Banca IMI Securities Corp. |
| b. SEC file number |
8-37444 |
| c. CRD number |
000019418 |
| d. LEI, if any |
V48XYRSNOB3HY0J4NK61 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
0.00000000 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
0.00000000 |
| Authorized Participants Record: 24 | |
| a. Full Name |
J.P. Morgan Securities LLC |
| b. SEC file number |
8-35008 |
| c. CRD number |
000000079 |
| d. LEI, if any |
ZBUT11V806EZRVTWT807 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
241,136,451.9 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
1,361,547,909 |
| Authorized Participants Record: 25 | |
| a. Full Name |
Citigroup Global Markets Inc. |
| b. SEC file number |
8-8177 |
| c. CRD number |
000007059 |
| d. LEI, if any |
MBNUM2BPBDO7JBLYG310 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
2,507,871,117 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
1,572,993,057 |
| Authorized Participants Record: 26 | |
| a. Full Name |
Mizuho Securities USA LLC |
| b. SEC file number |
8-37710 |
| c. CRD number |
000019647 |
| d. LEI, if any |
7TK5RJIZDFROZCA6XF66 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
0.00000000 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
0.00000000 |
| Authorized Participants Record: 27 | |
| a. Full Name |
HSBC Securities (USA) Inc. |
| b. SEC file number |
8-41562 |
| c. CRD number |
000019585 |
| d. LEI, if any |
CYYGQCGNHMHPSMRL3R97 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
0.00000000 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
0.00000000 |
| Authorized Participants Record: 28 | |
| a. Full Name |
Morgan Stanley & Co. LLC |
| b. SEC file number |
8-15869 |
| c. CRD number |
000008209 |
| d. LEI, if any |
9R7GPTSO7KV3UQJZQ078 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
4,624,758,925 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
7,724,680,439 |
| Authorized Participants Record: 29 | |
| a. Full Name |
Wells Fargo Securities, LLC |
| b. SEC file number |
8-22947 |
| c. CRD number |
000126292 |
| d. LEI, if any |
VYVVCKR63DVZZN70PB21 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
0.00000000 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
303,058,542.6 |
| Authorized Participants Record: 30 | |
| a. Full Name |
ING Financial Markets LLC |
| b. SEC file number |
8-43978 |
| c. CRD number |
000028872 |
| d. LEI, if any |
KBVRJ5K57JZ3E2AVWX40 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
0.00000000 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
0.00000000 |
| Authorized Participants Record: 31 | |
| a. Full Name |
SG Americas Securities, LLC |
| b. SEC file number |
8-66125 |
| c. CRD number |
000128351 |
| d. LEI, if any |
549300F35UE0BOM1WJ55 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
12,800,029,531 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
17,644,934,536 |
| Authorized Participants Record: 32 | |
| a. Full Name |
Scotia Capital (USA) Inc. |
| b. SEC file number |
8-3716 |
| c. CRD number |
000002739 |
| d. LEI, if any |
549300BLWPABP1VNME36 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
0.00000000 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
0.00000000 |
| Authorized Participants Record: 33 | |
| a. Full Name |
UBS Securities LLC |
| b. SEC file number |
8-22651 |
| c. CRD number |
000007654 |
| d. LEI, if any |
T6FIZBDPKLYJKFCRVK44 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
2,571,048,205 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
2,843,850,226 |
| Authorized Participants Record: 34 | |
| a. Full Name |
RBC Capital Markets, LLC |
| b. SEC file number |
8-45411 |
| c. CRD number |
000031194 |
| d. LEI, if any |
549300LCO2FLSSVFFR64 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
138,042,922.3 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
599,229,939.5 |
| Authorized Participants Record: 35 | |
| a. Full Name |
Timber Hill LLC |
| b. SEC file number |
8-28569 |
| c. CRD number |
000033319 |
| d. LEI, if any |
549300ENR8YMEK2RVE28 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
0.00000000 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
0.00000000 |
| Authorized Participants Record: 36 | |
| a. Full Name |
Interactive Brokers LLC |
| b. SEC file number |
8-47257 |
| c. CRD number |
000036418 |
| d. LEI, if any |
50OBSE5T5521O6SMZR28 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
0.00000000 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
31,411,160.49 |
| Authorized Participants Record: 37 | |
| a. Full Name |
Merrill Lynch Professional Clearing Corp. |
| b. SEC file number |
8-33359 |
| c. CRD number |
000016139 |
| d. LEI, if any |
549300PMHS66E71I2D34 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
33,623,493,696 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
15,874,751,267 |
| Authorized Participants Record: 38 | |
| a. Full Name |
BMO Capital Markets Corp. |
| b. SEC file number |
8-34344 |
| c. CRD number |
000016686 |
| d. LEI, if any |
RUC0QBLBRPRCU4W1NE59 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
356,108,866.1 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
161,211,668.3 |
| Authorized Participants Record: 39 | |
| a. Full Name |
ABN AMRO Clearing Chicago LLC |
| b. SEC file number |
8-34354 |
| c. CRD number |
000014020 |
| d. LEI, if any |
549300U16G4LU3V6C598 |
| e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period: |
27,450,533,690 |
| f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period: |
22,727,756,112 |
|
g. Did the Fund require that an authorized participant post
collateral to the Fund or
any of its designated service providers
in
connection with the purchase or redemption of Fund shares during the reporting period? | X Yes No |
| Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
| a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: |
50,000 |
| b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: |
0.120808063
%
|
| ii. The standard deviation of the percentage of that value composed of cash: |
0.103284759
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: |
99.87919194
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: |
0.103284759
%
|
| c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: |
0.127680412
%
|
| ii. The standard deviation of the percentage of that value composed of cash: |
0.1496917
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: |
99.87231959
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: |
0.149691699
%
|
| d. For creation units purchased by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: |
0 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: |
605.920444 |
| 3. A percentage of the value of each creation unit, if charged on that basis: |
0
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: |
0 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: |
605.920444 |
| 3. A percentage of the value of each creation unit, if charged on that basis: |
0
%
|
| e. For creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: |
0 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: |
605.3333333 |
| 3. A percentage of the value of each creation unit, if charged on that basis: |
0
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: |
0 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: |
605.3333333 |
| 3. A percentage of the value of each creation unit, if charged on that basis: |
0
%
|
| a. If the Fund is an Index Fund as defined in Item C.3 of this Form, provide the following information: |
| i. Is the index whose performance the Fund tracks, constructed: |
| 1. By an affiliated person of the fund? | Yes X No |
| 2. Exclusively for the fund? | Yes X No |
| ii. The annualized difference between the Fund’s total return during the reporting period and the index’s return during the reporting period (i.e., the Fund’s total return less the index’s return): |
| 1. Before Fund fees and expenses: |
0.051003 |
| 2. After Fund fees and expenses (i.e., net asset value): |
-0.175521 |
| iii. The annualized standard deviation of the daily difference between the Fund’s total return and the index’s return during the reporting period: |
| 1. Before Fund fees and expenses: |
0.110639 |
| 2. After Fund fees and expenses (i.e., net asset value): |
0.110639 |
| Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | Yes X No |
| Provide the following information about the depositor: |
| Depositor Record: 1 | |
| a. Full Name |
THE DEPOSITORY TRUST COMPANY |
| b. CRD number, if any |
N/A |
| c. LEI, if any |
549300HBJLRO8YFMI370 |
| d. State, if applicable |
NEW YORK
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Full Name of ultimate parent of depositor |
THE DEPOSITORY TRUST & CLEARING CORP. |
| a. Provide the following information about each administrator of the Fund: |
| i. Full Name | |
| ii. LEI, if any, or provide and describe other identifying number | |
| Description of other identifying number | |
| iii. State, if applicable | |
| iv. Foreign country, if applicable | |
| v. Is the administrator an affiliated person of the Fund or depositor? | Yes No |
| vi. Is the administrator a sub-administrator? | Yes No |
| b. Has an administrator been hired or terminated during the reporting period? | Yes X No |
| Instruction. If the answer to Item F.3 is yes, respond to Item F.12 through Item F.17. If the answer to Item F.3 is no, respond to Item F.4 through Item F.11, and Item F.17. |
| Is the Registrant a separate account of an insurance company? | Yes X No |
| Provide the following information about each sponsor: |
| Sponsor Record: 1 | ||
| a. Full Name |
INVESCO CAPITAL MANAGEMENT LLC | |
| b. CRD number, if any |
000125601 | |
| c. LEI, if any |
EJW8VXOT5RJ3PPMVEB49 | |
| d. State, if applicable |
ILLINOIS
| |
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
| |
| Provide the following information about each trustee: |
| Trustee Record: 1 | ||
| a. Full Name |
THE BANK OF NEW YORK MELLON | |
| b. State, if applicable |
NEW YORK
| |
| c. Foreign country, if applicable |
UNITED STATES OF AMERICA
| |
| a. Provide the number of series existing at the end of the reporting period that had outstanding securities registered under the Securities Act: |
1 |
| b. Provide the CIK for each of these existing series: |
| Series CIK Record: 1 | ||
| Series CIK: |
0001067839 | |
| a. Number of new series for which registration statements under the Securities Act became effective during the reporting period: |
0 |
| b. Total aggregate value of the portfolio securities on the date of deposit for the new series: |
0 |
| Number of series for which a current prospectus was in existence at the end of the reporting period: |
1 |
| a. Number of existing series for which additional units were registered under the Securities Act during the reporting period: |
0 |
| b. Total value of additional units: |
0.00000000 |
| Total value of units of prior series that were placed in the portfolios of subsequent series during the reporting period (the value of these units is to be measured on the date they were placed in the subsequent series): |
0.00000000 |
| Provide the total assets of all series of the Registrant combined as of the end of the reporting period: |
87,290,221,716.85000000 |
| Instruction.
This item may be used by a unit investment
trust that divested
itself of securities in accordance with
section 13(c). A unit
investment trust is not required to include
disclosure under this
item; however, the limitation on civil,
criminal, and administrative
actions under section 13(c) does not
apply with respect to a
divestment that is not disclosed under
this item.
If a unit investment trust divests itself of securities in accordance with section 13(c) during the period that begins on the fifth business day before the date of filing a report on Form N-CEN and ends on the date of filing, the unit investment trust may disclose the divestment in either the report or an amendment thereto that is filed not later than five business days after the date of filing the report. For purposes of determining when a divestment should be reported under this item, if a unit investment trust divests its holdings in a particular security in a related series of transactions, the unit investment trust may deem the divestment to occur at the time of the final transaction in the series. In that case, the unit investment trust should report each transaction in the series on a single report on Form N-CEN, but should separately state each date on which securities were divested and the total number of shares or, for debt securities, principal amount divested, on each such date. Item F.17 shall terminate one year after the first date on which all statutory provisions that underlie section 13(c) have terminated. |
| a. If the Registrant has divested itself of securities in accordance with section 13(c) of the Act (15 U.S.C. 80a-13(c)) since the end of the reporting period immediately prior to the current reporting period and before filing of the current report, disclose the information requested below for each such divested security: |
| i. Full name of the issuer | |
| ii. Ticker Symbol | |
| iii. CUSIP number | |
| iv. Total number of shares or, for debt securities, principal amount divested: | |
| v. Date that the securities were divested: | |
| vi. Name of the statute that added the provision of section 13(c) in accordance with which the securities were divested: |
| b. If the Registrant holds any securities of the issuer on the date of the filing, provide the information requested below: |
| i. Ticker Symbol | |
| ii. CUSIP number | |
| iii. Total number of shares or, for debt securities, principal amount held on the date of the filing: |
| Attachments applicable to all Registrants. All Registrants shall file the following attachments, as applicable, with the current report. Indicate the attachments filed with the current report by checking the applicable items below: |
i. Legal proceedings
ii. Provision of financial support iii. Independent public accountant's report on internal control (management investment companies other than small business investment companies only) iv. Change in accounting principles and practices v. Information required to be filed pursuant to exemptive orders vi. Other information required to be included as an attachment pursuant to Commission rules and regulations |
| Instructions. 1. Item G.1.a.i. Legal proceedings. (a) If the Registrant responded "YES" to Item B.11.a., provide a brief description of the proceedings. As part of the description, provide the case or docket number (if any), and the full names of the principal parties to the proceeding. (b) If the Registrant responded "YES" to Item B.11.b., identify the proceeding and give its date of termination. 2. Item G.1.a.ii. Provision of financial support. If the Registrant responded "YES" to Item B.14., provide the following information (unless the Registrant is a Money Market Fund): (a) Description of nature of support. (b) Person providing support. (c) Brief description of relationship between the person providing support and the Registrant. (d) Date support provided. (e) Amount of support. (f) Security supported (if applicable). Disclose the full name of the issuer, the title of the issue (including coupon or yield, if applicable) and at least two identifiers, if available (e.g., CIK, CUSIP, ISIN, LEI). (g) Value of security supported on date support was initiated (if applicable). (h) Brief description of reason for support. (i) Term of support. (j) Brief description of any contractual restrictions relating to support. 3. Item G.1.a.iii. Independent public accountant's report on internal control (management investment companies other than small business investment companies only). Each management investment company shall furnish a report of its independent public accountant on the company's system of internal accounting controls. The accountant's report shall be based on the review, study and evaluation of the accounting system, internal accounting controls, and procedures for safeguarding securities made during the audit of the financial statements for the reporting period. The report should disclose any material weaknesses in: (a) the accounting system; (b) system of internal accounting control; or (c) procedures for safeguarding securities which exist as of the end of the Registrant's fiscal year. The accountant's report shall be furnished as an exhibit to the form and shall: (1) be addressed to the Registrant's shareholders and board of directors; (2) be dated; (3) be signed manually; and (4) indicate the city and state where issued. Attachments that include a report that discloses a material weakness should include an indication by the Registrant of any corrective action taken or proposed. The fact that an accountant's report is attached to this form shall not be regarded as acknowledging any review of this form by the independent public accountant. 4. Item G.1.a.iv. Change in accounting principles and practices. If the Registrant responded "YES" to Item B.21, provide an attachment that describes the change in accounting principles or practices, or the change in the method of applying any such accounting principles or practices. State the date of the change and the reasons therefor. A letter from the Registrant's independent accountants, approving or otherwise commenting on the change, shall accompany the description. 5. Item G.1.a.v. Information required to be filed pursuant to exemptive orders. File as an attachment any information required to be reported on Form N-CEN or any predecessor form to Form N-CEN (e.g., Form N-SAR) pursuant to exemptive orders issued by the Commission and relied on by the Registrant. 6. Item G.1.a.vi. Other information required to be included as an attachment pursuant to Commission rules and regulations. File as an attachment any other information required to be included as an attachment pursuant to Commission rules and regulations. |
| Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. | |||
| Registrant |
Invesco QQQ Trust, Series 1 | ||
| Date |
2020-03-16 | ||
| Signature |
Kelli Gallegos | ||
| Title |
Your Recent History
It looks like you are not logged in. Click the button below to log in and keep track of your recent history. 
Get The App  Support: +44 (0) 203 8794 460 | support@advfn.com By accessing the services available at ADVFN you are agreeing to be bound by ADVFN's Terms & Conditions | ||
Hot Features
Premium
