Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company (n-q)
28 Abril 2020 - 9:13AM
Edgar (US Regulatory)
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:
811-23226
Listed Funds Trust
(Exact name of registrant as specified in charter)
615 East Michigan Street
Milwaukee, WI 53202
(Address of principal executive offices) (Zip code)
Kent Barnes
U.S. Bank Global Fund Services
615 East Michigan Street
Milwaukee, WI 53202
(Name and address of agent for service)
Registrant's telephone number, including area code: (414) 765-6511
Copies to:
Laura E. Flores
John McGuire
Morgan Lewis & Bockius LLP
1111 Pennsylvania Avenue, NW
Washington, D.C. 20004-2541
Date of fiscal year end: May 31
Date of reporting period: February 29, 2020
Item 1. Schedule of Investments.
Wahed FTSE USA Shariah ETF
|
|
Schedule of Investments
|
|
February 29, 2020 (Unaudited)
|
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|
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Number
of Shares
|
|
|
Value
|
|
COMMON STOCKS — 99.7%
|
|
|
|
|
|
|
Administrative and Support Services — 1.4%
|
|
|
|
|
|
|
Booking Holdings, Inc. (a)
|
|
|
133
|
|
|
$
|
225,523
|
|
FleetCor Technologies, Inc. (a)
|
|
|
272
|
|
|
|
72,295
|
|
Gartner, Inc. (a)
|
|
|
287
|
|
|
|
37,135
|
|
Robert Half International, Inc.
|
|
|
359
|
|
|
|
18,097
|
|
Rollins, Inc.
|
|
|
448
|
|
|
|
16,773
|
|
|
|
|
|
|
|
|
|
369,823
|
|
Air Transportation — 0.2%
|
|
|
|
|
|
|
|
|
Alaska Air Group, Inc.
|
|
|
97
|
|
|
|
4,895
|
|
Delta Air Lines, Inc.
|
|
|
515
|
|
|
|
23,757
|
|
Southwest Airlines Co.
|
|
|
423
|
|
|
|
19,538
|
|
United Airlines Holdings, Inc. (a)
|
|
|
197
|
|
|
|
12,133
|
|
|
|
|
|
|
|
|
|
60,323
|
|
Ambulatory Health Care Services — 0.3%
|
|
|
|
|
|
|
|
|
DaVita, Inc. (a)
|
|
|
312
|
|
|
|
24,218
|
|
Quest Diagnostics, Inc.
|
|
|
423
|
|
|
|
44,863
|
|
|
|
|
|
|
|
|
|
69,081
|
|
Apparel Manufacturing — 0.8%
|
|
|
|
|
|
|
|
|
Lululemon Athletica, Inc. (a)(b)
|
|
|
378
|
|
|
|
82,181
|
|
PVH Corp.
|
|
|
231
|
|
|
|
17,119
|
|
Ralph Lauren Corp.
|
|
|
151
|
|
|
|
15,932
|
|
Under Armour, Inc. - Class A (a)
|
|
|
599
|
|
|
|
8,500
|
|
Under Armour, Inc. - Class C (a)
|
|
|
608
|
|
|
|
7,588
|
|
VF Corp.
|
|
|
980
|
|
|
|
70,560
|
|
|
|
|
|
|
|
|
|
201,880
|
|
Beverage and Tobacco Product Manufacturing — 0.5%
|
|
|
|
|
|
|
|
|
Coca-Cola European Partners PLC (b)
|
|
|
556
|
|
|
|
28,334
|
|
Keurig Dr. Pepper, Inc.
|
|
|
635
|
|
|
|
17,704
|
|
Monster Beverage Corp. (a)
|
|
|
1,225
|
|
|
|
76,452
|
|
|
|
|
|
|
|
|
|
122,490
|
|
Chemical Manufacturing — 17.5%
|
|
|
|
|
|
|
|
|
Abbott Laboratories
|
|
|
5,524
|
|
|
|
425,514
|
|
Air Products & Chemicals, Inc.
|
|
|
708
|
|
|
|
155,484
|
|
Albemarle Corp.
|
|
|
337
|
|
|
|
27,584
|
|
Alexion Pharmaceuticals, Inc. (a)
|
|
|
684
|
|
|
|
64,316
|
|
Allergan PLC
|
|
|
1,057
|
|
|
|
201,538
|
|
Biogen, Inc. (a)
|
|
|
574
|
|
|
|
177,016
|
|
BioMarin Pharmaceutical, Inc. (a)
|
|
|
568
|
|
|
|
51,330
|
|
CF Industries Holdings, Inc.
|
|
|
733
|
|
|
|
27,018
|
|
Church & Dwight Co., Inc.
|
|
|
783
|
|
|
|
54,434
|
|
Dow, Inc.
|
|
|
2,396
|
|
|
|
96,822
|
|
DuPont de Nemours, Inc.
|
|
|
2,357
|
|
|
|
101,115
|
|
FMC Corp.
|
|
|
408
|
|
|
|
37,985
|
|
International Flavors & Fragrances, Inc.
|
|
|
341
|
|
|
|
40,845
|
|
Jazz Pharmaceuticals PLC (a)(b)
|
|
|
174
|
|
|
|
19,937
|
|
Johnson & Johnson
|
|
|
8,512
|
|
|
|
1,144,694
|
|
Linde PLC (b)
|
|
|
1,724
|
|
|
|
329,301
|
|
Merck & Co., Inc.
|
|
|
8,153
|
|
|
|
624,194
|
|
Perrigo Co. PLC (b)
|
|
|
391
|
|
|
|
19,820
|
|
Pfizer, Inc.
|
|
|
17,877
|
|
|
|
597,449
|
|
PPG Industries, Inc.
|
|
|
759
|
|
|
|
79,278
|
|
Regeneron Pharmaceuticals, Inc. (a)
|
|
|
258
|
|
|
|
114,699
|
|
The Estee Lauder Cos., Inc. - Class A
|
|
|
695
|
|
|
|
127,602
|
|
The Mosaic Co.
|
|
|
1,105
|
|
|
|
18,818
|
|
Westlake Chemical Corp.
|
|
|
102
|
|
|
|
5,699
|
|
|
|
|
|
|
|
|
|
4,542,492
|
|
Clothing and Clothing Accessories Stores — 1.7%
|
|
|
|
|
|
|
|
|
Foot Locker, Inc.
|
|
|
340
|
|
|
|
12,325
|
|
Nordstrom, Inc.
|
|
|
344
|
|
|
|
11,937
|
|
Ross Stores, Inc.
|
|
|
1,136
|
|
|
|
123,574
|
|
The Gap, Inc.
|
|
|
691
|
|
|
|
9,902
|
|
The TJX Cos., Inc.
|
|
|
3,913
|
|
|
|
233,997
|
|
Tiffany & Co.
|
|
|
383
|
|
|
|
51,165
|
|
|
|
|
|
|
|
|
|
442,900
|
|
Computer and Electronic Product Manufacturing — 28.7% (c)
|
|
|
|
|
|
|
|
|
Advanced Micro Devices, Inc. (a)
|
|
|
3,303
|
|
|
|
150,221
|
|
Agilent Technologies, Inc.
|
|
|
989
|
|
|
|
76,222
|
|
Analog Devices, Inc.
|
|
|
1,179
|
|
|
|
128,570
|
|
Apple, Inc.
|
|
|
14,255
|
|
|
|
3,896,747
|
|
Danaher Corp.
|
|
|
1,969
|
|
|
|
284,678
|
|
Eaton Corp. PLC
|
|
|
1,321
|
|
|
|
119,841
|
|
Flex Ltd. (a)
|
|
|
1,624
|
|
|
|
18,043
|
|
Fortive Corp.
|
|
|
935
|
|
|
|
64,665
|
|
HP, Inc.
|
|
|
4,732
|
|
|
|
98,378
|
|
Intel Corp.
|
|
|
13,971
|
|
|
|
775,670
|
|
Jabil, Inc.
|
|
|
472
|
|
|
|
15,128
|
|
Juniper Networks, Inc.
|
|
|
1,060
|
|
|
|
22,493
|
|
Marvell Technology Group Ltd.
|
|
|
2,122
|
|
|
|
45,199
|
|
Medtronic PLC (b)
|
|
|
4,311
|
|
|
|
433,988
|
|
Micron Technology, Inc. (a)
|
|
|
3,529
|
|
|
|
185,484
|
|
NXP Semiconductors NV (b)
|
|
|
885
|
|
|
|
100,616
|
|
Roper Technologies, Inc.
|
|
|
322
|
|
|
|
113,247
|
|
Seagate Technology PLC
|
|
|
840
|
|
|
|
40,278
|
|
Sensata Technologies Holding PLC (a)
|
|
|
493
|
|
|
|
20,114
|
|
Texas Instruments, Inc.
|
|
|
3,016
|
|
|
|
344,246
|
|
Thermo Fisher Scientific, Inc.
|
|
|
1,275
|
|
|
|
370,770
|
|
Trimble, Inc. (a)
|
|
|
832
|
|
|
|
32,847
|
|
Varian Medical Systems, Inc. (a)
|
|
|
284
|
|
|
|
34,924
|
|
Waters Corp. (a)
|
|
|
198
|
|
|
|
38,588
|
|
Western Digital Corp.
|
|
|
949
|
|
|
|
52,726
|
|
|
|
|
|
|
|
|
|
7,463,683
|
|
Construction of Buildings — 0.7%
|
|
|
|
|
|
|
|
|
D.R. Horton, Inc.
|
|
|
1,061
|
|
|
|
56,519
|
|
Lennar Corp. - Class A
|
|
|
883
|
|
|
|
53,280
|
|
NVR, Inc. (a)
|
|
|
10
|
|
|
|
36,672
|
|
PulteGroup, Inc.
|
|
|
798
|
|
|
|
32,080
|
|
Toll Brothers, Inc.
|
|
|
405
|
|
|
|
14,997
|
|
|
|
|
|
|
|
|
|
193,548
|
|
Couriers and Messengers — 0.4%
|
|
|
|
|
|
|
|
|
FedEx Corp.
|
|
|
771
|
|
|
|
108,842
|
|
|
|
|
|
|
|
|
|
|
|
Data Processing, Hosting and Related Services — 0.2%
|
|
|
|
|
|
|
|
|
Hewlett Packard Enterprise Co.
|
|
|
4,185
|
|
|
|
53,526
|
|
|
|
|
|
|
|
|
|
|
|
Electrical Equipment, Appliance and Component Manufacturing — 0.4%
|
|
|
|
|
|
|
|
|
Acuity Brands, Inc.
|
|
|
126
|
|
|
|
12,960
|
|
Rockwell Automation, Inc.
|
|
|
363
|
|
|
|
66,611
|
|
Whirlpool Corp.
|
|
|
193
|
|
|
|
24,677
|
|
|
|
|
|
|
|
|
|
104,248
|
|
Fabricated Metal Product Manufacturing — 0.7%
|
|
|
|
|
|
|
|
|
Emerson Electric Co.
|
|
|
1,957
|
|
|
|
125,463
|
|
Stanley Black & Decker, Inc.
|
|
|
480
|
|
|
|
68,976
|
|
|
|
|
|
|
|
|
|
194,439
|
|
Food Manufacturing — 1.3%
|
|
|
|
|
|
|
|
|
Archer-Daniels-Midland Co.
|
|
|
1,773
|
|
|
|
66,753
|
|
Bunge Ltd.
|
|
|
438
|
|
|
|
20,564
|
|
Mondelez International, Inc. - Class A
|
|
|
4,537
|
|
|
|
239,554
|
|
|
|
|
|
|
|
|
|
326,871
|
|
Funds, Trusts and Other Financial Vehicles — 0.2%
|
|
|
|
|
|
|
|
|
Garmin Ltd. (b)
|
|
|
469
|
|
|
|
41,455
|
|
|
|
|
|
|
|
|
|
|
|
General Merchandise Stores — 1.2%
|
|
|
|
|
|
|
|
|
Burlington Stores, Inc. (a)
|
|
|
205
|
|
|
|
44,333
|
|
Dollar Tree, Inc. (a)
|
|
|
756
|
|
|
|
62,771
|
|
Kohl's Corp.
|
|
|
508
|
|
|
|
19,888
|
|
Macy's, Inc.
|
|
|
986
|
|
|
|
13,045
|
|
Target Corp.
|
|
|
1,599
|
|
|
|
164,697
|
|
|
|
|
|
|
|
|
|
304,734
|
|
Health and Personal Care Stores — 1.5%
|
|
|
|
|
|
|
|
|
CVS Health Corp.
|
|
|
4,127
|
|
|
|
244,236
|
|
Ulta Beauty, Inc. (a)
|
|
|
177
|
|
|
|
45,505
|
|
Walgreens Boots Alliance, Inc.
|
|
|
2,414
|
|
|
|
110,464
|
|
|
|
|
|
|
|
|
|
400,205
|
|
Leather and Allied Product Manufacturing — 1.4%
|
|
|
|
|
|
|
|
|
NIKE, Inc. - Class B
|
|
|
3,785
|
|
|
|
338,304
|
|
Tapestry, Inc.
|
|
|
885
|
|
|
|
20,753
|
|
|
|
|
|
|
|
|
|
359,057
|
|
Machinery Manufacturing — 2.1%
|
|
|
|
|
|
|
|
|
Applied Materials, Inc.
|
|
|
2,944
|
|
|
|
171,105
|
|
Baker Hughes, a GE Co.
|
|
|
2,080
|
|
|
|
33,467
|
|
Cummins, Inc.
|
|
|
477
|
|
|
|
72,166
|
|
Flowserve Corp.
|
|
|
420
|
|
|
|
16,880
|
|
IDEX Corp.
|
|
|
237
|
|
|
|
35,076
|
|
Ingersoll-Rand PLC
|
|
|
771
|
|
|
|
99,490
|
|
National Oilwell Varco, Inc.
|
|
|
1,228
|
|
|
|
22,976
|
|
Pentair PLC (b)
|
|
|
526
|
|
|
|
20,719
|
|
Snap-on, Inc.
|
|
|
172
|
|
|
|
24,897
|
|
Xylem, Inc.
|
|
|
565
|
|
|
|
43,697
|
|
|
|
|
|
|
|
|
|
540,473
|
|
Management of Companies and Enterprises — 0.1%
|
|
|
|
|
|
|
|
|
Xerox Holdings Corp.
|
|
|
569
|
|
|
|
18,322
|
|
|
|
|
|
|
|
|
|
|
|
Merchant Wholesalers, Durable Goods — 3.0%
|
|
|
|
|
|
|
|
|
3M Co.
|
|
|
1,800
|
|
|
|
268,632
|
|
Arrow Electronics, Inc. (a)
|
|
|
258
|
|
|
|
17,301
|
|
Copart, Inc. (a)
|
|
|
642
|
|
|
|
54,236
|
|
Fastenal Co.
|
|
|
1,813
|
|
|
|
62,041
|
|
Genuine Parts Co.
|
|
|
445
|
|
|
|
38,822
|
|
Henry Schein, Inc. (a)
|
|
|
463
|
|
|
|
28,215
|
|
Johnson Controls International PLC
|
|
|
2,502
|
|
|
|
91,498
|
|
KLA Corp.
|
|
|
518
|
|
|
|
79,622
|
|
LKQ Corp. (a)
|
|
|
977
|
|
|
|
28,900
|
|
Mohawk Industries, Inc. (a)
|
|
|
194
|
|
|
|
23,503
|
|
TE Connectivity Ltd. (b)
|
|
|
1,055
|
|
|
|
87,428
|
|
|
|
|
|
|
|
|
|
780,198
|
|
Merchant Wholesalers, Nondurable Goods — 4.6%
|
|
|
|
|
|
|
|
|
AmerisourceBergen Corp.
|
|
|
482
|
|
|
|
40,642
|
|
Ashland Global Holdings, Inc.
|
|
|
189
|
|
|
|
13,521
|
|
Capri Holdings Ltd. (a)(b)
|
|
|
447
|
|
|
|
11,541
|
|
Cardinal Health, Inc.
|
|
|
927
|
|
|
|
48,315
|
|
LyondellBasell Industries NV - Class A
|
|
|
845
|
|
|
|
60,384
|
|
McKesson Corp.
|
|
|
580
|
|
|
|
81,119
|
|
The Procter & Gamble Co.
|
|
|
7,930
|
|
|
|
897,914
|
|
Tractor Supply Co.
|
|
|
382
|
|
|
|
33,811
|
|
|
|
|
|
|
|
|
|
1,187,247
|
|
Mining (except Oil and Gas) — 1.0%
|
|
|
|
|
|
|
|
|
Freeport-McMoRan, Inc.
|
|
|
4,640
|
|
|
|
46,214
|
|
Martin Marietta Materials, Inc.
|
|
|
200
|
|
|
|
45,506
|
|
Newmont Goldcorp Corp.
|
|
|
2,619
|
|
|
|
116,886
|
|
Southern Copper Corp. (b)
|
|
|
263
|
|
|
|
8,850
|
|
Vulcan Materials Co.
|
|
|
421
|
|
|
|
50,630
|
|
|
|
|
|
|
|
|
|
268,086
|
|
Miscellaneous Manufacturing — 3.6%
|
|
|
|
|
|
|
|
|
Align Technology, Inc. (a)
|
|
|
242
|
|
|
|
52,841
|
|
Baxter International, Inc.
|
|
|
1,541
|
|
|
|
128,627
|
|
DENTSPLY SIRONA, Inc.
|
|
|
737
|
|
|
|
36,290
|
|
Edwards Lifesciences Corp. (a)
|
|
|
660
|
|
|
|
135,194
|
|
Hasbro, Inc.
|
|
|
397
|
|
|
|
30,668
|
|
Intuitive Surgical, Inc. (a)
|
|
|
368
|
|
|
|
196,497
|
|
STERIS PLC
|
|
|
266
|
|
|
|
42,193
|
|
Stryker Corp.
|
|
|
1,094
|
|
|
|
208,506
|
|
Teleflex, Inc.
|
|
|
150
|
|
|
|
50,253
|
|
The Cooper Cos., Inc.
|
|
|
157
|
|
|
|
50,958
|
|
|
|
|
|
|
|
|
|
932,027
|
|
Motor Vehicle and Parts Dealers — 0.1%
|
|
|
|
|
|
|
|
|
Advance Auto Parts, Inc.
|
|
|
210
|
|
|
|
27,926
|
|
|
|
|
|
|
|
|
|
|
|
Nonstore Retailers — 0.1%
|
|
|
|
|
|
|
|
|
WW Grainger, Inc.
|
|
|
137
|
|
|
|
38,023
|
|
|
|
|
|
|
|
|
|
|
|
Oil and Gas Extraction — 1.6%
|
|
|
|
|
|
|
|
|
Cabot Oil & Gas Corp.
|
|
|
1,270
|
|
|
|
17,691
|
|
Cimarex Energy Co.
|
|
|
312
|
|
|
|
10,312
|
|
Concho Resources, Inc.
|
|
|
635
|
|
|
|
43,193
|
|
Devon Energy Corp.
|
|
|
1,226
|
|
|
|
19,910
|
|
EOG Resources, Inc.
|
|
|
1,866
|
|
|
|
118,043
|
|
Occidental Petroleum Corp.
|
|
|
2,865
|
|
|
|
93,800
|
|
Phillips 66
|
|
|
1,434
|
|
|
|
107,349
|
|
|
|
|
|
|
|
|
|
410,298
|
|
Other Information Services — 0.1%
|
|
|
|
|
|
|
|
|
Yandex NV - Class A (a)(b)
|
|
|
931
|
|
|
|
37,808
|
|
|
|
|
|
|
|
|
|
|
|
Paper Manufacturing — 0.1%
|
|
|
|
|
|
|
|
|
Packaging Corp. of America
|
|
|
297
|
|
|
|
26,914
|
|
|
|
|
|
|
|
|
|
|
|
Petroleum and Coal Products Manufacturing — 5.7%
|
|
|
|
|
|
|
|
|
Chevron Corp.
|
|
|
6,108
|
|
|
|
570,121
|
|
Exxon Mobil Corp.
|
|
|
13,602
|
|
|
|
699,687
|
|
HollyFrontier Corp.
|
|
|
472
|
|
|
|
15,897
|
|
Marathon Oil Corp.
|
|
|
2,570
|
|
|
|
21,279
|
|
Marathon Petroleum Corp.
|
|
|
2,054
|
|
|
|
97,401
|
|
Valero Energy Corp.
|
|
|
1,329
|
|
|
|
88,046
|
|
|
|
|
|
|
|
|
|
1,492,431
|
|
Primary Metal Manufacturing — 0.4%
|
|
|
|
|
|
|
|
|
Corning, Inc.
|
|
|
2,421
|
|
|
|
57,765
|
|
Nucor Corp.
|
|
|
975
|
|
|
|
40,316
|
|
Steel Dynamics, Inc.
|
|
|
651
|
|
|
|
17,336
|
|
|
|
|
|
|
|
|
|
115,417
|
|
Professional, Scientific and Technical Services — 4.1%
|
|
|
|
|
|
|
|
|
Amdocs Ltd.
|
|
|
429
|
|
|
|
27,349
|
|
Cerner Corp.
|
|
|
995
|
|
|
|
68,924
|
|
Cognizant Technology Solutions Corp. - Class A
|
|
|
1,774
|
|
|
|
108,090
|
|
F5 Networks, Inc. (a)
|
|
|
189
|
|
|
|
22,670
|
|
GoDaddy, Inc.- Class A (a)
|
|
|
548
|
|
|
|
38,349
|
|
International Business Machines Corp.
|
|
|
2,849
|
|
|
|
370,797
|
|
International Paper Co.
|
|
|
1,260
|
|
|
|
46,570
|
|
Omnicom Group, Inc.
|
|
|
706
|
|
|
|
48,911
|
|
Paychex, Inc.
|
|
|
1,043
|
|
|
|
80,812
|
|
ServiceNow, Inc. (a)
|
|
|
595
|
|
|
|
194,024
|
|
The Interpublic Group of Cos., Inc.
|
|
|
1,229
|
|
|
|
26,251
|
|
VMware, Inc. - Class A (a)
|
|
|
237
|
|
|
|
28,563
|
|
|
|
|
|
|
|
|
|
1,061,310
|
|
Publishing Industries (Except Internet) — 6.7%
|
|
|
|
|
|
|
|
|
Activision Blizzard, Inc.
|
|
|
2,410
|
|
|
|
140,093
|
|
Adobe, Inc. (a)
|
|
|
1,556
|
|
|
|
537,007
|
|
Akamai Technologies, Inc. (a)
|
|
|
507
|
|
|
|
43,861
|
|
ANSYS, Inc. (a)
|
|
|
265
|
|
|
|
64,180
|
|
Autodesk, Inc. (a)
|
|
|
697
|
|
|
|
133,044
|
|
Cadence Design Systems, Inc. (a)
|
|
|
888
|
|
|
|
58,732
|
|
Citrix Systems, Inc.
|
|
|
395
|
|
|
|
40,839
|
|
News Corp. - Class A
|
|
|
1,230
|
|
|
|
14,852
|
|
News Corp. - Class B
|
|
|
387
|
|
|
|
4,814
|
|
NortonLifeLock, Inc.
|
|
|
1,821
|
|
|
|
34,654
|
|
Paycom Software, Inc. (a)
|
|
|
150
|
|
|
|
42,398
|
|
PTC, Inc. (a)
|
|
|
322
|
|
|
|
24,327
|
|
Salesforce.com, Inc. (a)
|
|
|
2,699
|
|
|
|
459,910
|
|
Synopsys, Inc. (a)
|
|
|
484
|
|
|
|
66,758
|
|
Workday, Inc. - Class A (a)
|
|
|
513
|
|
|
|
88,877
|
|
|
|
|
|
|
|
|
|
1,754,346
|
|
Rail Transportation — 0.8%
|
|
|
|
|
|
|
|
|
Kansas City Southern
|
|
|
321
|
|
|
|
48,368
|
|
Norfolk Southern Corp.
|
|
|
831
|
|
|
|
151,533
|
|
|
|
|
|
|
|
|
|
199,901
|
|
Support Activities for Agriculture and Forestry — 0.2%
|
|
|
|
|
|
|
|
|
Corteva, Inc.
|
|
|
2,404
|
|
|
|
65,389
|
|
|
|
|
|
|
|
|
|
|
|
Support Activities for Mining — 2.0%
|
|
|
|
|
|
|
|
|
ConocoPhillips
|
|
|
3,518
|
|
|
|
170,341
|
|
Diamondback Energy, Inc.
|
|
|
512
|
|
|
|
31,744
|
|
Halliburton Co.
|
|
|
2,732
|
|
|
|
46,335
|
|
Helmerich & Payne, Inc.
|
|
|
340
|
|
|
|
12,543
|
|
Hess Corp.
|
|
|
858
|
|
|
|
48,202
|
|
Noble Energy, Inc.
|
|
|
1,515
|
|
|
|
23,983
|
|
Pioneer Natural Resources Co.
|
|
|
521
|
|
|
|
63,968
|
|
Schlumberger Ltd.
|
|
|
4,462
|
|
|
|
120,876
|
|
|
|
|
|
|
|
|
|
517,992
|
|
Support Activities for Transportation — 0.3%
|
|
|
|
|
|
|
|
|
CH Robinson Worldwide, Inc.
|
|
|
430
|
|
|
|
29,627
|
|
Expeditors International of Washington, Inc.
|
|
|
546
|
|
|
|
38,449
|
|
|
|
|
|
|
|
|
|
68,076
|
|
Telecommunications — 0.3%
|
|
|
|
|
|
|
|
|
ResMed, Inc.
|
|
|
444
|
|
|
|
70,578
|
|
|
|
|
|
|
|
|
|
|
|
Transportation Equipment Manufacturing — 1.9%
|
|
|
|
|
|
|
|
|
Aptiv PLC (b)
|
|
|
821
|
|
|
|
64,128
|
|
Autoliv, Inc. (b)
|
|
|
275
|
|
|
|
18,351
|
|
BorgWarner, Inc.
|
|
|
650
|
|
|
|
20,540
|
|
Gentex Corp.
|
|
|
809
|
|
|
|
21,600
|
|
Lear Corp.
|
|
|
190
|
|
|
|
21,128
|
|
Tesla, Inc. (a)
|
|
|
463
|
|
|
|
309,280
|
|
Westinghouse Air Brake Technologies Corp.
|
|
|
570
|
|
|
|
39,159
|
|
|
|
|
|
|
|
|
|
494,186
|
|
Truck Transportation — 0.2%
|
|
|
|
|
|
|
|
|
JB Hunt Transport Services, Inc.
|
|
|
269
|
|
|
|
25,942
|
|
Old Dominion Freight Line, Inc.
|
|
|
207
|
|
|
|
40,117
|
|
|
|
|
|
|
|
|
|
66,059
|
|
Utilities — 1.6%
|
|
|
|
|
|
|
|
|
Atmos Energy Corp.
|
|
|
366
|
|
|
|
37,789
|
|
Avangrid, Inc.
|
|
|
178
|
|
|
|
8,845
|
|
Edison International
|
|
|
1,091
|
|
|
|
73,304
|
|
Exelon Corp.
|
|
|
3,015
|
|
|
|
129,977
|
|
MDU Resources Group, Inc.
|
|
|
635
|
|
|
|
17,609
|
|
PG&E Corp. (a)
|
|
|
1,696
|
|
|
|
26,288
|
|
Pinnacle West Capital Corp.
|
|
|
355
|
|
|
|
31,769
|
|
Public Service Enterprise Group, Inc.
|
|
|
1,635
|
|
|
|
83,892
|
|
|
|
|
|
|
|
|
|
409,473
|
|
TOTAL COMMON STOCKS (Cost $26,885,205)
|
|
|
|
|
|
|
25,942,077
|
|
|
|
|
|
|
|
|
|
|
TOTAL INVESTMENTS — 99.7% (Cost $26,885,205)
|
|
|
|
|
|
|
25,942,077
|
|
Other assets and liabilities, net — 0.3%
|
|
|
|
|
|
|
76,877
|
|
NET ASSETS — 100.0%
|
|
|
|
|
|
$
|
26,018,954
|
|
Percentages are stated as a percent of net assets.
|
|
|
|
|
|
|
|
|
|
|
|
PLC
|
Public Limited Company
|
|
|
|
|
|
|
|
|
(a)
|
Non-income producing security.
|
|
|
|
|
|
|
|
|
(b)
|
Foreign issued security.
|
|
|
|
|
|
|
|
|
(c)
|
To the extent the Fund invests more heavily in particular sectors of the economy, its performance will be especially sensitive to developments that significantly affect those sectors.
|
|
|
|
|
|
|
|
|
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 February 29, 2020:
|
|
|
|
Level 1
|
|
|
Level 2
|
|
|
Level 3
|
|
|
Total
|
|
Assets:
|
|
|
|
|
|
|
|
|
|
|
|
|
Common Stocks*
|
|
$
|
25,942,077
|
|
|
$
|
-
|
|
|
$
|
-
|
|
|
$
|
25,942,077
|
|
Total Investments in Securities
|
|
$
|
25,942,077
|
|
|
$
|
-
|
|
|
$
|
-
|
|
|
$
|
25,942,077
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
* See the Schedule of Investments for industry classifications.
|
|
|
|
|
|
|
|
|
|
Item 2. Controls and Procedures.
(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.
|
Item 3. Exhibits.
Separate certifications for each principal executive officer and principal financial officer of the Registrant as required by Rule 30a-2(a) under the 1940 Act (17 CFR 270.30a-2(a)). 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)
|
Listed Funds Trust
|
|
|
|
|
By (Signature and Title)*
|
/s/ Gregory Bakken
|
|
|
Gregory Bakken, President and Principal Executive Officer
|
|
|
|
Date
|
04/27/2020
|
|
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/ Gregory Bakken
|
|
|
Gregory Bakken, President and Principal Executive Officer
|
|
|
|
Date
|
04/27/2020
|
|
|
|
|
By (Signature and Title)*
|
/s/ Travis Babich
|
|
|
Travis Babich, Treasurer and Principal Financial Officer
|
|
|
|
|
Date
|
04/27/2020
|
|
|
*
|
Print the name and title of each signing officer under his or her signature.
|
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