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.

 

Ideanomics NextGen Vehicles & Technology ETF

(Formerly, Innovation Shares NextGen Vehicles & Technology ETF)

Schedule of Investments

February 29, 2020 (Unaudited)

 

 

   

Description   Shares     Fair Value  
 
COMMON STOCK — 99.0%                
                 
Belgium — 0.9%                
Umicore     432     $ 17,923  
                 
Canada — 2.1%                
First Quantum Minerals     2,312       17,086  
Linamar     124       3,410  
Magna International     540       24,575  
              45,071  
Chile — 0.9%                
Sociedad Quimica y Minera de Chile ADR     696       19,056  
                 
China — 5.4%                
Baidu ADR*     752       90,225  
NIO ADR(A)*     5,808       23,987  
              114,212  
France — 5.7%                
Airbus     680       80,745  
Faurecia     192       8,622  
Renault     772       22,468  
Valeo     344       8,608  
              120,443  
Germany — 10.7%                
Continental     424       47,329  
Daimler     1,616       66,637  
Infineon Technologies     1,792       36,995  
Siemens     712       72,892  
              223,853  
Hong Kong — 7.5%                
BAIC Motor, Cl H     18,000       8,823  
BYD, Cl H(A)     6,000       36,725  
Geely Automobile Holdings     16,000       28,456  
Great Wall Motor, Cl H     24,000       17,369  
Guangzhou Automobile Group, Cl H     24,000       26,762  
MMG*     16,000       3,265  
Sinotruk Hong Kong     6,000       11,472  
Zijin Mining Group, Cl H     56,000       25,151  
              158,023  
Italy — 1.2%                
STMicroelectronics     916       24,531  
                 
Japan — 21.4%                
Denso     1,200       46,947  
Honda Motor     3,200       83,052  
Nidec     400       47,393  
Nissan Motor     10,400       44,699  
Panasonic     4,000       38,214  
Renesas Electronics*     2,000       12,071  
Rohm     100       6,582  
Sumitomo Chemical     3,200       11,659  
Sumitomo Metal Mining     400       9,959  
TDK     200       19,376  
Toray Industries     2,400       13,900  
Toyota Motor     1,200       79,288  
Toyota Tsusho     400       12,108  
Yaskawa Electric(A)     800       25,105  
              450,353  
Norway — 0.6%                
Norsk Hydro     4,316       12,148  
                 
Russia — 0.9%                
Yandex, Cl A*     480       19,493  
                 
South Korea — 5.9%                
Hyundai Mobis     148       25,591  
Hyundai Motor     404       38,254  
Kia Motors     620       18,506  
Samsung Electro-Mechanics     120       12,450  
Samsung SDI     124       30,119  
              124,920  
Switzerland — 3.3%                
ABB     3,196       68,711  
                 
United States — 32.5%                
  Communication Services— 4.6%                
Alphabet, Cl A*     72       96,426  
                 
  Consumer Discretionary—10.0%                
Aptiv PLC     408       31,869  
Autoliv(A)     172       11,478  
Tesla*     244       162,990  
Veoneer(A)*     236       2,905  
              209,242  
  Industrials— 1.6%                
Lyft, Cl A(A)*     892       34,003  
                 
  Information Technology— 14.5%                
Advanced Micro Devices*     1,244       56,577  
Ambarella*     48       2,854  
Intel     1,700       94,384  
Marvell Technology Group     948       20,192  
NVIDIA     428       115,590  
ON Semiconductor*     796       14,853  
              304,450  
  Materials— 1.8%                
Albemarle(A)     244       19,971  
FMC     188       17,503  
              37,474  
              681,595  
                 
Total Common Stock                
(Cost $2,211,945)              2,080,332  
MONEY MARKET — 0.8%                
JPMorgan U.S. Government Money Market Fund, Class L, 1.44%(B)     16,578       16,578  
                 
Total Money Market                
(Cost $16,578)             16,578  

 

 

 

 

Ideanomics NextGen Vehicles & Technology ETF

(Formerly, Innovation Shares NextGen Vehicles & Technology ETF)

Schedule of Investments

February 29, 2020 (Unaudited)

 

 

 

Description   Par Amount     Fair Value  
 
REPURCHASE AGREEMENT — 3.1%(C)(D)                
Deutsche Bank Sec, Inc                
1.590%, dated 02/28/2020, to be repurchased on 03/02/2019, repurchase price $64,795 (collateralized by various U.S. Treasury obligations, par values ranging from $9,852 to $54,326, 1.750% to 2.250%, 05/15/2023 to 04/30/2024 with a total market value of $66,082)   $ 64,786     $ 64,786  
                 
Total Repurchase  Agreement                
(Cost $64,786)             64,786  
                 
Total Investments - 102.9%                
(Cost $2,293,309)           $ 2,161,696  

  

Percentages are based on Net Assets of $2,101,652.

  

* Non-income producing security.
(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 $122,331.
(B) The rate reported is the 7-day effective yield as of February 29, 2020.
(C) Tri-Party Repurchase Agreement.
(D) 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 $64,786.

 

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   $ 2,080,332     $ —     $ —     $ 2,080,332  
Repurchase Agreement     —       64,786       —       64,786  
Money Market     16,578       —       —       16,578  
Total Investments in Securities   $ 2,096,910     $ 64,786     $ —     $ 2,161,696  

 

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-002-0500

 

 

 

 

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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