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.

 

Innovation Shares

NextGen Protocol ETF

Schedule of Investments

February 29, 2020 (Unaudited)

 

 

 

Description   Shares/Par Amount     Fair Value  
 
COMMON STOCK — 99.4%                
                 
Canada — 0.2%                
TMX Group     156     $ 12,982  
                 
France — 6.2%                
AXA     7,116       163,797  
BNP Paribas     3,312       159,293  
Capgemini     564       61,470  
Engie     7,152       118,078  
              502,638  
Germany — 3.9%                
SAP     2,160       264,694  
Wirecard(A)     432       54,547  
              319,241  
Hong Kong — 1.9%                
Hong Kong Exchanges & Clearing     4,800       157,556  
                 
India — 1.9%                
Infosys ADR     15,168       152,742  
                 
Japan — 1.1%                
GMO internet     600       9,974  
HIS     500       9,873  
Monex Group     4,800       9,256  
Rakuten     4,800       40,183  
SBI Holdings     900       18,148  
              87,434  
South Korea — 1.5%                
Kakao     204       28,891  
Samsung SDS     300       41,128  
SK Telecom     276       48,291  
              118,310  
Switzerland — 4.2%                
Nestle     3,348       341,908  
                 
Taiwan — 5.4%                
Hon Hai Precision Industry     36,000       95,470  
Taiwan Semiconductor Manufacturing ADR     6,384       343,715  
              439,185  
United Kingdom — 3.5%                
BP PLC     56,796       287,390  
                 
United States — 69.6%                
Consumer Discretionary— 4.5%                
Amazon.com*     192       361,680  
                 
Consumer Staples— 0.3%                
Bunge     432       20,282  
                 
Financials— 5.4%                
American Express     2,352       258,555  
                 
CME Group, Cl A     924       183,710  
              442,265  
Industrials— 2.3%                
FedEx     864       121,971  
IHS Markit     936       66,681  
              188,652  
Information Technology— 57.1%                
Accenture PLC, Cl A     1,476       266,551  
Advanced Micro Devices*     2,784       126,616  
Cisco Systems     7,284       290,850  
Intel     6,540       363,101  
International Business Machines     2,412       313,922  
Intuit     732       194,602  
Mastercard, Cl A     1,200       348,300  
Micron Technology*     2,868       150,742  
Microsoft     2,280       369,383  
NVIDIA     1,512       408,346  
Oracle     6,048       299,134  
PayPal Holdings*     3,240       349,888  
salesforce.com*     2,184       372,154  
Square, Cl A(A) *     1,560       129,995  
Visa, Cl A(A)     1,932       351,160  
VMware, Cl A(A) *     1,572       189,457  
Xilinx     1,356       113,212  
              4,637,413  
              5,650,292  
                 
Total Common Stock                
(Cost $7,281,083)              8,069,678  
                 
REPURCHASE AGREEMENT — 0.7%(B)(C)                
JP MORGAN SECURITIES LLC                
1.590%,dated 2/28/2020, to be repurchased on 3/2/2020, repurchase price $56,427 (collateralized by various
U.S. Treasury obligations, par values ranging from $16,074 to $38,737, 1.500% to 2.875%, 11/30/2024 to
5/31/2025, with a total market value of $57,548) 		    56,420       56,420  
                 
Total Repurchase Agreement                
(Cost $56,420)              56,420  
                 
MONEY MARKET — 0.4%                
JPMorgan U.S. Government Money Market Fund, Class L, 1.44%(D)     33,175       33,175  
                 
Total Money Market                
(Cost $33,175)             33,175  
                 
Total Investments - 100.5%                
(Cost $7,370,678)           $ 8,159,273  

  

Percentages are based on Net Assets of $8,119,165.

 

* Non-income producing security.

 

 

 

 

Innovation Shares

NextGen Protocol ETF

Schedule of Investments

February 29, 2020 (Unaudited)

 

 

 

(A) Certain securities or partial positions of certain securities are on loan at February 29, 2020. The total market value of securities on loan at February 29, 2020 was $704,020.
(B) Tri-Party Repurchase Agreement.
(C) This security was purchased with cash collateral held from securities on loan. The total market value of such securities as of February 29, 2020 was $56,420.
(D) The rate reported is the 7-day effective yield as of February 29, 2020.

  

ADR — American Depositary Receipt

Cl — Class

PLC — Public Limited Company

 

The following is a list of the inputs used as of February 29, 2020 in valuing the Fund’s investments carried at value:

  

Investments in Securities   Level 1     Level 2     Level 3     Total  
Common Stock   $ 8,069,678     $ —     $ —     $ 8,069,678  
Repurchase Agreement     —       56,420       —       56,420  
Money Market     33,175       —       —       33,175  
Total Investments in Securities   $ 8,102,853     $ 56,420     $ —     $ 8,159,273  

  

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.

 

INN-QH-001-0500

 

 

 

 

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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