Global X Management Company LLC 605 Third Avenue, 43rd floor New York, NY 10158 | Eric S. Purple, Esq. Stradley Ronon Stevens & Young, LLP 2000 K Street, N.W., Suite 700 Washington, DC 20006-1871 |
Global X Social Media ETF (ticker: SOCL) |
Global X Lithium & Battery Tech ETF (ticker: LIT) |
Global X E-commerce ETF (ticker: EBIZ) |
Global X SuperDividend® ETF (ticker: SDIV) |
Global X SuperDividend® U.S. ETF (ticker: DIV) |
Global X MSCI SuperDividend® EAFE ETF (ticker: EFAS) |
Global X MSCI SuperDividend® Emerging Markets ETF (ticker: SDEM) |
Global X SuperDividend® REIT ETF (ticker: SRET) |
Global X NASDAQ 100® Covered Call ETF (ticker: QYLD) |
Global X S&P 500® Covered Call ETF (ticker: XYLD) |
Global X Russell 2000 Covered Call ETF (ticker: RYLD) |
Global X Nasdaq 100 Covered Call & Growth ETF (ticker: QYLG) |
Global X S&P 500 Covered Call & Growth ETF (ticker: XYLG) |
Global X SuperIncome™ Preferred ETF (ticker: SPFF) |
Global X YieldCo & Renewable Energy Income ETF (ticker: YLCO) |
Global X S&P 500® Catholic Values ETF (ticker: CATH) |
Global X S&P Catholic Values Developed ex-U.S. ETF (ticker: CEFA) |
Global X Guru® Index ETF (ticker: GURU) |
Management Discussion of Fund Performance | 1 |
Schedules of Investments | |
Global X Social Media ETF | 51 |
Global X Lithium & Battery Tech ETF | 55 |
Global X E-commerce ETF | 60 |
Global X SuperDividend® ETF | 64 |
Global X SuperDividend® U.S. ETF | 73 |
Global X MSCI SuperDividend® EAFE ETF | 77 |
Global X MSCI SuperDividend® Emerging Markets ETF | 82 |
Global X SuperDividend® REIT ETF | 87 |
Global X NASDAQ 100® Covered Call ETF | 90 |
Global X S&P 500® Covered Call ETF | 96 |
Global X Russell 2000 Covered Call ETF | 114 |
Global X Nasdaq 100® Covered Call & Growth ETF | 116 |
Global X Global X S&P 500® Covered Call & Growth ETF | 122 |
Global X SuperIncome™ Preferred ETF | 140 |
Global X YieldCo & Renewable Energy Income ETF | 146 |
Global X S&P 500® Catholic Values ETF | 151 |
Global X S&P Catholic Values Developed ex-US ETF | 167 |
Global X Guru® Index ETF | 190 |
Statements of Assets and Liabilities | 194 |
Statements of Operations | 199 |
Statements of Changes in Net Assets | 204 |
Financial Highlights | 213 |
Notes to Financial Statements | 227 |
Report of Independent Registered Public Accounting Firm | 252 |
Disclosure of Fund Expenses | 255 |
Liquidity Risk Management Program | 258 |
Approval of Investment Adivisory Aggreement | 259 |
Supplemental Information | 264 |
Trustees and Officers of the Trust | 265 |
Notice to Shareholders | 267 |
AVERAGE TOTAL RETURN FOR THE YEAR ENDED OCTOBER 31, 2020 | ||||||||
One Year Return | Three Year Return | Five Year Return | Annualized Inception to Date* | |||||
Net Asset Value | Market Price | Net Asset Value | Market Price | Net Asset Value | Market Price | Net Asset Value | Market Price | |
Global X Social Media ETF | 62.75% | 64.07% | 17.29% | 17.35% | 22.32% | 22.35% | 15.26% | 15.30% |
Solactive Social Media Total Return Index | 63.76% | 63.76% | 18.01% | 18.01% | 23.06% | 23.06% | 15.87% | 15.87% |
MSCI ACWI (Net) | 4.89% | 4.89% | 5.52% | 5.52% | 8.11% | 8.11% | 9.01% | 9.01% |
AVERAGE ANNUAL TOTAL RETURN FOR THE YEAR ENDED OCTOBER 31, 2020 | ||||||||
One Year Return | Three Year Return | Five Year Return | Annualized Inception to Date* | |||||
Net Asset Value | Market Price | Net Asset Value | Market Price | Net Asset Value | Market Price | Net Asset Value | Market Price | |
Global X Lithium & Battery Tech ETF | 73.82% | 76.04% | 5.89% | 6.06% | 18.20% | 18.22% | 4.77% | 4.84% |
Solactive Global Lithium Index | 73.42% | 73.42% | 5.81% | 5.81% | 18.28% | 18.28% | 5.24% | 5.24% |
MSCI ACWI Index | 4.89% | 4.89% | 5.52% | 5.52% | 8.11% | 8.11% | 8.78% | 8.78% |
AVERAGE TOTAL RETURN FOR THE YEAR ENDED OCTOBER 31, 2020 | ||||||
One Year Return | Annualized Inception to Date* | |||||
Net Asset Value | Market Price | Net Asset Value | Market Price | |||
Global X E-commerce ETF | 52.67% | 52.52% | 35.29% | 35.42% | ||
Solactive E-commerce Index | 53.22% | 53.22% | 35.88% | 35.88% | ||
MSCI ACWI (Net) | 4.89% | 4.89% | 9.32% | 9.32% |
AVERAGE TOTAL RETURN FOR THE YEAR ENDED OCTOBER 31, 2020 | ||||||||
One Year Return | Three Year Return | Five Year Return | Annualized Inception to Date* | |||||
Net Asset Value | Market Price | Net Asset Value | Market Price | Net Asset Value | Market Price | Net Asset Value | Market Price | |
Global X SuperDividend® ETF | -32.80% | -32.65% | -14.08% | -14.07% | -5.36% | -5.29% | -1.58% | -1.57% |
Solactive Global SuperDividend® Index | -32.74% | -32.74% | -14.05% | -14.05% | -5.42% | -5.42% | -1.80% | -1.80% |
MSCI ACWI (Net) | 4.89% | 4.89% | 5.52% | 5.52% | 8.11% | 8.11% | 7.57% | 7.57% |
AVERAGE TOTAL RETURN FOR THE YEAR ENDED OCTOBER 31, 2020 | ||||||||
One Year Return | Three Year Return | Five Year Return | Annualized Inception to Date* | |||||
Net Asset Value | Market Price | Net Asset Value | Market Price | Net Asset Value | Market Price | Net Asset Value | Market Price | |
Global X SuperDividend® U.S. ETF | -30.12% | -30.05% | -9.42% | -9.40% | -3.26% | -3.25% | 0.04% | 0.13% |
Indxx SuperDividend® U.S. Low Volatility Index | -30.23% | -30.23% | -9.15% | -9.15% | -2.57% | -2.57% | 0.62% | 0.62% |
S&P 500® Index | 9.71% | 9.71% | 10.42% | 10.42% | 11.71% | 11.71% | 12.46% | 12.46% |
AVERAGE TOTAL RETURN FOR THE YEAR ENDED OCTOBER 31, 2020 * | |||||||
One Year Return | Three Year Return | Annualized Inception to Date* | |||||
Net Asset Value | Market Price | Net Asset Value | Market Price | Net Asset Value | Market Price | ||
Global X MSCI SuperDividend® EAFE ETF | -25.24% | -25.70% | -8.71% | -9.05% | -1.02% | -1.34% | |
MSCI EAFE Top 50 Dividend Index | -24.78% | -24.78% | -8.28% | -8.28% | -0.58% | -0.58% | |
MSCI EAFE Index (Net) | -6.86% | -6.86% | -1.24% | -1.24% | 5.05% | 5.05% |
AVERAGE TOTAL RETURN FOR THE YEAR ENDED OCTOBER 31, 2020 | ||||||||
One Year Return | Three Year Return | Five Year Return | Annualized Inception to Date* | |||||
Net Asset Value | Market Price | Net Asset Value | Market Price | Net Asset Value | Market Price | Net Asset Value | Market Price | |
Global X MSCI SuperDividend® Emerging Markets ETF | -21.01% | -20.18% | -10.09% | -10.07% | -1.22% | -1.11% | -1.96% | -1.89% |
Hybrid INDXX SuperDividend® Emerging Markets Index/MSCI Emerging Markets Top 50 Dividend Index** | -19.92% | -19.92% | -9.19% | -9.19% | 0.08% | 0.08% | -0.72% | -0.72% |
MSCI Emerging Markets Index (Net) | 8.25% | 8.25% | 1.94% | 1.94% | 7.92% | 7.92% | 5.39% | 5.39% |
AVERAGE ANNUAL TOTAL RETURN FOR THE YEAR ENDED OCTOBER 31, 2020 | ||||||||
One Year Return | Three Year Return | Five Year Return | Annualized Inception to Date* | |||||
Net Asset Value | Market Price | Net Asset Value | Market Price | Net Asset Value | Market Price | Net Asset Value | Market Price | |
Global X SuperDividend® REIT ETF | -45.94% | -45.88% | -13.78% | -13.77% | -2.60% | -2.63% | -3.92% | -3.89% |
Solactive Global SuperDividend® REIT Index | -47.22% | -47.22% | -15.51% | -15.51% | -4.36% | -4.36% | -5.68% | -5.68% |
S&P 500® Index | 9.71% | 9.71% | 10.42% | 10.42% | 11.71% | 11.71% | 10.55% | 10.55% |
AVERAGE TOTAL RETURN FOR THE YEAR ENDED OCTOBER 31, 2020 | ||||||||
One Year Return | Three Year Return | Five Year Return | Annualized Inception to Date* | |||||
Net Asset Value | Market Price | Net Asset Value | Market Price | Net Asset Value | Market Price | Net Asset Value | Market Price | |
Global X NASDAQ 100® Covered Call ETF | 0.21% | 0.30% | 5.61% | 5.54% | 7.63% | 7.65% | 7.38% | 7.39% |
Hybrid CBOE NASDAQ-100® BuyWrite Index/CBOE NASDAQ-100® BuyWrite V2 Index** | 1.55% | 1.55% | 7.01% | 7.01% | 8.96% | 8.96% | 8.41% | 8.41% |
NASDAQ 100® Total Return Index | 38.02% | 38.02% | 22.20% | 22.20% | 20.24% | 20.24% | 19.65% | 19.65% |
AVERAGE TOTAL RETURN FOR THE YEAR ENDED OCTOBER 31, 2020 | ||||||||
One Year Return | Three Year Return | Five Year Return | Annualized Inception to Date* | |||||
Net Asset Value | Market Price | Net Asset Value | Market Price | Net Asset Value | Market Price | Net Asset Value | Market Price | |
Global X S&P 500® Covered Call ETF | -7.42% | -6.59% | 1.75% | 2.07% | 4.95% | 5.15% | 6.26% | 6.50% |
Hybrid S&P 500® Stock Covered Call Index/CBOE S&P 500 2% OTM BuyWrite Index/CBOE S&P 500 BuyWrite Index** | -6.73% | -6.73% | 2.70% | 2.70% | 5.29% | 5.29% | 6.45% | 6.45% |
S&P 500® Index | 9.71% | 9.71% | 10.42% | 10.42% | 11.71% | 11.71% | 12.53% | 12.53% |
AVERAGE TOTAL RETURN FOR THE YEAR ENDED OCTOBER 31, 2020 | ||||||
One Year Return | Annualized Inception to Date* | |||||
Net Asset Value | Market Price | Net Asset Value | Market Price | |||
Global X Russell 2000 Covered Call ETF | -9.18% | -9.13% | -2.45% | -2.43% | ||
CBOE Russell 2000 BuyWrite Index | -8.26% | -8.26% | -1.26% | -1.26% | ||
Russell 2000 Index | -0.14% | -0.14% | 0.18% | 0.18% |
AVERAGE TOTAL RETURN FOR THE PERIOD ENDED OCTOBER 31, 2020 | |||
Cumulative Inception to Date* | |||
Net Asset Value | Market Price | ||
Global X NASDAQ 100® Covered Call & Growth ETF | 0.40% | 0.05% | |
CBOE NASDAQ-100 Half BuyWrite V2 Index** | 0.36% | 0.36% |
AVERAGE TOTAL RETURN FOR THE PERIOD ENDED OCTOBER 31, 2020 | ||||
Cumulative Inception to Date* | ||||
Net Asset Value | Market Price | |||
Global X S&P 500® Covered Call & Growth ETF | -1.60% | -1.96% | ||
CBOE S&P 500 Half BuyWrite Index** | -1.95% | -1.95% |
AVERAGE TOTAL RETURN FOR THE YEAR ENDED OCTOBER 31, 2020 | ||||||||
One Year Return | Three Year Return | Five Year Return | Annualized Inception to Date* | |||||
Net Asset Value | Market Price | Net Asset Value | Market Price | Net Asset Value | Market Price | Net Asset Value | Market Price | |
Global X SuperIncome™ Preferred ETF | 0.81% | 0.11% | 2.85% | 2.76% | 2.86% | 2.73% | 3.24% | 3.37% |
S&P Enhanced Yield North American Preferred Stock Index | 1.29% | 1.29% | 3.30% | 3.30% | 3.35% | 3.35% | 3.85% | 3.85% |
S&P 500® Index | 9.71% | 9.71% | 10.42% | 10.42% | 11.71% | 11.71% | 13.52% | 13.52% |
AVERAGE TOTAL RETURN FOR THE YEAR ENDED OCTOBER 31, 2020 | ||||||||
One Year Return | Three Year Return | Five Year Return | Annualized Inception to Date* | |||||
Net Asset Value | Market Price | Net Asset Value | Market Price | Net Asset Value | Market Price | Net Asset Value | Market Price | |
Global X YieldCo & Renewable Energy Income ETF | 11.39% | 10.89% | 10.15% | 10.21% | 10.95% | 10.86% | 4.01% | 3.99% |
Hybrid Indxx Global Yieldco Index/Indxx YieldCo & Renewable Energy Income Index** | 11.67% | 11.67% | 10.54% | 10.54% | 11.34% | 11.34% | 4.38% | 4.38% |
MSCI ACWI (Net) | 4.89% | 4.89% | 5.52% | 5.52% | 8.11% | 8.11% | 6.34% | 6.34% |
AVERAGE TOTAL RETURN FOR THE YEAR ENDED OCTOBER 31, 2020 | ||||||
One Year Return | Three Year Return | Annualized Inception to Date* | ||||
Net Asset Value | Market Price | Net Asset Value | Market Price | Net Asset Value | Market Price | |
Global X S&P 500® Catholic Values ETF | 9.89% | 9.10% | 10.17% | 9.91% | 12.44% | 12.27% |
S&P 500® Catholic Values Index | 10.28% | 10.28% | 10.53% | 10.53% | 12.77% | 12.77% |
S&P 500® Index | 9.71% | 9.71% | 10.42% | 10.42% | 12.53% | 12.53% |
AVERAGE TOTAL RETURN FOR THE YEAR ENDED OCTOBER 31, 2020 | ||
Cumulative Inception to Date* | ||
Net Asset Value | Market Price | |
Global X S&P Catholic Values Developed ex-US ETF | -0.28% | -20.00% |
S&P Developed ex-U.S. Catholic Values Index | -0.19% | -0.19% |
MSCI EAFE Index (Net) | -0.49% | -0.49% |
AVERAGE TOTAL RETURN FOR THE YEAR ENDED OCTOBER 31, 2020 | |||||||||
One Year Return | Three Year Return | Five Year Return | Annualized Inception to Date* | ||||||
Net Asset Value | Market Price | Net Asset Value | Market Price | Net Asset Value | Market Price | Net Asset Value | Market Price | ||
Global X Guru® Index ETF | 10.84% | 10.51% | 9.99% | 9.92% | 9.92% | 9.87% | 12.78% | 12.74% | |
Solactive Guru Index | 10.95% | 10.95% | 10.24% | 10.24% | 10.16% | 10.16% | 13.17% | 13.17% | |
S&P 500® Index | 9.71% | 9.71% | 10.42% | 10.42% | 11.71% | 11.71% | 14.13% | 14.13% |
Schedule of Investments | October 31, 2020 |
Global X Social Media ETF |
CHINA— 25.4% | ||||||||
Baidu ADR * | 79,677 | $ | 10,601,025 | |||||
Bilibili ADR * | 108,550 | |||||||
HUYA ADR * (A) | 2,620 | |||||||
JOYY ADR | 20,683 | |||||||
Meitu * | 1,278,600 | |||||||
Momo ADR * | 84,622 | |||||||
NetEase ADR | 117,343 | |||||||
SINA * | 30,261 | |||||||
Tencent Holdings | 304,535 | |||||||
Tencent Music Entertainment Group ADR * | 212,743 | |||||||
Weibo ADR * | 17,306 | |||||||
TOTAL CHINA | ||||||||
GERMANY— 1.0% | ||||||||
United Internet | 62,591 | |||||||
JAPAN— 5.5% | ||||||||
DeNA * | 51,671 | |||||||
Gree * | 67,535 | |||||||
Kakaku.com | 77,100 |
Schedule of Investments | October 31, 2020 |
Global X Social Media ETF |
Shares | Value | |||||||
LINE * | 16,280 | $ | 836,270 | |||||
Mixi | 25,710 | |||||||
Nexon | 269,384 | |||||||
TOTAL JAPAN | ||||||||
RUSSIA— 5.8% | ||||||||
Mail.Ru Group GDR * | 109,508 | |||||||
Yandex, Cl A * (A) | 179,126 | |||||||
TOTAL RUSSIA | ||||||||
SOUTH KOREA— 10.6% | ||||||||
AfreecaTV | 4,253 | |||||||
Com2uSCorp | 4,824 | |||||||
Kakao | 27,403 | |||||||
NAVER | 59,959 | |||||||
TOTAL SOUTH KOREA | ||||||||
TAIWAN— 0.1% | ||||||||
PChome Online | 58,044 | |||||||
UNITED STATES— 52.0% | ||||||||
Alphabet, Cl A * | 6,626 | |||||||
ANGI Homeservices, Cl A * | 37,814 | |||||||
Facebook, Cl A * | 82,299 | |||||||
Glu Mobile * | 86,416 | |||||||
IAC * | 46,867 | |||||||
Match Group * | 121,980 | |||||||
Pinterest, Cl A * | 194,291 | |||||||
Snap, Cl A * | 528,700 | |||||||
Spotify Technology * | 39,564 | |||||||
Twitter * (A) | 382,649 |
Schedule of Investments | October 31, 2020 |
Global X Social Media ETF |
Shares/Face Amount | Value | |||||||
Yelp, Cl A * | 40,312 | $ | 792,937 | |||||
Zynga, Cl A * | 601,739 | |||||||
Groupon, Cl A * | 14,636 | |||||||
Life360, Cl CDI * | 36,038 | |||||||
TOTAL UNITED STATES | ||||||||
TOTAL COMMON STOCK | ||||||||
(Cost $153,477,831) | 226,842,608 | |||||||
Fidelity Investments Money Market Government Portfolio, Cl Institutional, 0.010% | ||||||||
(Cost $195,964) | ||||||||
BNP Paribas | ||||||||
0.060%, dated 10/30/20, to be repurchased on 11/02/20, repurchase price $1,697,897 (collateralized by U.S. Treasury Obligations, ranging in par value $79,840 - $275,231, 1.625%, 11/15/2022, with a total market value of $1,731,226) | ||||||||
(Cost $1,697,614) | $ | 1,697,614 | ||||||
TOTAL INVESTMENTS — 101.2% | ||||||||
(Cost $155,371,409) | $ | 228,736,186 |
Schedule of Investments | October 31, 2020 |
Global X Social Media ETF |
* | Non-income producing security. |
(A) | This security or a partial position of this security is on loan at October 31, 2020. The total value of securities on loan at October 31, 2020 was $1,548,503. |
(B) | Security was purchased with cash collateral held from securities on loan. The total value of such securities as of October 31, 2020, was $1,893,578. |
(C) | The rate reported on the Schedule of Investments is the 7-day effective yield as of October 31, 2020. |
Investments in Securities | Level 1 | Level 2 | Level 3 | Total | ||||||||||||
Common Stock | $ | 226,842,608 | $ | — | $ | — | $ | 226,842,608 | ||||||||
Short-Term Investment | 195,964 | — | — | 195,964 | ||||||||||||
Repurchase Agreement | — | 1,697,614 | — | 1,697,614 | ||||||||||||
Total Investments in Securities | $ | 227,038,572 | $ | 1,697,614 | $ | — | $ | 228,736,186 |
Schedule of Investments | October 31, 2020 |
Global X Lithium & Battery Tech ETF |
AUSTRALIA— 4.3% | ||||||||
Galaxy Resources * (A) | 3,413,965 | $ | 3,344,463 | |||||
ioneer * (A) | 11,142,584 | 1,369,358 | ||||||
Mineral Resources | 1,342,296 | 23,528,050 | ||||||
Orocobre * (A) | 2,612,821 | 4,697,239 | ||||||
Pilbara Minerals * (A) | 14,055,285 | 4,145,549 | ||||||
TOTAL AUSTRALIA | 37,084,659 | |||||||
CANADA— 0.4% | ||||||||
Lithium Americas * (A) | 379,364 | 3,656,075 | ||||||
Nemaska Lithium * (A)(B)(C)(D) | 12,119,545 | 91 | ||||||
TOTAL CANADA | 3,656,166 | |||||||
CHILE— 4.6% | ||||||||
Sociedad Quimica y Minera de Chile ADR (A) | 1,077,289 | 39,870,466 | ||||||
CHINA— 48.9% | ||||||||
BYD, Cl H | 2,432,338 | 48,334,047 |
Schedule of Investments | October 31, 2020 |
Global X Lithium & Battery Tech ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Consumer Discretionary — continued | ||||||||
Tianneng Power International (A) | 5,981,800 | $ | 9,734,594 | |||||
58,068,641 | ||||||||
Contemporary Amperex Technology, Cl A | 1,193,475 | 44,053,196 | ||||||
Eve Energy, Cl A | 4,956,772 | 39,402,498 | ||||||
Shenzhen Yinghe Technology, Cl A | 2,922,713 | 12,509,233 | ||||||
Sunwoda Electronic, Cl A | 8,752,876 | 36,442,812 | ||||||
132,407,739 | ||||||||
NAURA Technology Group, Cl A | 1,571,469 | 40,130,103 | ||||||
Wuxi Lead Intelligent Equipment, Cl A | 4,017,381 | 35,978,695 | ||||||
76,108,798 | ||||||||
Beijing Easpring Material Technology, Cl A * | 2,594,862 | 19,685,494 | ||||||
Ganfeng Lithium, Cl A | 4,765,536 | 43,283,913 | ||||||
Shanghai Putailai New Energy Technology, Cl A | 1,011,798 | 16,840,006 | ||||||
Shenzhen Capchem Technology, Cl A | 1,778,243 | 19,895,608 | ||||||
Tianqi Lithium, Cl A * | 7,350,291 | 21,733,920 | ||||||
Yunnan Energy New Material, Cl A | 2,456,555 | 36,612,162 | ||||||
158,051,103 | ||||||||
TOTAL CHINA | 424,636,281 | |||||||
GERMANY— 2.3% | ||||||||
Akasol * (A) | 22,413 | 1,215,186 | ||||||
Varta * (A) | 152,493 | 19,113,138 | ||||||
TOTAL GERMANY | 20,328,324 | |||||||
HONG KONG— 0.1% | ||||||||
Honbridge Holdings * (A) | 26,764,100 | 1,087,151 | ||||||
JAPAN— 6.8% | ||||||||
Panasonic | 4,918,520 | 45,200,135 |
Schedule of Investments | October 31, 2020 |
Global X Lithium & Battery Tech ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
GS Yuasa | 673,568 | $ | 11,675,007 | |||||
W-Scope * | 284,800 | 1,808,946 | ||||||
TOTAL JAPAN | 58,684,088 | |||||||
NETHERLANDS— 0.5% | ||||||||
AMG Advanced Metallurgical Group (A) | 253,767 | 4,568,504 | ||||||
SOUTH KOREA— 11.2% | ||||||||
Vitzrocell | 115,965 | 1,783,370 | ||||||
Iljin Materials | 159,477 | 6,001,294 | ||||||
L&F (A) | 153,502 | 5,296,205 | ||||||
Power Logics (A) | 214,686 | 1,485,225 | ||||||
Samsung SDI | 111,093 | 43,274,086 | ||||||
56,056,810 | ||||||||
LG Chemical | 72,904 | 39,256,494 | ||||||
TOTAL SOUTH KOREA | 97,096,674 | |||||||
TAIWAN— 2.1% | ||||||||
Advanced Lithium Electrochemistry * | 1,084,641 | 538,462 | ||||||
Dynapack International Technology | 1,126,500 | 3,138,848 | ||||||
Simplo Technology | 1,295,080 | 14,420,717 | ||||||
17,559,565 | ||||||||
TOTAL TAIWAN | 18,098,027 | |||||||
UNITED STATES— 19.1% | ||||||||
Tesla * (A) | 92,487 | 35,888,655 | ||||||
EnerSys | 375,815 | 26,908,354 |
Schedule of Investments | October 31, 2020 |
Global X Lithium & Battery Tech ETF |
Shares/Face Amount | Value | |||||||
COMMON STOCK — continued | ||||||||
Albemarle | 956,198 | $ | 89,127,216 | |||||
Livent * | 1,304,802 | 14,026,621 | ||||||
103,153,837 | ||||||||
TOTAL UNITED STATES | 165,950,846 | |||||||
TOTAL COMMON STOCK | ||||||||
(Cost $688,468,265) | 871,061,186 | |||||||
Fidelity Investments Money Market Government Portfolio, Cl Institutional, 0.010% | ||||||||
(Cost $3,887,078) | 3,887,078 | 3,887,078 | ||||||
BNP Paribas | ||||||||
0.060%, dated 10/30/20, to be repurchased on 11/02/20, repurchase price $33,678,961 (collateralized by U.S. Treasury Obligations, ranging in par value $1,583,683 - $5,459,406, 1.625%, 11/15/2022, with a total market value of $34,340,119) | ||||||||
(Cost $33,673,349) | $ | 33,673,349 | 33,673,349 | |||||
TOTAL INVESTMENTS — 104.6% | ||||||||
(Cost $726,028,692) | $ | 908,621,613 |
Schedule of Investments | October 31, 2020 |
Global X Lithium & Battery Tech ETF |
* | Non-income producing security. |
(A) | This security or a partial position of this security is on loan at October 31, 2020. The total value of securities on loan at October 31, 2020 was $35,520,721. |
(B) | Level 3 security in accordance with fair value hierarchy. |
(C) | Security considered illiquid. The total value of such securities as of October 31, 2020 was $91 and represented 0.0% of Net Assets of the Fund. |
(D) | Security is fair valued using methods determined in good faith by the Fair Value Committee of the Fund. The total value of such securities as of October 31, 2020, was $91 and represents 0.0% of Net Assets of the Fund. |
(E) | Security was purchased with cash collateral held from securities on loan. The total value of such securities as of October 31, 2020, was $37,560,427. |
(F) | The rate reported on the Schedule of Investments is the 7-day effective yield as of October 31, 2020. |
Investments in Securities | Level 1 | Level 2 | Level 3(1) | Total | ||||||||||||
Common Stock | $ | 871,061,095 | $ | — | $ | 91 | $ | 871,061,186 | ||||||||
Short-Term Investment | 3,887,078 | — | — | 3,887,078 | ||||||||||||
Repurchase Agreement | — | 33,673,349 | — | 33,673,349 | ||||||||||||
Total Investments in Securities | $ | 874,948,173 | $ | 33,673,349 | $ | 91 | $ | 908,621,613 |
Schedule of Investments | October 31, 2020 |
Global X E‐commerce ETF |
ARGENTINA— 5.0% | ||||||||
MercadoLibre * | 3,719 | $ | 4,515,052 | |||||
CANADA— 3.8% | ||||||||
Shopify, Cl A * | 3,766 | 3,485,169 | ||||||
CHINA— 27.7% | ||||||||
NetEase ADR | 38,262 | 3,320,759 | ||||||
Alibaba Group Holding ADR * | 14,501 | 4,418,310 | ||||||
Baozun ADR * | 27,564 | 1,008,567 | ||||||
JD.com ADR * | 57,777 | 4,709,981 | ||||||
Pinduoduo ADR * | 42,365 | 3,812,003 | ||||||
Trip.com Group ADR * | 128,968 | 3,709,120 | ||||||
Uxin ADR * | 162,156 | 155,670 | ||||||
Vipshop Holdings ADR * | 167,141 | 3,576,817 | ||||||
21,390,468 | ||||||||
LexinFintech Holdings ADR * | 66,726 | 549,822 |
Schedule of Investments | October 31, 2020 |
Global X E‐commerce ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
TOTAL CHINA | $ | 25,261,049 | ||||||
GERMANY— 0.6% | ||||||||
Jumia Technologies ADR * (A) | 35,231 | 527,056 | ||||||
JAPAN— 4.2% | ||||||||
Rakuten | 395,580 | 3,840,766 | ||||||
SOUTH KOREA— 0.3% | ||||||||
Cafe24 * | 5,640 | 277,850 | ||||||
UNITED KINGDOM— 6.8% | ||||||||
ASOS * | 37,614 | 2,143,813 | ||||||
Ocado Group * | 135,051 | 3,974,348 | ||||||
TOTAL UNITED KINGDOM | 6,118,161 | |||||||
UNITED STATES— 51.5% | ||||||||
ANGI Homeservices, Cl A * | 34,760 | 368,456 | ||||||
TripAdvisor * | 54,088 | 1,033,622 | ||||||
Yelp, Cl A * | 36,924 | 726,295 | ||||||
2,128,373 | ||||||||
Amazon.com * | 1,201 | 3,646,416 | ||||||
Booking Holdings * | 2,008 | 3,257,980 | ||||||
eBay | 61,884 | 2,947,535 | ||||||
Etsy * | 35,441 | 4,309,271 | ||||||
Expedia Group | 40,050 | 3,770,708 | ||||||
Groupon, Cl A * | 15,093 | 292,653 | ||||||
Lands’ End * | 30,863 | 495,351 | ||||||
Overstock.com * | 20,673 | 1,159,755 | ||||||
Overstock.com, Ser A1 | 366 | 20,789 | ||||||
PetMed Express | 10,427 | 308,431 | ||||||
Qurate Retail | 6,196 | 606,093 |
Schedule of Investments | October 31, 2020 |
Global X E‐commerce ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Consumer Discretionary — continued | ||||||||
Qurate Retail, Cl A * | 206,759 | $ | 1,399,758 | |||||
Shutterstock | 10,343 | 676,949 | ||||||
Stamps.com * | 8,947 | 1,997,328 | ||||||
Wayfair, Cl A * | 16,583 | 4,113,081 | ||||||
Williams-Sonoma | 42,590 | 3,884,633 | ||||||
32,886,731 | ||||||||
eHealth * | 13,096 | 878,873 | ||||||
LendingTree * | 4,303 | 1,392,408 | ||||||
2,271,281 | ||||||||
CoStar Group * | 5,224 | 4,302,539 | ||||||
GoDaddy, Cl A * | 50,050 | 3,540,537 | ||||||
LivePerson * | 33,180 | 1,773,803 | ||||||
5,314,340 | ||||||||
TOTAL UNITED STATES | 46,903,264 | |||||||
TOTAL COMMON STOCK | ||||||||
(Cost $88,142,257) | 90,928,367 | |||||||
Fidelity Investments Money Market Government Portfolio, Cl Institutional, 0.010% | ||||||||
(Cost $44,934) | 44,934 | 44,934 |
Schedule of Investments | October 31, 2020 |
Global X E‐commerce ETF |
Face Amount | Value | |||||||
BNP Paribas | ||||||||
0.060%, dated 10/30/20, to be repurchased on 11/02/20 , repurchase price $389,259 (collateralized by U.S. Treasury Obligations, ranging in par value $18,307 - $63,109, 1.625%, 11/15/2022, with a total market value of $396,961) | ||||||||
(Cost $389,256) | $ | 389,256 | 389,256 | |||||
TOTAL INVESTMENTS — 100.3% | ||||||||
(Cost $88,576,447) | $ | 91,362,557 |
* | Non-income producing security. |
(A) | This security or a partial position of this security is on loan at October 31, 2020. The total value of securities on loan at October 31, 2020 was $368,016. |
(B) | Security was purchased with cash collateral held from securities on loan. The total value of such securities as of October 31, 2020, was $434,190. |
(C) | The rate reported on the Schedule of Investments is the 7-day effective yield as of October 31, 2020. |
Investments in Securities | Level 1 | Level 2 | Level 3 | Total | ||||||||||||
Common Stock | $ | 90,928,367 | $ | — | $ | — | $ | 90,928,367 | ||||||||
Short-Term Investment | 44,934 | — | — | 44,934 | ||||||||||||
Repurchase Agreement | — | 389,256 | — | 389,256 | ||||||||||||
Total Investments in Securities | $ | 90,973,301 | $ | 389,256 | $ | — | $ | 91,362,557 |
Schedule of Investments | October 31, 2020 |
Global X SuperDividend® ETF |
ARGENTINA— 0.7% | ||||||||
Telecom Argentina ADR | 674,261 | $ | 4,322,013 | |||||
AUSTRALIA— 6.2% | ||||||||
Nine Entertainment Holdings | 5,474,746 | 7,996,876 | ||||||
Inghams Group | 2,663,863 | 5,350,212 | ||||||
Bendigo and Adelaide Bank | 1,357,260 | 6,376,498 | ||||||
Platinum Asset Management | 2,161,679 | 4,630,033 | ||||||
11,006,531 | ||||||||
SmartGroup | 1,275,544 | 4,863,942 | ||||||
Rio Tinto | 93,883 | 5,288,961 |
Schedule of Investments | October 31, 2020 |
Global X SuperDividend® ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
AGL Energy | 499,847 | $ | 4,380,712 | |||||
TOTAL AUSTRALIA | 38,887,234 | |||||||
BRAZIL— 3.1% | ||||||||
Banco Santander Brasil | 951,100 | 5,286,638 | ||||||
BB Seguridade Participacoes | 1,114,200 | 4,575,833 | ||||||
Wiz Solucoes e Corretagem de Seguros | 2,756,900 | 4,274,486 | ||||||
14,136,957 | ||||||||
Transmissora Alianca de Energia Eletrica | 1,132,400 | 5,528,453 | ||||||
TOTAL BRAZIL | 19,665,410 | |||||||
CHINA— 13.3% | ||||||||
CITIC Telecom International Holdings | 18,202,700 | 5,774,276 | ||||||
Tianneng Power International (A) | 2,714,900 | 4,418,143 | ||||||
Yanzhou Coal Mining, Cl H | 8,176,200 | 5,935,899 | ||||||
China Minsheng Banking, Cl H | 9,560,700 | 5,227,357 | ||||||
Lonking Holdings | 20,136,100 | 5,348,958 | ||||||
China Oriental Group | 21,893,600 | 4,940,624 | ||||||
Agile Group Holdings | 7,091,600 | 9,693,413 | ||||||
Guangzhou R&F Properties | 5,276,200 | 6,681,275 | ||||||
Powerlong Real Estate Holdings | 8,045,900 | 5,405,538 | ||||||
Shenzhen Investment | 17,160,400 | 5,222,351 | ||||||
Shui On Land (A) | 35,702,800 | 4,696,010 | ||||||
Yuexiu Property | 30,480,000 | 5,895,665 | ||||||
Yuzhou Properties | 21,087,702 | 8,130,683 | ||||||
45,724,935 |
Schedule of Investments | October 31, 2020 |
Global X SuperDividend® ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
China Power International Development | 30,108,200 | $ | 5,784,924 | |||||
TOTAL CHINA | 83,155,116 | |||||||
COLOMBIA— 0.8% | ||||||||
Ecopetrol ADR (A) | 510,669 | 4,723,688 | ||||||
FRANCE— 1.0% | ||||||||
Cromwell European Real Estate Investment Trust ‡ | 12,212,000 | 6,472,440 | ||||||
HONG KONG— 2.5% | ||||||||
PCCW (A) | 10,846,100 | 6,517,576 | ||||||
Pacific Textiles Holdings | 16,328,300 | 9,264,463 | ||||||
Pacific Century Premium Developments * | 1,150,616 | 121,667 | ||||||
TOTAL HONG KONG | 15,903,706 | |||||||
INDONESIA— 3.0% | ||||||||
Adaro Energy | 74,082,200 | 5,698,631 | ||||||
Bukit Asam | 50,692,100 | 6,793,608 | ||||||
Indo Tambangraya Megah | 11,784,800 | 6,547,111 | ||||||
TOTAL INDONESIA | 19,039,350 | |||||||
KAZAKHSTAN— 0.8% | ||||||||
Halyk Savings Bank of Kazakhstan JSC GDR | 497,410 | 4,964,152 | ||||||
MALAYSIA— 0.9% | ||||||||
Malayan Banking | 3,268,800 | 5,507,004 | ||||||
MEXICO— 1.3% | ||||||||
PLA Administradora Industrial S de RL ‡ | 5,888,194 | 8,058,475 |
Schedule of Investments | October 31, 2020 |
Global X SuperDividend® ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
NETHERLANDS— 2.0% | ||||||||
Van Lanschot Kempen | 427,177 | $ | 8,558,667 | |||||
Eurocommercial Properties ‡ * | 385,067 | 4,198,382 | ||||||
TOTAL NETHERLANDS | 12,757,049 | |||||||
NEW ZEALAND— 0.9% | ||||||||
SKYCITY Entertainment Group * | 3,055,301 | 5,653,889 | ||||||
NIGERIA— 1.6% | ||||||||
Zenith Bank | 176,982,843 | 10,124,300 | ||||||
RUSSIA— 8.1% | ||||||||
Mobile TeleSystems ADR | 1,072,705 | 8,388,553 | ||||||
Magnit PJSC GDR | 519,198 | 7,159,740 | ||||||
Evraz | 2,334,638 | 10,852,112 | ||||||
MMC Norilsk Nickel PJSC ADR | 330,505 | 7,879,239 | ||||||
Novolipetsk Steel PJSC GDR | 488,914 | 11,362,362 | ||||||
PhosAgro PJSC GDR | 457,749 | 5,273,269 | ||||||
35,366,982 | ||||||||
TOTAL RUSSIA | 50,915,275 | |||||||
SINGAPORE— 4.3% | ||||||||
StarHub | 6,341,600 | 5,433,667 | ||||||
Keppel Pacific Oak US REIT ‡ | 8,873,926 | 6,211,748 | ||||||
Mapletree North Asia Commercial Trust ‡ | 8,428,000 | 5,369,725 | ||||||
Sasseur Real Estate Investment Trust ‡ | 17,708,900 | 9,726,602 | ||||||
21,308,075 | ||||||||
TOTAL SINGAPORE | 26,741,742 |
Schedule of Investments | October 31, 2020 |
Global X SuperDividend® ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
SOUTH AFRICA— 10.3% | ||||||||
Truworths International | 2,700,463 | $ | 5,196,922 | |||||
Exxaro Resources | 1,055,818 | 7,084,596 | ||||||
Absa Group | 1,072,685 | 5,738,811 | ||||||
Coronation Fund Managers | 2,467,017 | 5,698,109 | ||||||
11,436,920 | ||||||||
Reunert | 2,483,741 | 5,120,722 | ||||||
African Rainbow Minerals | 598,673 | 8,384,277 | ||||||
Kumba Iron Ore | 431,842 | 12,765,168 | ||||||
21,149,445 | ||||||||
Equites Property Fund ‡ (A) | 5,736,182 | 5,496,568 | ||||||
Growthpoint Properties ‡ | 6,768,140 | 4,419,415 | ||||||
Resilient ‡ | 2,463,003 | 4,659,602 | ||||||
14,575,585 | ||||||||
TOTAL SOUTH AFRICA | 64,564,190 | |||||||
SPAIN— 1.4% | ||||||||
Repsol | 737,476 | 4,587,319 | ||||||
Lar Espana Real Estate Socimi ‡ | 1,103,284 | 3,932,589 | ||||||
TOTAL SPAIN | 8,519,908 | |||||||
TAIWAN— 2.7% | ||||||||
Ruentex Industries | 2,461,600 | 5,697,132 | ||||||
Chong Hong Construction | 2,044,400 | 5,689,312 | ||||||
Farglory Land Development | 3,570,200 | 5,491,944 | ||||||
11,181,256 |
Schedule of Investments | October 31, 2020 |
Global X SuperDividend® ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
TOTAL TAIWAN | $ | 16,878,388 | ||||||
THAILAND— 5.2% | ||||||||
Jasmine Broadband Internet Infrastructure Fund | 20,540,500 | 6,227,889 | ||||||
Jasmine International NVDR (A) | 96,408,699 | 7,980,571 | ||||||
14,208,460 | ||||||||
Banpu (A) | 6,348,600 | 1,334,189 | ||||||
Banpu PCL NVDR (A) | 25,176,900 | 5,291,046 | ||||||
6,625,235 | ||||||||
Tisco Financial Group NVDR | 2,644,100 | 6,002,088 | ||||||
Quality Houses | 86,077,500 | 5,744,484 | ||||||
TOTAL THAILAND | 32,580,267 | |||||||
UNITED KINGDOM— 3.4% | ||||||||
Genel Energy | 3,544,198 | 5,141,699 | ||||||
IG Group Holdings | 551,987 | 5,431,369 | ||||||
Standard Life Aberdeen | 1,858,494 | 5,394,775 | ||||||
10,826,144 | ||||||||
Regional ‡ | 6,305,256 | 5,087,251 | ||||||
TOTAL UNITED KINGDOM | 21,055,094 | |||||||
UNITED STATES— 25.3% | ||||||||
CenturyLink | 561,937 | 4,843,897 | ||||||
Altria Group | 149,434 | 5,391,579 | ||||||
B&G Foods (A) | 662,439 | 17,594,380 | ||||||
22,985,959 |
Schedule of Investments | October 31, 2020 |
Global X SuperDividend® ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Archrock | 879,704 | $ | 5,216,645 | |||||
Diversified Gas & Oil | 11,095,936 | 16,039,897 | ||||||
Williams | 306,701 | 5,885,592 | ||||||
27,142,134 | ||||||||
Annaly Capital Management ‡ | 1,009,668 | 7,158,546 | ||||||
Apollo Commercial Real Estate Finance ‡ | 442,505 | 3,849,793 | ||||||
Arbor Realty Trust ‡ | 562,861 | 6,653,017 | ||||||
Ares Commercial Real Estate ‡ | 629,081 | 5,856,744 | ||||||
Artisan Partners Asset Management, Cl A | 195,552 | 7,833,813 | ||||||
Blackstone Mortgage Trust, Cl A ‡ | 244,809 | 5,312,356 | ||||||
Chimera Investment ‡ | 360,917 | 3,013,657 | ||||||
KKR Real Estate Finance Trust ‡ | 456,782 | 7,632,827 | ||||||
Ladder Capital, Cl A ‡ | 489,703 | 3,672,773 | ||||||
Ready Capital ‡ | 470,597 | 5,289,510 | ||||||
Starwood Property Trust ‡ | 350,986 | 4,903,274 | ||||||
Waddell & Reed Financial, Cl A | 369,722 | 5,675,233 | ||||||
66,851,543 | ||||||||
Kronos Worldwide | 465,731 | 6,203,537 | ||||||
Brookfield Property, Cl A ‡ (A) | 450,385 | 6,643,179 | ||||||
GEO Group ‡ | 474,164 | 4,201,093 | ||||||
Gladstone Commercial ‡ | 315,277 | 5,123,251 | ||||||
Iron Mountain ‡ | 208,976 | 5,445,915 | ||||||
Office Properties Income Trust ‡ | 244,317 | 4,497,876 | ||||||
One Liberty Properties ‡ | 305,131 | 4,708,171 | ||||||
30,619,485 | ||||||||
TOTAL UNITED STATES | 158,646,555 | |||||||
TOTAL COMMON STOCK | ||||||||
(Cost $685,973,161) | 619,135,245 |
Schedule of Investments | October 31, 2020 |
Global X SuperDividend® ETF |
Shares/Face Amount | Value | |||||||
BRAZIL— 1.0% | ||||||||
Cia de Transmissao de Energia Eletrica Paulista, 0.000% (B) | ||||||||
(Cost $6,065,782) | 1,494,500 | $ | 6,093,600 | |||||
TOTAL BRAZIL | 6,093,600 | |||||||
Fidelity Investments Money Market Government Portfolio, Cl Institutional, 0.010% | ||||||||
(Cost $3,784,982) | 3,784,982 | 3,784,982 | ||||||
BNP Paribas | ||||||||
0.060%, dated 10/30/20, to be repurchased on 11/02/20 , repurchase price $32,789,071 (collateralized by U.S. Treasury Obligations, ranging in par value $1,542,087 - $5,316,013, 1.625%, 11/15/2022, with a total market value of $33,438,165) | ||||||||
(Cost $32,788,906) | $ | 32,788,906 | 32,788,906 | |||||
TOTAL INVESTMENTS — 105.6% | ||||||||
(Cost $728,612,831) | $ | 661,802,733 |
Schedule of Investments | October 31, 2020 |
Global X SuperDividend® ETF |
‡ | Real Estate Investment Trust |
* | Non-income producing security. |
(A) | This security or a partial position of this security is on loan at October 31, 2020. The total value of securities on loan at October 31, 2020 was $34,797,029. |
(B) | There is currently no stated rate. |
(C) | Security was purchased with cash collateral held from securities on loan. The total value of such securities as of October 31, 2020, was $36,573,888. |
(D) | The rate reported on the Schedule of Investments is the 7-day effective yield as of October 31, 2020. |
Investments in Securities | Level 1 | Level 2 | Level 3 | Total | ||||||||||||
Common Stock | $ | 600,095,895 | $ | 19,039,350 | $ | — | $ | 619,135,245 | ||||||||
Preferred Stock | 6,093,600 | — | — | 6,093,600 | ||||||||||||
Short-Term Investment | 3,784,982 | — | — | 3,784,982 | ||||||||||||
Repurchase Agreement | — | 32,788,906 | — | 32,788,906 | ||||||||||||
Total Investments in Securities | $ | 609,974,477 | $ | 51,828,256 | $ | — | $ | 661,802,733 |
Schedule of Investments | October 31, 2020 |
Global X SuperDividend® U.S. ETF |
UNITED STATES— 73.8% | ||||||||
AT&T | 347,829 | $ | 9,398,340 | |||||
Verizon Communications | 227,661 | 12,974,400 | ||||||
22,372,740 | ||||||||
H&R Block | 567,313 | 9,791,822 | ||||||
Altria Group | 300,660 | 10,847,813 | ||||||
B&G Foods (A) | 987,759 | 26,234,879 | ||||||
Bunge | 180,376 | 10,232,730 | ||||||
General Mills | 241,806 | 14,295,571 | ||||||
Kraft Heinz | 485,012 | 14,836,517 | ||||||
Philip Morris International | 153,009 | 10,866,699 | ||||||
Universal | 268,727 | 10,708,771 | ||||||
98,022,980 |
Schedule of Investments | October 31, 2020 |
Global X SuperDividend® U.S. ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Chevron | 120,278 | $ | 8,359,321 | |||||
Exxon Mobil | 224,046 | 7,308,380 | ||||||
Hess Midstream | 371,225 | 6,340,523 | ||||||
Kinder Morgan | 597,194 | 7,106,609 | ||||||
29,114,833 | ||||||||
Arbor Realty Trust ‡ (A) | 885,361 | 10,464,967 | ||||||
Blackstone Mortgage Trust, Cl A ‡ | 310,856 | 6,745,575 | ||||||
KKR Real Estate Finance Trust ‡ | 451,986 | 7,552,686 | ||||||
Virtu Financial, Cl A | 294,278 | 6,291,664 | ||||||
31,054,892 | ||||||||
Ennis | 629,666 | 9,596,110 | ||||||
Alexander’s ‡ | 27,468 | 6,679,943 | ||||||
Brookfield Property, Cl A ‡ (A) | 886,381 | 13,074,120 | ||||||
Gladstone Commercial ‡ | 521,245 | 8,470,231 | ||||||
Industrial Logistics Properties Trust ‡ | 379,946 | 7,287,364 | ||||||
Iron Mountain ‡ | 283,466 | 7,387,124 | ||||||
Omega Healthcare Investors ‡ | 229,208 | 6,603,483 | ||||||
49,502,265 | ||||||||
Clearway Energy, Cl C | 324,995 | 9,151,859 | ||||||
Dominion Energy | 146,139 | 11,740,807 | ||||||
Duke Energy | 128,625 | 11,847,649 | ||||||
National Fuel Gas | 169,319 | 6,765,987 | ||||||
PPL | 378,663 | 10,413,232 | ||||||
South Jersey Industries | 250,442 | 4,826,018 | ||||||
54,745,552 | ||||||||
TOTAL UNITED STATES | 304,201,194 | |||||||
TOTAL COMMON STOCK | ||||||||
(Cost $323,444,149) | 304,201,194 |
Schedule of Investments | October 31, 2020 |
Global X SuperDividend® U.S. ETF |
Shares | Value | |||||||
BP Midstream Partners (B) | 866,879 | $ | 8,408,726 | |||||
CrossAmerica Partners (B) | 718,073 | 10,440,781 | ||||||
Delek Logistics Partners (B) | 454,990 | 12,066,335 | ||||||
KNOT Offshore Partners (B) | 724,931 | 9,409,604 | ||||||
MPLX (B) | 384,790 | 6,622,236 | ||||||
Phillips 66 Partners (B) | 216,731 | 5,086,677 | ||||||
Sunoco (B) | 281,518 | 7,085,808 | ||||||
USA Compression Partners (B) | 937,269 | 9,382,063 | ||||||
68,502,230 | ||||||||
Compass Diversified Holdings (B) | 585,138 | 10,117,036 | ||||||
Fortress Transportation & Infrastructure Investors (B) | 662,036 | 10,420,446 | ||||||
Icahn Enterprises (B) | 145,345 | 7,185,857 | ||||||
17,606,303 | ||||||||
Brookfield Property Partners (B) | 698,021 | 9,695,512 | ||||||
TOTAL MASTER LIMITED PARTNERSHIPS | ||||||||
(Cost $104,640,165) | 105,921,081 | |||||||
Fidelity Investments Money Market Government Portfolio, Cl Institutional, 0.010% | ||||||||
(Cost $3,151,723) | 3,151,723 | 3,151,723 |
Schedule of Investments | October 31, 2020 |
Global X SuperDividend® U.S. ETF |
Face Amount | Value | |||||||
BNP Paribas | ||||||||
0.060%, dated 10/30/20, to be repurchased on 11/02/20 , repurchase price $27,303,183 (collateralized by U.S. Treasury Obligations, ranging in par value $1,284,083 - $4,426,599, 1.625%, 11/15/2022, with a total market value of $27,843,677) | ||||||||
(Cost $27,303,045) | $ | 27,303,045 | $ | 27,303,045 | ||||
TOTAL INVESTMENTS — 106.9% | ||||||||
(Cost $458,539,082) | $ | 440,577,043 |
‡ | Real Estate Investment Trust |
(A) | This security or a partial position of this security is on loan at October 31, 2020. The total value of securities on loan at October 31, 2020 was $29,387,834. |
(B) | Security considered Master Limited Partnership. At October 31, 2020, these securities amounted to $105,921,081 or 25.7% of net assets. |
(C) | Security was purchased with cash collateral held from securities on loan. The total value of such securities as of October 31, 2020, was $30,454,768. |
(D) | The rate reported on the Schedule of Investments is the 7-day effective yield as of October 31, 2020. |
Investments in Securities | Level 1 | Level 2 | Level 3 | Total | ||||||||||||
Common Stock | $ | 304,201,194 | $ | — | $ | — | $ | 304,201,194 | ||||||||
Master Limited Partnerships | 105,921,081 | — | — | 105,921,081 | ||||||||||||
Short-Term Investment | 3,151,723 | — | — | 3,151,723 | ||||||||||||
Repurchase Agreement | — | 27,303,045 | — | 27,303,045 | ||||||||||||
Total Investments in Securities | $ | 413,273,998 | $ | 27,303,045 | $ | — | $ | 440,577,043 |
Schedule of Investments | October 31, 2020 |
Global X MSCI SuperDividend® EAFE ETF |
AUSTRALIA— 18.0% | ||||||||
Australia & New Zealand Banking Group | 14,202 | $ | 187,599 | |||||
Commonwealth Bank of Australia | 3,676 | 178,174 | ||||||
365,773 | ||||||||
Qantas Airways * | 62,652 | 184,350 | ||||||
BHP Group | 6,232 | 147,836 | ||||||
BHP Group | 7,590 | 146,246 | ||||||
Fortescue Metals Group | 15,810 | 192,852 | ||||||
Rio Tinto | 2,742 | 154,472 | ||||||
641,406 | ||||||||
Scentre Group ‡ | 97,509 | 143,799 | ||||||
TOTAL AUSTRALIA | 1,335,328 | |||||||
BELGIUM— 2.0% | ||||||||
Proximus | 7,454 | 144,959 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
DENMARK— 3.6% | ||||||||
Pandora * | 3,350 | $ | 265,319 | |||||
FINLAND— 2.1% | ||||||||
Fortum | 8,478 | |||||||
FRANCE— 5.2% | ||||||||
Total | 3,981 | |||||||
Covivio ‡ | 2,581 | |||||||
Klepierre ‡ | 9,203 | |||||||
TOTAL FRANCE | ||||||||
GERMANY— 4.0% | ||||||||
METRO | 16,571 | |||||||
HOCHTIEF | 1,827 | |||||||
TOTAL GERMANY | ||||||||
HONG KONG— 5.6% | ||||||||
HKT Trust & HKT | 94,220 | |||||||
PCCW | 252,765 | |||||||
Swire Pacific, Cl A | 31,000 | |||||||
TOTAL HONG KONG | ||||||||
ITALY— 11.8% | ||||||||
Telecom Italia | 373,576 | |||||||
Eni | 15,627 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Assicurazioni Generali | 10,886 | $ | 145,953 | |||||
Mediobanca Banca di Credito Finanziario | 25,734 | |||||||
Poste Italiane | 17,739 | |||||||
Snam | 32,734 | |||||||
TOTAL ITALY | ||||||||
JAPAN— 9.9% | ||||||||
Japan Tobacco | 7,690 | |||||||
Aozora Bank | 8,300 | |||||||
Marubeni | 32,500 | |||||||
Canon | 7,140 | |||||||
Japan Retail Fund Investment ‡ | 115 | |||||||
TOTAL JAPAN | ||||||||
NETHERLANDS— 1.5% | ||||||||
Royal Dutch Shell, Cl A | 8,956 | |||||||
NEW ZEALAND— 2.0% | ||||||||
Spark New Zealand | 50,854 | |||||||
PORTUGAL— 3.8% | ||||||||
Galp Energia | 15,214 | |||||||
Energias de Portugal | 32,184 | |||||||
TOTAL PORTUGAL |
Schedule of Investments | October 31, 2020 |
Global X MSCI SuperDividend® EAFE ETF
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
SPAIN— 15.3% | ||||||||
Telefonica | 35,325 | $ | 115,462 | |||||
Repsol | 16,342 | |||||||
Banco Bilbao Vizcaya Argentaria | 50,844 | |||||||
Mapfre | 89,892 | |||||||
ACS Actividades de Construccion y Servicios | 6,730 | |||||||
Enagas | 6,440 | |||||||
Endesa | 6,555 | |||||||
Naturgy Energy Group | 8,705 | |||||||
TOTAL SPAIN | ||||||||
SWITZERLAND— 4.3% | ||||||||
Swiss Re | 2,268 | |||||||
Zurich Insurance Group | 483 | |||||||
TOTAL SWITZERLAND | ||||||||
UNITED KINGDOM— 10.9% | ||||||||
Barratt Developments * | 23,274 | |||||||
British American Tobacco | 4,957 | |||||||
Imperial Brands | 7,593 | |||||||
BP | 37,306 | |||||||
Legal & General Group | 60,919 |
Schedule of Investments | October 31, 2020 |
Global X MSCI SuperDividend® EAFE ETF
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Financials — continued | ||||||||
Standard Life Aberdeen | 50,384 | $ | 146,253 | |||||
TOTAL UNITED KINGDOM | ||||||||
TOTAL COMMON STOCK | ||||||||
(Cost $8,323,486) | 7,433,865 | |||||||
TOTAL INVESTMENTS — 100.0% | ||||||||
(Cost $8,323,486) | $ | 7,433,865 |
* | Non-income producing security. |
‡ | Real Estate Investment Trust |
Schedule of Investments | October 31, 2020 |
BRAZIL— 6.9% | ||||||||
Banco do Brasil | 85,132 | $ | 439,982 | |||||
Banco Santander Brasil | 96,500 | |||||||
BB Seguridade Participacoes | 96,600 | |||||||
Total Financials | ||||||||
TOTAL BRAZIL | ||||||||
CHINA— 32.9% | ||||||||
China Shenhua Energy, Cl H | 256,100 | |||||||
CNOOC | 368,700 | |||||||
Yanzhou Coal Mining, Cl H | 486,600 | |||||||
Total Energy | ||||||||
Bank of China, Cl H | 1,254,000 | |||||||
Bank of Communications, Cl H | 634,280 | |||||||
China Everbright Bank, Cl H | 1,069,400 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
China Minsheng Banking, Cl H | 669,900 | $ | 366,271 | |||||
PICC Property & Casualty, Cl H | 520,400 | |||||||
Total Financials | ||||||||
Shenzhen International Holdings | 252,000 | |||||||
Sinopec Engineering Group, Cl H | 939,300 | |||||||
Total Industrials | ||||||||
Lenovo Group | 696,700 | |||||||
Agile Group Holdings | 368,400 | |||||||
Guangzhou R&F Properties | 314,600 | |||||||
KWG Group Holdings | 256,000 | |||||||
KWG Living Group Holdings * | 128,000 | |||||||
Shanghai Lujiazui Finance & Trade Zone Development, Cl B | 471,800 | |||||||
Yuzhou Properties | 890,200 | |||||||
Total Real Estate | ||||||||
China Power International Development | 2,093,100 | |||||||
TOTAL CHINA | ||||||||
COLOMBIA— 1.8% | ||||||||
Ecopetrol | 758,646 | |||||||
EGYPT— 2.0% | ||||||||
ElSewedy Electric | 856,781 | |||||||
INDIA— 2.4% | ||||||||
REC | 342,103 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
INDONESIA— 2.2% | ||||||||
Adaro Energy | 5,619,300 | $ | 432,254 | |||||
MALAYSIA— 3.8% | ||||||||
Genting Malaysia | 772,510 | |||||||
Malayan Banking | 231,400 | |||||||
TOTAL MALAYSIA | ||||||||
MEXICO— 2.0% | ||||||||
Fibra Uno Administracion ‡ | 526,300 | |||||||
PAKISTAN— 2.2% | ||||||||
MCB Bank | 424,042 | |||||||
ROMANIA— 1.5% | ||||||||
NEPI Rockcastle | 87,628 | |||||||
RUSSIA— 12.1% | ||||||||
Mobile TeleSystems ADR | 43,136 | |||||||
Magnit PJSC GDR | 35,706 | |||||||
Gazprom PJSC | 146,220 | |||||||
LUKOIL PJSC | 5,385 | |||||||
Total Energy | ||||||||
Magnitogorsk Iron & Steel Works PJSC | 752,800 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
MMC Norilsk Nickel PJSC | 1,308 | $ | 310,382 | |||||
PhosAgro PJSC GDR | 31,337 | |||||||
Total Materials | ||||||||
TOTAL RUSSIA | ||||||||
SOUTH AFRICA— 10.1% | ||||||||
Exxaro Resources | 64,406 | |||||||
Nedbank Group | 69,156 | |||||||
Old Mutual | 560,969 | |||||||
Total Financials | ||||||||
Kumba Iron Ore | 16,254 | |||||||
Growthpoint Properties ‡ | 548,208 | |||||||
TOTAL SOUTH AFRICA | ||||||||
SOUTH KOREA— 2.2% | ||||||||
Woori Financial Group | 57,195 | |||||||
TAIWAN— 8.7% | ||||||||
Formosa Taffeta | 404,600 | |||||||
Lite-On Technology | 253,800 | |||||||
Micro-Star International | 111,300 | |||||||
Total Information Technology | ||||||||
Highwealth Construction | 310,970 | |||||||
TOTAL TAIWAN |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
THAILAND— 1.9% | ||||||||
Siam Commercial Bank NVDR | 184,300 | $ | 384,359 | |||||
TURKEY— 1.8% | ||||||||
Anadolu Efes Biracilik Ve Malt Sanayii | 156,134 | |||||||
UNITED ARAB EMIRATES— 5.5% | ||||||||
Dubai Islamic Bank PJSC | 426,328 | |||||||
Aldar Properties PJSC | 825,561 | |||||||
TOTAL UNITED ARAB EMIRATES | ||||||||
TOTAL INVESTMENTS — 100.0% | ||||||||
(Cost $21,285,632) | $ | 20,004,134 |
* | Non-income producing security. |
‡ | Real Estate Investment Trust |
Investments in Securities | Level 1 | Level 2 | Level 3 | Total | ||||||||||||
Common Stock | $ | 17,628,859 | $ | 2,375,275 | $ | — | $ | 20,004,134 | ||||||||
Total Investments in Securities | $ | 17,628,859 | $ | 2,375,275 | $ | — | $ | 20,004,134 |
Schedule of Investments | October 31, 2020 |
AUSTRALIA— 2.6% | ||||||||
Cromwell Property Group ‡ (A) | 12,931,541 | $ | 7,946,052 | |||||
CANADA— 5.6% | ||||||||
NorthWest Healthcare Properties Real Estate Investment Trust ‡ (A) | 987,872 | |||||||
SmartCentres Real Estate Investment Trust ‡ (A) | 575,197 | |||||||
TOTAL CANADA | ||||||||
SINGAPORE— 8.5% | ||||||||
Frasers Logistics & Commercial Trust ‡ | 1,413,270 | |||||||
Manulife US Real Estate Investment Trust ‡ | 22,503,722 | |||||||
Mapletree North Asia Commercial Trust ‡ | 14,183,638 | |||||||
TOTAL SINGAPORE | ||||||||
UNITED STATES— 82.6% | ||||||||
Annaly Capital Management ‡ | 2,355,569 | |||||||
Apollo Commercial Real Estate Finance ‡ | 1,254,953 | |||||||
Arbor Realty Trust ‡ | 931,205 | |||||||
ARMOUR Residential ‡ | 1,330,382 | |||||||
Blackstone Mortgage Trust, Cl A ‡ | 520,900 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
Chimera Investment ‡ | 1,129,888 | $ | 9,434,565 | |||||
KKR Real Estate Finance Trust ‡ | 986,078 | |||||||
Ladder Capital, Cl A ‡ | 1,088,206 | |||||||
Ready Capital ‡ | 1,296,968 | |||||||
Starwood Property Trust ‡ | 745,003 | |||||||
Brandywine Realty Trust ‡ | 835,516 | |||||||
Brookfield Property, Cl A ‡ (A) | 1,049,689 | |||||||
Gaming and Leisure Properties ‡ | 406,748 | |||||||
GEO Group ‡ | 808,425 | |||||||
Global Medical ‡ | 620,196 | |||||||
Industrial Logistics Properties Trust ‡ | 456,699 | |||||||
Iron Mountain ‡ | 337,312 | |||||||
LTC Properties ‡ | 218,478 | |||||||
MGM Growth Properties, Cl A ‡ | 335,684 | |||||||
National Health Investors ‡ | 127,631 | |||||||
Office Properties Income Trust ‡ | 346,172 | |||||||
Omega Healthcare Investors ‡ | 519,253 | |||||||
Spirit Realty Capital ‡ | 234,997 | |||||||
Uniti Group ‡ | 804,113 | |||||||
WP Carey ‡ | 116,233 | |||||||
TOTAL UNITED STATES | ||||||||
TOTAL COMMON STOCK | ||||||||
(Cost $384,161,030) | 309,582,514 | |||||||
Fidelity Investments Money Market Government Portfolio, Cl Institutional, 0.010% | ||||||||
(Cost $2,399,291) |
Schedule of Investments | October 31, 2020 |
Face Amount | Value | |||||||
BNP Paribas | ||||||||
0.060%, dated 10/30/20, to be repurchased on 11/02/20, repurchase price $20,788,275 (collateralized by U.S. Treasury Obligations, ranging in par value $977,525 - $3,369,808, 1.625%, 11/15/2022, with a total market value of $21,196,373) | ||||||||
(Cost $20,784,811) | $ | 20,784,811 | $ | 20,784,811 | ||||
TOTAL INVESTMENTS — 106.8% | ||||||||
(Cost $407,345,132) | $ | 332,766,616 |
‡ | Real Estate Investment Trust |
(A) | This security or a partial position of this security is on loan at October 31, 2020. The total value of securities on loan at October 31, 2020 was $22,082,244. |
(B) | Security was purchased with cash collateral held from securities on loan. The total value of such securities as of October 31, 2020, was $23,184,102. |
(C) | The rate reported on the Schedule of Investments is the 7-day effective yield as of October 31, 2020. |
Cl — Class |
ETF — Exchange Traded Fund |
REIT — Real Estate Investment Trust |
Investments in Securities | Level 1 | Level 2 | Level 3 | Total | ||||||||||||
Common Stock | $ | 309,582,514 | $ | — | $ | — | $ | 309,582,514 | ||||||||
Short-Term Investment | 2,399,291 | — | — | 2,399,291 | ||||||||||||
Repurchase Agreement | — | 20,784,811 | — | 20,784,811 | ||||||||||||
Total Investments in Securities | $ | 311,981,805 | $ | 20,784,811 | $ | — | $ | 332,766,616 |
Schedule of Investments | October 31, 2020 |
ARGENTINA— 0.5% | ||||||||
MercadoLibre * | 5,903 | $ | 7,166,537 | |||||
CHINA— 1.6% | ||||||||
Baidu ADR * | 31,871 | |||||||
NetEase ADR | 40,476 | |||||||
JD.com ADR * | 108,768 | |||||||
Pinduoduo ADR * | 35,230 | |||||||
Trip.com Group ADR * | 61,246 | |||||||
TOTAL CHINA | ||||||||
ISRAEL— 0.1% | ||||||||
Check Point Software Technologies * | 15,456 | |||||||
NETHERLANDS— 0.6% | ||||||||
ASML Holding, Cl G | 9,121 | |||||||
NXP Semiconductors | 31,690 | |||||||
TOTAL NETHERLANDS |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
UNITED KINGDOM— 0.1% | ||||||||
Liberty Global * | 47,142 | $ | 879,669 | |||||
Liberty Global, Cl A * | 27,620 | |||||||
TOTAL UNITED KINGDOM | ||||||||
UNITED STATES— 97.3% | ||||||||
Activision Blizzard | 91,453 | |||||||
Alphabet, Cl A * | 32,025 | |||||||
Alphabet, Cl C * | 30,987 | |||||||
Charter Communications, Cl A * | 24,281 | |||||||
Comcast, Cl A | 540,170 | |||||||
Electronic Arts * | 34,612 | |||||||
Facebook, Cl A * | 223,335 | |||||||
Fox, Cl A | 35,848 | |||||||
Fox, Cl B | 35,484 | |||||||
Netflix * | 52,265 | |||||||
Sirius XM Holdings | 520,302 | |||||||
Take-Two Interactive Software * | 13,487 | |||||||
T-Mobile US * | 146,662 | |||||||
Amazon.com * | 46,520 | |||||||
Booking Holdings * | 4,859 | |||||||
Dollar Tree * | 26,467 | |||||||
eBay | 84,131 | |||||||
Expedia Group | 17,062 | |||||||
Lululemon Athletica * | 14,898 | |||||||
Marriott International, Cl A * | 38,694 | |||||||
O’Reilly Automotive * | 8,868 | |||||||
Ross Stores * | 40,281 | |||||||
Starbucks | 138,520 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
Tesla * | 110,411 | $ | 42,843,884 | |||||
Ulta Beauty * | 6,523 | |||||||
Costco Wholesale | 52,324 | |||||||
Keurig Dr Pepper | 166,744 | |||||||
Kraft Heinz | 138,851 | |||||||
Mondelez International, Cl A | 169,251 | |||||||
Monster Beverage * | 60,040 | |||||||
PepsiCo | 164,073 | |||||||
Walgreens Boots Alliance | 104,796 | |||||||
Alexion Pharmaceuticals * | 24,592 | |||||||
Align Technology * | 9,343 | |||||||
Amgen | 69,398 | |||||||
Biogen Idec * | 18,039 | |||||||
BioMarin Pharmaceutical * | 23,424 | |||||||
Cerner | 36,073 | |||||||
DexCom * | 11,616 | |||||||
Gilead Sciences | 148,564 | |||||||
IDEXX Laboratories * | 10,137 | |||||||
Illumina * | 17,286 | |||||||
Incyte * | 24,228 | |||||||
Intuitive Surgical * | 13,873 | |||||||
Moderna * | 44,456 | |||||||
Regeneron Pharmaceuticals * | 12,398 | |||||||
Seagen * | 19,715 | |||||||
Vertex Pharmaceuticals * | 30,862 | |||||||
Cintas | 12,436 | |||||||
Copart * | 27,852 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
CSX | 90,664 | $ | 7,157,016 | |||||
Fastenal | 68,231 | |||||||
PACCAR | 41,237 | |||||||
Verisk Analytics, Cl A | 19,330 | |||||||
Adobe * | 56,828 | |||||||
Advanced Micro Devices * | 139,105 | |||||||
Analog Devices | 43,792 | |||||||
ANSYS * | 10,181 | |||||||
Apple | 1,588,641 | |||||||
Applied Materials | 108,207 | |||||||
Autodesk * | 25,964 | |||||||
Automatic Data Processing | 50,957 | |||||||
Broadcom | 47,375 | |||||||
Cadence Design Systems * | 33,322 | |||||||
CDW | 15,747 | |||||||
Cisco Systems | 500,315 | |||||||
Citrix Systems | 15,731 | |||||||
Cognizant Technology Solutions, Cl A | 61,606 | |||||||
DocuSign, Cl A * | 21,071 | |||||||
Fiserv * | 79,354 | |||||||
Intel | 503,928 | |||||||
Intuit | 31,017 | |||||||
KLA | 18,509 | |||||||
Lam Research | 17,242 | |||||||
Maxim Integrated Products | 29,537 | |||||||
Microchip Technology | 28,374 | |||||||
Micron Technology * | 131,658 | |||||||
Microsoft | 702,943 | |||||||
NVIDIA | 73,111 | |||||||
Paychex | 42,658 | |||||||
PayPal Holdings * | 139,017 |
Schedule of Investments | October 31, 2020 |
Shares/ Number of Contracts | Value | |||||||
QUALCOMM | 133,686 | $ | 16,491,505 | |||||
Skyworks Solutions | 19,784 | |||||||
Splunk * | 18,971 | |||||||
Synopsys * | 17,179 | |||||||
Texas Instruments | 108,545 | |||||||
VeriSign * | 13,714 | |||||||
Workday, Cl A * | 20,099 | |||||||
Xilinx | 28,903 | |||||||
Zoom Video Communications, Cl A * | 21,584 | |||||||
Exelon | 116,494 | |||||||
Xcel Energy | 59,598 | |||||||
TOTAL UNITED STATES | ||||||||
TOTAL INVESTMENTS — 100.2% | ||||||||
(Cost $909,185,427) | $ | 1,328,299,745 | ||||||
UNITED STATES— (0.5)% | ||||||||
(Premiums Received $49,975,417) | (1,201 | ) | (6,581,480 | ) |
Call Options | |||||||||||||||||
November 20 Calls on NDX* | (1,201 | ) | $ | (49,975,417 | ) | $ | 12,000.00 | 11/21/20 | $ | (6,581,480 | ) |
Schedule of Investments | October 31, 2020 |
* | Non-income producing security. |
+ | Notional amount for all options totals $(1,327,459,259). |
(1) | Refer to table below for details on Options Contracts. |
(A) | All or a portion of these securities has been segregated as collateral for written options contracts. The aggregate market value of collateral at October 31, 2020 was $1,328,299,745. |
Investments in Securities | Level 1 | Level 2 | Level 3 | Total | ||||||||||||
Common Stock | $ | 1,328,299,745 | $ | — | $ | — | $ | 1,328,299,745 | ||||||||
Total Investments in Securities | $ | 1,328,299,745 | $ | — | $ | — | $ | 1,328,299,745 | ||||||||
Liabilities | Level 1 | Level 2 | Level 3 | Total | ||||||||||||
Written Option | (6,581,480 | ) | — | — | (6,581,480 | ) | ||||||||||
Total Liabilities | $ | (6,581,480 | ) | $ | — | $ | — | $ | (6,581,480 | ) |
Schedule of Investments | October 31, 2020 |
UNITED KINGDOM— 0.4% | ||||||||
TechnipFMC | 2,227 | $ | 12,315 | |||||
Linde | 1,967 | |||||||
TOTAL UNITED KINGDOM | ||||||||
UNITED STATES— 100.5% | ||||||||
Activision Blizzard | 2,973 | |||||||
Alphabet, Cl A * | 1,153 | |||||||
Alphabet, Cl C * | 1,127 | |||||||
AT&T | 27,016 | |||||||
CenturyLink | 3,373 | |||||||
Charter Communications, Cl A * | 598 | |||||||
Comcast, Cl A | 17,307 | |||||||
Discovery, Cl A * | 796 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
Discovery, Cl C * | 1,691 | $ | 30,979 | |||||
DISH Network, Cl A * | 1,231 | |||||||
Electronic Arts * | 1,098 | |||||||
Facebook, Cl A * | 9,250 | |||||||
Fox, Cl A | 1,165 | |||||||
Fox, Cl B | 800 | |||||||
Interpublic Group | 2,001 | |||||||
Live Nation Entertainment * | 518 | |||||||
Netflix * | 1,678 | |||||||
News, Cl A | 1,960 | |||||||
News, Cl B | 636 | |||||||
Omnicom Group | 751 | |||||||
Take-Two Interactive Software * | 413 | |||||||
T-Mobile US * | 2,297 | |||||||
Twitter * | 2,985 | |||||||
Verizon Communications | 15,753 | |||||||
ViacomCBS, Cl B | 2,207 | |||||||
Walt Disney | 6,874 | |||||||
Advance Auto Parts | 236 | |||||||
Amazon.com * | 1,644 | |||||||
Aptiv * | 1,053 | |||||||
AutoZone * | 89 | |||||||
Best Buy | 920 | |||||||
Booking Holdings * | 162 | |||||||
BorgWarner | 665 | |||||||
CarMax * | 590 | |||||||
Carnival | 1,936 | |||||||
Chipotle Mexican Grill, Cl A * | 118 | |||||||
Darden Restaurants | 436 | |||||||
Dollar General | 983 | |||||||
Dollar Tree * | 964 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
Domino’s Pizza | 164 | $ | 62,045 | |||||
DR Horton | 1,393 | |||||||
eBay | 2,537 | |||||||
Etsy * | 545 | |||||||
Expedia Group | 629 | |||||||
Ford Motor * | 15,941 | |||||||
Gap | 1,117 | |||||||
Garmin | 588 | |||||||
General Motors * | 5,212 | |||||||
Genuine Parts | 572 | |||||||
Hanesbrands | 1,859 | |||||||
Hasbro | 564 | |||||||
Hilton Worldwide Holdings | 1,024 | |||||||
Home Depot | 4,114 | |||||||
L Brands * | 708 | |||||||
Las Vegas Sands * | 1,369 | |||||||
Leggett & Platt | 680 | |||||||
Lennar, Cl A | 1,006 | |||||||
LKQ * | 986 | |||||||
Lowe’s | 2,839 | |||||||
Marriott International, Cl A * | 1,018 | |||||||
McDonald’s | 2,813 | |||||||
MGM Resorts International | 1,639 | |||||||
Mohawk Industries * | 328 | |||||||
Newell Brands | 1,984 | |||||||
NIKE, Cl B | 4,698 | |||||||
Norwegian Cruise Line Holdings * | 836 | |||||||
NVR * | 12 | |||||||
O’Reilly Automotive * | 280 | |||||||
Pool | 156 | |||||||
PulteGroup | 841 | |||||||
PVH * | 396 | |||||||
Ralph Lauren, Cl A * | 286 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
Ross Stores * | 1,333 | $ | 113,532 | |||||
Royal Caribbean Cruises * | 732 | |||||||
Starbucks | 4,351 | |||||||
Tapestry * | 1,487 | |||||||
Target | 1,969 | |||||||
Tiffany | 435 | |||||||
TJX * | 4,722 | |||||||
Tractor Supply | 467 | |||||||
Ulta Beauty * | 227 | |||||||
Under Armour, Cl A * | 953 | |||||||
Under Armour, Cl C * | 981 | |||||||
VF | 1,337 | |||||||
Whirlpool | 290 | |||||||
Wynn Resorts * | 375 | |||||||
Yum! Brands | 1,251 | |||||||
Altria Group | 7,356 | |||||||
Archer-Daniels-Midland | 2,089 | |||||||
Brown-Forman, Cl B | 641 | |||||||
Campbell Soup | 645 | |||||||
Church & Dwight | 1,001 | |||||||
Clorox | 518 | |||||||
Coca-Cola | 14,656 | |||||||
Colgate-Palmolive | 3,375 | |||||||
Conagra Brands | 2,000 | |||||||
Constellation Brands, Cl A | 693 | |||||||
Costco Wholesale | 1,669 | |||||||
Estee Lauder, Cl A | 859 | |||||||
General Mills | 2,523 | |||||||
Hershey | 548 | |||||||
Hormel Foods | 1,118 | |||||||
JM Smucker | 457 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
Kellogg | 1,006 | $ | 63,267 | |||||
Kimberly-Clark | 1,333 | |||||||
Kraft Heinz | 2,539 | |||||||
Kroger | 3,313 | |||||||
Lamb Weston Holdings | 547 | |||||||
McCormick | 505 | |||||||
Molson Coors Beverage, Cl B * | 948 | |||||||
Mondelez International, Cl A | 5,649 | |||||||
Monster Beverage * | 1,575 | |||||||
PepsiCo | 5,251 | |||||||
Philip Morris International | 5,833 | |||||||
Procter & Gamble | 9,531 | |||||||
Sysco | 2,109 | |||||||
Tyson Foods, Cl A | 1,273 | |||||||
Walgreens Boots Alliance | 2,754 | |||||||
Walmart | 5,268 | |||||||
Apache | 1,950 | |||||||
Baker Hughes, Cl A | 2,669 | |||||||
Cabot Oil & Gas | 2,033 | |||||||
Chevron | 7,240 | |||||||
Concho Resources | 683 | |||||||
ConocoPhillips | 4,191 | |||||||
Devon Energy | 1,402 | |||||||
Diamondback Energy | 771 | |||||||
EOG Resources | 2,399 | |||||||
Exxon Mobil | 15,915 | |||||||
Halliburton | 3,728 | |||||||
Hess | 1,203 | |||||||
HollyFrontier | 761 | |||||||
Kinder Morgan | 8,083 | |||||||
Marathon Oil | 4,333 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
Marathon Petroleum | 2,468 | $ | 72,806 | |||||
National Oilwell Varco * | 1,959 | |||||||
Occidental Petroleum | 4,061 | |||||||
ONEOK | 1,755 | |||||||
Phillips 66 | 1,837 | |||||||
Pioneer Natural Resources | 598 | |||||||
Schlumberger | 5,292 | |||||||
Valero Energy | 1,681 | |||||||
Williams | 5,117 | |||||||
Aflac | 2,724 | |||||||
Allstate | 1,175 | |||||||
American Express | 2,604 | |||||||
American International Group | 3,570 | |||||||
Ameriprise Financial | 452 | |||||||
Aon, Cl A | 901 | |||||||
Arthur J Gallagher | 754 | |||||||
Assurant | 277 | |||||||
Bank of America | 28,876 | |||||||
Bank of New York Mellon | 3,094 | |||||||
Berkshire Hathaway, Cl B * | 7,601 | |||||||
BlackRock, Cl A | 525 | |||||||
Capital One Financial | 1,922 | |||||||
Cboe Global Markets | 437 | |||||||
Charles Schwab | 5,887 | |||||||
Chubb | 1,776 | |||||||
Cincinnati Financial | 606 | |||||||
Citigroup | 7,700 | |||||||
Citizens Financial Group | 1,783 | |||||||
CME Group, Cl A | 1,412 | |||||||
Comerica | 771 | |||||||
Discover Financial Services | 1,121 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
Everest Re Group | 133 | $ | 26,212 | |||||
Fifth Third Bancorp | 2,581 | |||||||
First Republic Bank | 683 | |||||||
Franklin Resources | 1,410 | |||||||
Globe Life | 313 | |||||||
Goldman Sachs Group | 1,257 | |||||||
Hartford Financial Services Group | 1,600 | |||||||
Huntington Bancshares | 4,815 | |||||||
Intercontinental Exchange | 2,146 | |||||||
Invesco | 2,098 | |||||||
JPMorgan Chase | 11,646 | |||||||
KeyCorp | 4,146 | |||||||
Lincoln National | 956 | |||||||
Loews | 1,121 | |||||||
M&T Bank | 444 | |||||||
MarketAxess Holdings | 154 | |||||||
Marsh & McLennan | 1,963 | |||||||
MetLife | 2,950 | |||||||
Moody’s | 616 | |||||||
Morgan Stanley | 5,526 | |||||||
MSCI, Cl A | 353 | |||||||
Nasdaq | 457 | |||||||
Northern Trust | 764 | |||||||
People’s United Financial | 1,815 | |||||||
PNC Financial Services Group | 1,657 | |||||||
Principal Financial Group | 1,198 | |||||||
Progressive | 2,248 | |||||||
Prudential Financial | 1,654 | |||||||
Raymond James Financial | 406 | |||||||
Regions Financial | 3,740 | |||||||
S&P Global | 954 | |||||||
State Street | 1,324 | |||||||
SVB Financial Group * | 180 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
Synchrony Financial | 1,904 | $ | 47,638 | |||||
T Rowe Price Group | 854 | |||||||
Travelers | 1,070 | |||||||
Truist Financial | 5,160 | |||||||
Unum Group | 1,152 | |||||||
US Bancorp | 5,375 | |||||||
Wells Fargo | 15,269 | |||||||
Willis Towers Watson | 531 | |||||||
WR Berkley | 680 | |||||||
Zions Bancorp | 888 | |||||||
Abbott Laboratories | 6,713 | |||||||
AbbVie | 6,652 | |||||||
ABIOMED * | 157 | |||||||
Agilent Technologies | 1,276 | |||||||
Alexion Pharmaceuticals * | 913 | |||||||
Align Technology * | 288 | |||||||
AmerisourceBergen, Cl A | 539 | |||||||
Amgen | 2,202 | |||||||
Anthem | 995 | |||||||
Baxter International | 1,936 | |||||||
Becton Dickinson | 1,166 | |||||||
Biogen Idec * | 635 | |||||||
Bio-Rad Laboratories, Cl A * | 72 | |||||||
Boston Scientific * | 5,489 | |||||||
Bristol-Myers Squibb | 8,474 | |||||||
Cardinal Health | 1,181 | |||||||
Catalent * | 745 | |||||||
Centene * | 2,189 | |||||||
Cerner | 1,141 | |||||||
Cigna | 1,458 | |||||||
Cooper | 200 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
CVS Health | 5,184 | $ | 290,771 | |||||
Danaher | 2,376 | |||||||
DaVita * | 353 | |||||||
DENTSPLY SIRONA | 838 | |||||||
DexCom * | 402 | |||||||
Edwards Lifesciences * | 2,415 | |||||||
Eli Lilly | 2,967 | |||||||
Gilead Sciences | 4,604 | |||||||
HCA Healthcare * | 1,099 | |||||||
Henry Schein * | 685 | |||||||
Hologic * | 1,034 | |||||||
Humana | 508 | |||||||
IDEXX Laboratories * | 355 | |||||||
Illumina * | 564 | |||||||
Incyte * | 726 | |||||||
Intuitive Surgical * | 453 | |||||||
IQVIA Holdings * | 744 | |||||||
Johnson & Johnson | 10,088 | |||||||
Laboratory Corp of America Holdings * | 392 | |||||||
McKesson | 665 | |||||||
Medtronic | 5,063 | |||||||
Merck | 9,597 | |||||||
Mettler-Toledo International * | 99 | |||||||
Mylan * | 2,472 | |||||||
PerkinElmer | 387 | |||||||
Perrigo | 664 | |||||||
Pfizer | 21,104 | |||||||
Quest Diagnostics | 537 | |||||||
Regeneron Pharmaceuticals * | 432 | |||||||
ResMed | 592 | |||||||
STERIS | 302 | |||||||
Stryker | 1,269 | |||||||
Teleflex | 170 |
Schedule of Investments | October 31, 2020 |
Shares | Value | ||||||||
Thermo Fisher Scientific | 1,498 | $ | 708,734 | ||||||
UnitedHealth Group | 3,632 | ||||||||
Universal Health Services, Cl B * | 371 | ||||||||
Varian Medical Systems * | 338 | ||||||||
Vertex Pharmaceuticals * | 1,026 | ||||||||
Waters * | 257 | ||||||||
West Pharmaceutical Services | 268 | ||||||||
Zimmer Biomet Holdings | 786 | ||||||||
Zoetis, Cl A | 1,874 | ||||||||
3M | 2,139 | ||||||||
Alaska Air Group * | 625 | ||||||||
Allegion | 311 | ||||||||
American Airlines Group * | 1,965 | ||||||||
AMETEK | 856 | ||||||||
AO Smith | 413 | ||||||||
Boeing | 2,133 | ||||||||
Carrier Global | 2,995 | ||||||||
Caterpillar | 2,137 | ||||||||
CH Robinson Worldwide | 528 | ||||||||
Cintas | 317 | ||||||||
Copart * | 824 | ||||||||
CSX | 3,001 | ||||||||
Cummins | 553 | ||||||||
Deere | 1,149 | ||||||||
Delta Air Lines * | 2,539 | ||||||||
Dover | 516 | ||||||||
Eaton | 1,545 | ||||||||
Emerson Electric | 2,271 | ||||||||
Equifax | 486 | ||||||||
Expeditors International of Washington | 586 | ||||||||
Fastenal | 2,429 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
FedEx | 921 | $ | 238,972 | |||||
Flowserve | 687 | |||||||
Fortive | 1,447 | |||||||
Fortune Brands Home & Security | 461 | |||||||
General Dynamics | 877 | |||||||
General Electric | 34,469 | |||||||
Honeywell International | 2,628 | |||||||
Howmet Aerospace * | 1,580 | |||||||
Huntington Ingalls Industries | 195 | |||||||
IDEX | 264 | |||||||
IHS Markit | 1,253 | |||||||
Illinois Tool Works | 1,124 | |||||||
Ingersoll Rand * | 1,601 | |||||||
Jacobs Engineering Group | 453 | |||||||
JB Hunt Transport Services | 287 | |||||||
Johnson Controls International | 2,822 | |||||||
Kansas City Southern | 341 | |||||||
L3Harris Technologies | 838 | |||||||
Lockheed Martin | 912 | |||||||
Masco | 934 | |||||||
Nielsen Holdings | 1,763 | |||||||
Norfolk Southern | 999 | |||||||
Northrop Grumman | 606 | |||||||
Old Dominion Freight Line | 343 | |||||||
Otis Worldwide | 1,533 | |||||||
PACCAR | 1,425 | |||||||
Parker-Hannifin | 539 | |||||||
Pentair | 833 | |||||||
Quanta Services | 414 | |||||||
Raytheon Technologies | 5,662 | |||||||
Republic Services, Cl A | 857 | |||||||
Robert Half International | 336 | |||||||
Rockwell Automation | 489 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
Rollins | 697 | $ | 40,321 | |||||
Roper Technologies | 399 | |||||||
Snap-On | 173 | |||||||
Southwest Airlines * | 2,243 | |||||||
Stanley Black & Decker | 685 | |||||||
Teledyne Technologies * | 129 | |||||||
Textron | 729 | |||||||
Trane Technologies | 893 | |||||||
TransDigm Group * | 213 | |||||||
Union Pacific | 2,554 | |||||||
United Airlines Holdings * | 914 | |||||||
United Parcel Service, Cl B | 2,649 | |||||||
United Rentals * | 251 | |||||||
Verisk Analytics, Cl A | 679 | |||||||
Waste Management | 1,480 | |||||||
Westinghouse Air Brake Technologies | 780 | |||||||
WW Grainger | 173 | |||||||
Xylem | 716 | |||||||
Accenture, Cl A | 2,396 | |||||||
Adobe * | 1,826 | |||||||
Advanced Micro Devices * | 4,617 | |||||||
Akamai Technologies * | 594 | |||||||
Amphenol, Cl A | 1,131 | |||||||
Analog Devices | 1,403 | |||||||
ANSYS * | 326 | |||||||
Apple | 62,110 | |||||||
Applied Materials | 3,600 | |||||||
Arista Networks * | 189 | |||||||
Autodesk * | 842 | |||||||
Automatic Data Processing | 1,694 | |||||||
Broadcom | 1,516 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
Broadridge Financial Solutions | 413 | $ | 56,829 | |||||
Cadence Design Systems * | 1,155 | 126,322 | ||||||
CDW | 521 | 63,875 | ||||||
Cisco Systems | 16,003 | 574,508 | ||||||
Citrix Systems | 467 | 52,897 | ||||||
Cognizant Technology Solutions, Cl A | 2,042 | 145,840 | ||||||
Corning | 3,259 | 104,190 | ||||||
DXC Technology * | 1,290 | 23,762 | ||||||
F5 Networks * | 284 | 37,755 | ||||||
Fidelity National Information Services | 2,291 | 285,436 | ||||||
Fiserv * | 2,209 | 210,893 | ||||||
FleetCor Technologies * | 366 | 80,853 | ||||||
FLIR Systems | 699 | 24,248 | ||||||
Fortinet * | 577 | 63,683 | ||||||
Gartner * | 348 | 41,795 | ||||||
Global Payments | 1,172 | 184,871 | ||||||
Hewlett Packard Enterprise | 4,559 | 39,390 | ||||||
HP | 5,402 | 97,020 | ||||||
Intel | 16,180 | 716,450 | ||||||
International Business Machines | 3,324 | 371,158 | ||||||
Intuit | 1,032 | 324,750 | ||||||
IPG Photonics * | 105 | 19,526 | ||||||
Jack Henry & Associates | 275 | 40,769 | ||||||
Juniper Networks | 1,657 | 32,676 | ||||||
Keysight Technologies * | 765 | 80,225 | ||||||
KLA | 594 | 117,125 | ||||||
Lam Research | 557 | 190,539 | ||||||
Leidos Holdings | 476 | 39,508 | ||||||
Mastercard, Cl A | 3,374 | 973,871 | ||||||
Maxim Integrated Products | 974 | 67,839 | ||||||
Microchip Technology | 1,003 | 105,395 | ||||||
Micron Technology * | 4,252 | 214,046 | ||||||
Microsoft | 29,228 | 5,917,793 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
Motorola Solutions | 709 | $ | 112,064 | |||||
NetApp | 906 | 39,764 | ||||||
NortonLifeLock | 2,422 | 49,821 | ||||||
NVIDIA | 2,361 | 1,183,711 | ||||||
Oracle | 7,227 | 405,507 | ||||||
Paychex | 1,306 | 107,418 | ||||||
Paycom Software * | 221 | 80,464 | ||||||
PayPal Holdings * | 4,467 | 831,443 | ||||||
Qorvo * | 482 | 61,387 | ||||||
QUALCOMM | 4,248 | 524,033 | ||||||
salesforce.com * | 3,463 | 804,351 | ||||||
Seagate Technology | 922 | 44,090 | ||||||
ServiceNow * | 755 | 375,665 | ||||||
Skyworks Solutions | 690 | 97,490 | ||||||
Synopsys * | 619 | 132,379 | ||||||
TE Connectivity | 1,256 | 121,681 | ||||||
Teradyne | 763 | 67,030 | ||||||
Texas Instruments | 3,445 | 498,113 | ||||||
Tyler Technologies * | 142 | 54,582 | ||||||
VeriSign * | 424 | 80,857 | ||||||
Visa, Cl A | 6,450 | 1,172,030 | ||||||
Vontier * | 567 | 16,296 | ||||||
Western Digital * | 1,203 | 45,389 | ||||||
Western Union | 1,728 | 33,592 | ||||||
Xerox Holdings | 1,083 | 18,822 | ||||||
Xilinx | 1,034 | 122,725 | ||||||
Zebra Technologies, Cl A * | 212 | 60,132 | ||||||
28,710,007 | ||||||||
Air Products & Chemicals | 852 | 235,357 | ||||||
Albemarle | 349 | 32,530 | ||||||
Amcor | 5,742 | 59,889 | ||||||
Avery Dennison | 324 | 44,838 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
Ball | 1,348 | $ | 119,972 | |||||
Celanese, Cl A | 406 | 46,085 | ||||||
CF Industries Holdings | 653 | 18,029 | ||||||
Corteva | 3,054 | 100,721 | ||||||
Dow | 3,059 | 139,154 | ||||||
DuPont de Nemours | 2,789 | 158,638 | ||||||
Eastman Chemical | 460 | 37,186 | ||||||
Ecolab | 969 | 177,899 | ||||||
FMC | 487 | 50,034 | ||||||
Freeport-McMoRan Copper & Gold * | 5,272 | 91,416 | ||||||
International Flavors & Fragrances | 427 | 43,836 | ||||||
International Paper | 1,564 | 68,425 | ||||||
LyondellBasell Industries, Cl A | 1,104 | 75,569 | ||||||
Martin Marietta Materials | 251 | 66,854 | ||||||
Mosaic | 1,816 | 33,596 | ||||||
Newmont | 3,133 | 196,878 | ||||||
Nucor | 1,070 | 51,103 | ||||||
Packaging Corp of America | 319 | 36,522 | ||||||
PPG Industries | 893 | 115,840 | ||||||
Sealed Air | 705 | 27,911 | ||||||
Sherwin-Williams | 315 | 216,714 | ||||||
Vulcan Materials | 533 | 77,200 | ||||||
Westrock | 1,319 | 49,529 | ||||||
2,371,725 | ||||||||
Alexandria Real Estate Equities ‡ | 546 | 82,730 | ||||||
American Tower, Cl A ‡ | 1,653 | 379,611 | ||||||
Apartment Investment & Management, Cl A ‡ * | 793 | 25,297 | ||||||
AvalonBay Communities ‡ | 528 | 73,461 | ||||||
Boston Properties ‡ | 660 | 47,790 | ||||||
CBRE Group, Cl A * | 1,218 | 61,388 | ||||||
Crown Castle International ‡ | 1,646 | 257,105 | ||||||
Digital Realty Trust ‡ | 1,098 | 158,442 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
Duke Realty ‡ | 1,466 | $ | 55,693 | |||||
Equinix ‡ | 349 | 255,203 | ||||||
Equity Residential ‡ | 1,440 | 67,651 | ||||||
Essex Property Trust ‡ | 268 | 54,830 | ||||||
Extra Space Storage ‡ | 514 | 59,598 | ||||||
Federal Realty Investment Trust ‡ | 371 | 25,517 | ||||||
Healthpeak Properties ‡ | 2,406 | 64,890 | ||||||
Host Hotels & Resorts ‡ * | 2,688 | 28,170 | ||||||
Iron Mountain ‡ | 1,409 | 36,718 | ||||||
Kimco Realty ‡ | 2,172 | 22,285 | ||||||
Mid-America Apartment Communities ‡ | 455 | 53,067 | ||||||
ProLogis ‡ | 2,917 | 289,367 | ||||||
Public Storage ‡ | 624 | 142,940 | ||||||
Realty Income ‡ | 1,436 | 83,087 | ||||||
Regency Centers ‡ | 800 | 28,472 | ||||||
SBA Communications, Cl A ‡ | 421 | 122,246 | ||||||
Simon Property Group ‡ | 1,144 | 71,855 | ||||||
SL Green Realty ‡ | 390 | 16,696 | ||||||
UDR ‡ | 1,384 | 43,236 | ||||||
Ventas ‡ | 1,337 | 52,771 | ||||||
Vornado Realty Trust ‡ | 639 | 19,636 | ||||||
Welltower ‡ | 1,661 | 89,312 | ||||||
Weyerhaeuser ‡ | 2,731 | 74,529 | ||||||
2,843,593 | ||||||||
AES | 2,225 | 43,388 | ||||||
Alliant Energy | 868 | 47,983 | ||||||
Ameren | 1,007 | 81,688 | ||||||
American Electric Power | 1,880 | 169,068 | ||||||
American Water Works | 744 | 111,980 | ||||||
Atmos Energy | 432 | 39,601 | ||||||
CenterPoint Energy | 1,830 | 38,668 | ||||||
CMS Energy | 1,152 | 72,956 |
Schedule of Investments | October 31, 2020 |
Shares/Number of Warrants | Value | |||||||
Consolidated Edison | 1,380 | $ | 108,316 | |||||
Dominion Energy | 3,242 | 260,462 | ||||||
DTE Energy | 786 | 97,008 | ||||||
Duke Energy | 2,894 | 266,566 | ||||||
Edison International | 1,473 | 82,547 | ||||||
Entergy | 816 | 82,595 | ||||||
Evergy | 914 | 50,453 | ||||||
Eversource Energy | 1,344 | 117,291 | ||||||
Exelon | 4,059 | 161,913 | ||||||
FirstEnergy | 2,365 | 70,288 | ||||||
NextEra Energy | 7,380 | 540,290 | ||||||
NiSource | 1,740 | 39,968 | ||||||
NRG Energy | 801 | 25,328 | ||||||
Pinnacle West Capital | 372 | 30,344 | ||||||
PPL | 2,872 | 78,980 | ||||||
Public Service Enterprise Group | 2,094 | 121,766 | ||||||
Sempra Energy | 1,174 | 147,173 | ||||||
Southern | 4,058 | 233,132 | ||||||
WEC Energy Group | 1,313 | 132,022 | ||||||
Xcel Energy | 2,186 | 153,086 | ||||||
3,404,860 | ||||||||
TOTAL UNITED STATES | 104,470,849 | |||||||
TOTAL COMMON STOCK | ||||||||
(Cost $96,150,145) | 104,916,573 | |||||||
Occidental Petroleum, Expires 8/6/27 | 517 | $ | 1,277 | |||||
(Cost $–) | 1,277 | |||||||
TOTAL INVESTMENTS — 100.9% | ||||||||
(Cost $96,150,145) | $ | 104,917,850 |
Schedule of Investments | October 31, 2020 |
Number of Contracts | Value | |||||||
UNITED STATES— (1.2)% | ||||||||
(Premiums Received $2,883,608) | (320 | ) | $ | (1,285,600 | ) |
Call Options | |||||||||||||||||
S&P 500 Index* | (320 | ) | $ | (2,883,608 | ) | $ | 3,510.00 | 11/21/20 | $ | (1,285,600 | ) |
* | Non-income producing security. |
‡ | Real Estate Investment Trust |
+ | Notional amount for all options totals $(104,638,720). |
(1) | Refer to table below for details on Options Contracts. |
(A) | All or a portion of these securities has been segregated as collateral for written options contracts. The aggregate market value of collateral at October 31, 2020 was $104,917,850. |
Cl — Class |
S&P — Standard & Poor’s |
Investments in Securities | Level 1 | Level 2 | Level 3 | Total | ||||||||||||
Common Stock | $ | 104,916,573 | $ | — | $ | — | $ | 104,916,573 | ||||||||
Warrant | — | 1,277 | — | 1,277 | ||||||||||||
Total Investments in Securities | $ | 104,916,573 | $ | 1,277 | $ | — | $ | 104,917,850 |
Liabilities | Level 1 | Level 2 | Level 3 | Total | ||||||||||||
Written Option | $ | (1,285,600 | ) | $ | — | $ | — | $ | (1,285,600 | ) | ||||||
Total Liabilities | $ | (1,285,600 | ) | $ | — | $ | — | $ | (1,285,600 | ) |
Schedule of Investments | October 31, 2020 |
Sector Weightings (Unaudited)†: | |
† Sector weightings percentages are based on the total market value of investments. |
of Contracts | ||||||||
Vanguard Russell 2000 ETF | ||||||||
(Cost $20,965,997) | 174,870 | $ | 21,626,173 | |||||
TOTAL INVESTMENTS — 100.7% | ||||||||
(Cost $20,965,997) | $ | 21,626,173 | ||||||
UNITED STATES— (0.9)% | ||||||||
(Premiums Received $736,785) | (140 | ) | (196,700 | ) |
Call Options | |||||||||||||||||
Russell 2000 Index* | (140 | ) | $ | (736,785 | ) | $ | 1,650.00 | 11/23/20 | $ | (196,700 | ) |
‡ | For financial information on the Vanguard Russell 2000 ETF, please go to the Securities Exchange Commission’s website at http://www.sec.gov. |
* | Non-Income producing security. |
+ | Notional amount for all options totals $(21,538,706). |
(1) | Refer to table below for details on Options Contracts. |
(A) | All or a portion of these securities has been segregated as collateral for written options contracts. The aggregate market value of collateral at October 31, 2020 was $21,626,173. |
Schedule of Investments | October 31, 2020 |
Investments in Securities | Level 1 | Level 2 | Level 3 | Total | ||||||||||||
Exchange Traded Fund | $ | 21,626,173 | $ | — | $ | — | $ | 21,626,173 | ||||||||
Total Investments in Securities | $ | 21,626,173 | $ | — | $ | — | $ | 21,626,173 |
Liabilities | Level 1 | Level 2 | Level 3 | Total | ||||||||||||
Written Option | $ | (196,700 | ) | $ | — | $ | — | $ | (196,700 | ) | ||||||
Total Liabilities | $ | (196,700 | ) | $ | — | $ | — | $ | (196,700 | ) |
Schedule of Investments | October 31, 2020 |
Sector Weightings (Unaudited)†: |
† Sector weightings percentages are based on the total market value of investments. |
ARGENTINA— 0.5% | ||||||||
MercadoLibre * | 29 | $ | 35,207 | |||||
CHINA— 1.6% | ||||||||
Baidu ADR * | 166 | 22,086 | ||||||
NetEase ADR | 205 | 17,792 | ||||||
39,878 | ||||||||
JD.com ADR * | 531 | 43,287 | ||||||
Pinduoduo ADR * | 171 | 15,387 | ||||||
Trip.com Group ADR * | 309 | 8,887 | ||||||
67,561 | ||||||||
TOTAL CHINA | 107,439 | |||||||
ISRAEL— 0.1% | ||||||||
Check Point Software Technologies * | 83 | 9,425 | ||||||
NETHERLANDS— 0.5% | ||||||||
ASML Holding, Cl G | 45 | 16,254 | ||||||
NXP Semiconductors | 166 | 22,430 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
TOTAL NETHERLANDS | $ | 38,684 | ||||||
UNITED KINGDOM— 0.1% | ||||||||
Liberty Global * | 236 | 4,404 | ||||||
Liberty Global, Cl A * | 108 | 2,050 | ||||||
TOTAL UNITED KINGDOM | 6,454 | |||||||
UNITED STATES— 97.3% | ||||||||
Activision Blizzard | 455 | 34,457 | ||||||
Alphabet, Cl A * | 159 | 256,961 | ||||||
Alphabet, Cl C * | 154 | 249,636 | ||||||
Charter Communications, Cl A * | 119 | 71,855 | ||||||
Comcast, Cl A | 2,660 | 112,357 | ||||||
Electronic Arts * | 171 | 20,491 | ||||||
Facebook, Cl A * | 1,102 | 289,947 | ||||||
Fox, Cl A | 203 | 5,384 | ||||||
Fox, Cl B | 155 | 4,052 | ||||||
Netflix * | 258 | 122,741 | ||||||
Sirius XM Holdings | 2,567 | 14,709 | ||||||
Take-Two Interactive Software * | 68 | 10,535 | ||||||
T-Mobile US * | 721 | 79,000 | ||||||
1,272,125 | ||||||||
Amazon.com * | 230 | 698,314 | ||||||
Booking Holdings * | 24 | 38,940 | ||||||
Dollar Tree * | 141 | 12,735 | ||||||
eBay | 414 | 19,719 | ||||||
Expedia Group | 80 | 7,532 | ||||||
Lululemon Athletica * | 72 | 22,989 | ||||||
Marriott International, Cl A | 191 | 17,740 | ||||||
O’Reilly Automotive * | 43 | 18,774 | ||||||
Ross Stores | 211 | 17,971 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
Starbucks | 680 | $ | 59,133 | |||||
Tesla * | 544 | 211,094 | ||||||
Ulta Beauty * | 35 | 7,237 | ||||||
1,132,178 | ||||||||
Costco Wholesale | 258 | 92,266 | ||||||
Keurig Dr Pepper | 810 | 21,789 | ||||||
Kraft Heinz | 723 | 22,117 | ||||||
Mondelez International, Cl A | 828 | 43,983 | ||||||
Monster Beverage * | 312 | 23,890 | ||||||
PepsiCo | 807 | 107,565 | ||||||
Walgreens Boots Alliance | 512 | 17,428 | ||||||
329,038 | ||||||||
Alexion Pharmaceuticals * | 130 | 14,968 | ||||||
Align Technology * | 45 | 19,174 | ||||||
Amgen | 342 | 74,193 | ||||||
Biogen Idec * | 95 | 23,947 | ||||||
BioMarin Pharmaceutical * | 106 | 7,890 | ||||||
Cerner | 181 | 12,686 | ||||||
DexCom * | 55 | 17,577 | ||||||
Gilead Sciences | 727 | 42,275 | ||||||
IDEXX Laboratories * | 50 | 21,241 | ||||||
Illumina * | 86 | 25,172 | ||||||
Incyte * | 130 | 11,263 | ||||||
Intuitive Surgical * | 69 | 46,028 | ||||||
Moderna * | 234 | 15,788 | ||||||
Regeneron Pharmaceuticals * | 60 | 32,614 | ||||||
Seagen | 103 | 17,180 | ||||||
Vertex Pharmaceuticals * | 155 | 32,296 | ||||||
414,292 | ||||||||
Cintas | 60 | 18,873 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
Copart * | 138 | $ | 15,230 | |||||
CSX | 443 | 34,970 | ||||||
Fastenal | 339 | 14,655 | ||||||
PACCAR | 206 | 17,588 | ||||||
Verisk Analytics, Cl A | 96 | 17,085 | ||||||
118,401 | ||||||||
Adobe * | 280 | 125,188 | ||||||
Advanced Micro Devices * | 681 | 51,272 | ||||||
Analog Devices | 219 | 25,958 | ||||||
ANSYS * | 50 | 15,219 | ||||||
Apple | 7,846 | 854,116 | ||||||
Applied Materials | 540 | 31,984 | ||||||
Autodesk * | 130 | 30,620 | ||||||
Automatic Data Processing | 248 | 39,174 | ||||||
Broadcom | 233 | 81,464 | ||||||
Cadence Design Systems * | 166 | 18,155 | ||||||
CDW | 85 | 10,421 | ||||||
Cisco Systems | 2,460 | 88,314 | ||||||
Citrix Systems | 73 | 8,269 | ||||||
Cognizant Technology Solutions, Cl A | 319 | 22,783 | ||||||
DocuSign, Cl A * | 110 | 22,248 | ||||||
Fiserv * | 395 | 37,711 | ||||||
Intel | 2,482 | 109,903 | ||||||
Intuit | 153 | 48,146 | ||||||
KLA | 91 | 17,943 | ||||||
Lam Research | 86 | 29,419 | ||||||
Maxim Integrated Products | 158 | 11,005 | ||||||
Microchip Technology | 150 | 15,762 | ||||||
Micron Technology * | 658 | 33,124 | ||||||
Microsoft | 3,472 | 702,975 | ||||||
NVIDIA | 360 | 180,490 | ||||||
Paychex | 211 | 17,355 |
Schedule of Investments | October 31, 2020 |
Shares/Number of Contracts | Value | |||||||
PayPal Holdings * | 684 | $ | 127,312 | |||||
QUALCOMM | 657 | 81,048 | ||||||
Skyworks Solutions | 100 | 14,129 | ||||||
Splunk * | 95 | 18,814 | ||||||
Synopsys * | 90 | 19,247 | ||||||
Texas Instruments | 533 | 77,066 | ||||||
VeriSign * | 68 | 12,968 | ||||||
Workday, Cl A * | 105 | 22,063 | ||||||
Xilinx | 145 | 17,210 | ||||||
Zoom Video Communications, Cl A * | 105 | 48,396 | ||||||
3,067,271 | ||||||||
Exelon | 575 | 22,937 | ||||||
Xcel Energy | 311 | 21,779 | ||||||
44,716 | ||||||||
TOTAL UNITED STATES | 6,378,021 | |||||||
TOTAL INVESTMENTS — 100.1% | ||||||||
(Cost $6,686,816) | $ | 6,575,230 | ||||||
UNITED STATES— (0.3)% | ||||||||
(Premiums Received $98,564) | (15 | ) | (17,925 | ) |
Call Options | |||||||||||||||||
November 20 Calls on NDX* | (15 | ) | $ | (98,564 | ) | $ | 2,400.00 | 11/23/20 | $ | (17,925 | ) |
Schedule of Investments | October 31, 2020 |
* | Non-income producing security. |
+ | Notional amount for all options totals $(3,315,884). |
(1) | Refer to table below for details on Options Contracts. |
(A) | All or a portion of these securities has been segregated as collateral for written options contracts. The aggregate market value of collateral at October 31, 2020 was $6,575,230. |
ADR — American Depositary Receipt |
Cl — Class |
Investments in Securities | Level 1 | Level 2 | Level 3 | Total | ||||||||||||
Common Stock | $ | 6,575,230 | $ | — | $ | — | $ | 6,575,230 | ||||||||
Total Investments in Securities | $ | 6,575,230 | $ | — | $ | — | $ | 6,575,230 |
Liabilities | Level 1 | Level 2 | Level 3 | Total | ||||||||||||
Written Option | $ | (17,925 | ) | $ | — | $ | — | $ | (17,925 | ) | ||||||
Total Liabilities | $ | (17,925 | ) | $ | — | $ | — | $ | (17,925 | ) |
Schedule of Investments | October 31, 2020 |
Sector Weightings (Unaudited)†: |
† Sector weightings percentages are based on the total market value of investments. |
UNITED KINGDOM— 0.4% | ||||||||
TechnipFMC | 58 | $ | 321 | |||||
Linde | 72 | 15,864 | ||||||
TOTAL UNITED KINGDOM | 16,185 | |||||||
UNITED STATES— 99.7% | ||||||||
Activision Blizzard | 106 | 8,027 | ||||||
Alphabet, Cl A * | 41 | 66,261 | ||||||
Alphabet, Cl C * | 40 | 64,840 | ||||||
AT&T | 984 | 26,588 | ||||||
CenturyLink | 136 | 1,172 | ||||||
Charter Communications, Cl A * | 20 | 12,076 | ||||||
Comcast, Cl A | 629 | 26,570 | ||||||
Discovery, Cl A * | 21 | 425 | ||||||
Discovery, Cl C * | 42 | 769 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
DISH Network, Cl A * | 33 | $ | 841 | |||||
Electronic Arts * | 39 | 4,673 | ||||||
Facebook, Cl A * | 327 | 86,038 | ||||||
Fox, Cl A | 48 | 1,273 | ||||||
Fox, Cl B | 21 | 549 | ||||||
Interpublic Group | 54 | 977 | ||||||
Live Nation Entertainment * | 21 | 1,025 | ||||||
Netflix * | 59 | 28,069 | ||||||
News, Cl A | 54 | 709 | ||||||
News, Cl B | 18 | 234 | ||||||
Omnicom Group | 30 | 1,416 | ||||||
Take-Two Interactive Software * | 15 | 2,324 | ||||||
T-Mobile US * | 81 | 8,875 | ||||||
Twitter * | 109 | 4,508 | ||||||
Verizon Communications | 557 | 31,743 | ||||||
ViacomCBS, Cl B | 78 | 2,228 | ||||||
Walt Disney | 243 | 29,464 | ||||||
411,674 | ||||||||
Advance Auto Parts | 9 | 1,326 | ||||||
Amazon.com * | 58 | 176,096 | ||||||
Aptiv * | 37 | 3,571 | ||||||
AutoZone * | 3 | 3,387 | ||||||
Best Buy | 33 | 3,681 | ||||||
Booking Holdings * | 5 | 8,113 | ||||||
BorgWarner | 30 | 1,049 | ||||||
CarMax * | 22 | 1,902 | ||||||
Carnival | 72 | 987 | ||||||
Chipotle Mexican Grill, Cl A * | 4 | 4,806 | ||||||
Darden Restaurants | 18 | 1,655 | ||||||
Dollar General | 32 | 6,679 | ||||||
Dollar Tree * | 33 | 2,981 | ||||||
Domino’s Pizza | 6 | 2,270 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
DR Horton | 45 | $ | 3,006 | |||||
eBay | 91 | 4,334 | ||||||
Etsy * | 16 | 1,945 | ||||||
Expedia Group | 18 | 1,695 | ||||||
Ford Motor * | 539 | 4,166 | ||||||
Gap | 28 | 545 | ||||||
Garmin | 21 | 2,184 | ||||||
General Motors * | 174 | 6,009 | ||||||
Genuine Parts | 21 | 1,899 | ||||||
Hanesbrands | 48 | 771 | ||||||
Hasbro | 18 | 1,489 | ||||||
Hilton Worldwide Holdings | 39 | 3,425 | ||||||
Home Depot | 145 | 38,672 | ||||||
L Brands * | 33 | 1,056 | ||||||
Las Vegas Sands * | 45 | 2,163 | ||||||
Leggett & Platt | 18 | 751 | ||||||
Lennar, Cl A | 39 | 2,739 | ||||||
LKQ * | 39 | 1,248 | ||||||
Lowe’s | 105 | 16,600 | ||||||
Marriott International, Cl A * | 36 | 3,344 | ||||||
McDonald’s | 102 | 21,725 | ||||||
MGM Resorts International | 57 | 1,172 | ||||||
Mohawk Industries * | 9 | 929 | ||||||
Newell Brands | 51 | 901 | ||||||
NIKE, Cl B | 172 | 20,654 | ||||||
Norwegian Cruise Line Holdings * | 39 | 649 | ||||||
NVR * | 1 | 3,953 | ||||||
O’Reilly Automotive * | 10 | 4,366 | ||||||
Pool | 6 | 2,099 | ||||||
PulteGroup | 36 | 1,467 | ||||||
PVH * | 9 | 525 | ||||||
Ralph Lauren, Cl A * | 6 | 401 | ||||||
Ross Stores * | 48 | 4,088 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
Royal Caribbean Cruises * | 24 | $ | 1,354 | |||||
Starbucks | 162 | 14,087 | ||||||
Tapestry * | 39 | 867 | ||||||
Target | 69 | 10,502 | ||||||
Tiffany | 15 | 1,963 | ||||||
TJX * | 166 | 8,433 | ||||||
Tractor Supply | 15 | 1,998 | ||||||
Ulta Beauty * | 5 | 1,034 | ||||||
Under Armour, Cl A * | 27 | 374 | ||||||
Under Armour, Cl C * | 27 | 330 | ||||||
VF | 45 | 3,024 | ||||||
Whirlpool | 9 | 1,665 | ||||||
Wynn Resorts * | 12 | 869 | ||||||
Yum! Brands | 42 | 3,920 | ||||||
429,893 | ||||||||
Altria Group | 256 | 9,236 | ||||||
Archer-Daniels-Midland | 76 | 3,514 | ||||||
Brown-Forman, Cl B | 24 | 1,673 | ||||||
Campbell Soup | 27 | 1,260 | ||||||
Church & Dwight | 33 | 2,917 | ||||||
Clorox | 18 | 3,731 | ||||||
Coca-Cola | 533 | 25,616 | ||||||
Colgate-Palmolive | 118 | 9,308 | ||||||
Conagra Brands | 67 | 2,351 | ||||||
Constellation Brands, Cl A | 24 | 3,966 | ||||||
Costco Wholesale | 61 | 21,815 | ||||||
Estee Lauder, Cl A | 30 | 6,590 | ||||||
General Mills | 84 | 4,966 | ||||||
Hershey | 21 | 2,887 | ||||||
Hormel Foods | 39 | 1,899 | ||||||
JM Smucker | 15 | 1,683 | ||||||
Kellogg | 36 | 2,264 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
Kimberly-Clark | 48 | $ | 6,364 | |||||
Kraft Heinz | 90 | 2,753 | ||||||
Kroger | 108 | 3,479 | ||||||
Lamb Weston Holdings | 21 | 1,332 | ||||||
McCormick | 18 | 3,249 | ||||||
Molson Coors Beverage, Cl B * | 27 | 952 | ||||||
Mondelez International, Cl A | 196 | 10,413 | ||||||
Monster Beverage * | 51 | �� | 3,905 | |||||
PepsiCo | 186 | 24,792 | ||||||
Philip Morris International | 214 | 15,199 | ||||||
Procter & Gamble | 337 | 46,202 | ||||||
Sysco | 70 | 3,872 | ||||||
Tyson Foods, Cl A | 40 | 2,289 | ||||||
Walgreens Boots Alliance | 99 | 3,370 | ||||||
Walmart | 192 | 26,639 | ||||||
260,486 | ||||||||
Apache | 51 | 423 | ||||||
Baker Hughes, Cl A | 90 | 1,329 | ||||||
Cabot Oil & Gas | 54 | 961 | ||||||
Chevron | 265 | 18,418 | ||||||
Concho Resources | 27 | 1,121 | ||||||
ConocoPhillips | 148 | 4,236 | ||||||
Devon Energy | 54 | 482 | ||||||
Diamondback Energy | 21 | 545 | ||||||
EOG Resources | 81 | 2,773 | ||||||
Exxon Mobil | 584 | 19,049 | ||||||
Halliburton | 121 | 1,459 | ||||||
Hess | 39 | 1,452 | ||||||
HollyFrontier | 21 | 389 | ||||||
Kinder Morgan | 268 | 3,189 | ||||||
Marathon Oil | 109 | 432 | ||||||
Marathon Petroleum | 90 | 2,655 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
National Oilwell Varco * | 54 | $ | 454 | |||||
Occidental Petroleum | 115 | 1,050 | ||||||
ONEOK | 61 | 1,769 | ||||||
Phillips 66 | 60 | 2,800 | ||||||
Pioneer Natural Resources | 24 | 1,909 | ||||||
Schlumberger | 192 | 2,868 | ||||||
Valero Energy | 57 | 2,201 | ||||||
Williams | 168 | 3,224 | ||||||
75,188 | ||||||||
Aflac | 91 | 3,089 | ||||||
Allstate | 42 | 3,728 | ||||||
American Express | 90 | 8,212 | ||||||
American International Group | 120 | 3,779 | ||||||
Ameriprise Financial | 18 | 2,895 | ||||||
Aon, Cl A | 33 | 6,072 | ||||||
Arthur J Gallagher | 27 | 2,800 | ||||||
Assurant | 9 | 1,119 | ||||||
Bank of America | 1,053 | 24,956 | ||||||
Bank of New York Mellon | 112 | 3,848 | ||||||
Berkshire Hathaway, Cl B * | 269 | 54,312 | ||||||
BlackRock, Cl A | 19 | 11,386 | ||||||
Capital One Financial | 63 | 4,604 | ||||||
Cboe Global Markets | 15 | 1,219 | ||||||
Charles Schwab | 205 | 8,428 | ||||||
Chubb | 63 | 8,185 | ||||||
Cincinnati Financial | 21 | 1,486 | ||||||
Citigroup | 286 | 11,846 | ||||||
Citizens Financial Group | 60 | 1,635 | ||||||
CME Group, Cl A | 49 | 7,385 | ||||||
Comerica | 18 | 819 | ||||||
Discover Financial Services | 42 | 2,730 | ||||||
Everest Re Group | 6 | 1,182 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
Fifth Third Bancorp | 99 | $ | 2,299 | |||||
First Republic Bank | 24 | 3,027 | ||||||
Franklin Resources | 36 | 675 | ||||||
Globe Life | 13 | 1,054 | ||||||
Goldman Sachs Group | 48 | 9,074 | ||||||
Hartford Financial Services Group | 49 | 1,887 | ||||||
Huntington Bancshares | 141 | 1,472 | ||||||
Intercontinental Exchange | 78 | 7,363 | ||||||
Invesco | 51 | 669 | ||||||
JPMorgan Chase | 412 | 40,393 | ||||||
KeyCorp | 135 | 1,752 | ||||||
Lincoln National | 24 | 842 | ||||||
Loews | 33 | 1,144 | ||||||
M&T Bank | 18 | 1,864 | ||||||
MarketAxess Holdings | 4 | 2,155 | ||||||
Marsh & McLennan | 69 | 7,139 | ||||||
MetLife | 106 | 4,012 | ||||||
Moody’s | 23 | 6,047 | ||||||
Morgan Stanley | 195 | 9,389 | ||||||
MSCI, Cl A | 12 | 4,198 | ||||||
Nasdaq | 15 | 1,815 | ||||||
Northern Trust | 30 | 2,348 | ||||||
People’s United Financial | 58 | 619 | ||||||
PNC Financial Services Group | 58 | 6,489 | ||||||
Principal Financial Group | 36 | 1,412 | ||||||
Progressive | 81 | 7,444 | ||||||
Prudential Financial | 54 | 3,457 | ||||||
Raymond James Financial | 18 | 1,376 | ||||||
Regions Financial | 132 | 1,756 | ||||||
S&P Global | 33 | 10,650 | ||||||
State Street | 48 | 2,827 | ||||||
SVB Financial Group * | 6 | 1,744 | ||||||
Synchrony Financial | 75 | 1,877 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
T Rowe Price Group | 31 | $ | 3,926 | |||||
Travelers | 36 | 4,346 | ||||||
Truist Financial | 186 | 7,834 | ||||||
Unum Group | 27 | 477 | ||||||
US Bancorp | 189 | 7,362 | ||||||
Wells Fargo | 569 | 12,205 | ||||||
Willis Towers Watson | 18 | 3,285 | ||||||
WR Berkley | 19 | 1,142 | ||||||
Zions Bancorp | 24 | 774 | ||||||
367,335 | ||||||||
Abbott Laboratories | 244 | 25,647 | ||||||
AbbVie | 244 | 20,765 | ||||||
ABIOMED * | 6 | 1,511 | ||||||
Agilent Technologies | 42 | 4,288 | ||||||
Alexion Pharmaceuticals * | 30 | 3,454 | ||||||
Align Technology * | 9 | 3,835 | ||||||
AmerisourceBergen, Cl A | 21 | 2,017 | ||||||
Amgen | 81 | 17,573 | ||||||
Anthem | 33 | 9,002 | ||||||
Baxter International | 69 | 5,352 | ||||||
Becton Dickinson | 39 | 9,014 | ||||||
Biogen Idec * | 21 | 5,293 | ||||||
Bio-Rad Laboratories, Cl A * | 3 | 1,759 | ||||||
Boston Scientific * | 198 | 6,785 | ||||||
Bristol-Myers Squibb | 310 | 18,120 | ||||||
Cardinal Health | 40 | 1,832 | ||||||
Catalent * | 24 | 2,106 | ||||||
Centene * | 81 | 4,787 | ||||||
Cerner | 42 | 2,944 | ||||||
Cigna | 51 | 8,515 | ||||||
Cooper | 6 | 1,914 | ||||||
CVS Health | 181 | 10,152 |
Shares | Value | |||||||
Danaher | 87 | $ | 19,970 | |||||
DaVita * | 12 | 1,035 | ||||||
DENTSPLY SIRONA | 30 | 1,416 | ||||||
DexCom * | 13 | 4,155 | ||||||
Edwards Lifesciences * | 87 | 6,237 | ||||||
Eli Lilly | 105 | 13,698 | ||||||
Gilead Sciences | 172 | 10,002 | ||||||
HCA Healthcare * | 36 | 4,462 | ||||||
Henry Schein * | 21 | 1,335 | ||||||
Hologic * | 36 | 2,478 | ||||||
Humana | 18 | 7,187 | ||||||
IDEXX Laboratories * | 12 | 5,098 | ||||||
Illumina * | 18 | 5,269 | ||||||
Incyte * | 27 | 2,339 | ||||||
Intuitive Surgical * | 16 | 10,673 | ||||||
IQVIA Holdings * | 27 | 4,158 | ||||||
Johnson & Johnson | 356 | 48,812 | ||||||
Laboratory Corp of America Holdings * | 13 | 2,597 | ||||||
McKesson | 22 | 3,245 | ||||||
Medtronic | 186 | 18,706 | ||||||
Merck | 349 | 26,248 | ||||||
Mettler-Toledo International * | 3 | 2,994 | ||||||
Mylan * | 72 | 1,047 | ||||||
PerkinElmer | 15 | 1,943 | ||||||
Perrigo | 18 | 790 | ||||||
Pfizer | 767 | 27,213 | ||||||
Quest Diagnostics | 18 | 2,199 | ||||||
Regeneron Pharmaceuticals * | 13 | 7,066 | ||||||
ResMed | 21 | 4,031 | ||||||
STERIS | 12 | 2,126 | ||||||
Stryker | 45 | 9,090 | ||||||
Teleflex | 6 | 1,909 | ||||||
Thermo Fisher Scientific | 53 | 25,075 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
UnitedHealth Group | 128 | $ | 39,058 | |||||
Universal Health Services, Cl B * | 12 | 1,315 | ||||||
Varian Medical Systems * | 12 | 2,074 | ||||||
Vertex Pharmaceuticals * | 36 | 7,501 | ||||||
Waters * | 9 | 2,005 | ||||||
West Pharmaceutical Services | 11 | 2,993 | ||||||
Zimmer Biomet Holdings | 28 | 3,699 | ||||||
Zoetis, Cl A | 66 | 10,464 | ||||||
520,377 | ||||||||
3M | 76 | 12,157 | ||||||
Alaska Air Group * | 18 | 682 | ||||||
Allegion | 12 | 1,182 | ||||||
American Airlines Group * | 70 | 790 | ||||||
AMETEK | 33 | 3,241 | ||||||
AO Smith | 18 | 930 | ||||||
Boeing | 73 | 10,540 | ||||||
Carrier Global | 112 | 3,740 | ||||||
Caterpillar | 75 | 11,779 | ||||||
CH Robinson Worldwide | 18 | 1,592 | ||||||
Cintas | 12 | 3,775 | ||||||
Copart * | 28 | 3,090 | ||||||
CSX | 105 | 8,289 | ||||||
Cummins | 21 | 4,618 | ||||||
Deere | 41 | 9,262 | ||||||
Delta Air Lines * | 88 | 2,696 | ||||||
Dover | 21 | 2,325 | ||||||
Eaton | 55 | 5,708 | ||||||
Emerson Electric | 82 | 5,313 | ||||||
Equifax | 18 | 2,459 | ||||||
Expeditors International of Washington | 24 | 2,121 | ||||||
Fastenal | 79 | 3,415 | ||||||
FedEx | 33 | 8,563 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
Flowserve | 18 | $ | 524 | |||||
Fortive | 46 | 2,834 | ||||||
Fortune Brands Home & Security | 18 | 1,456 | ||||||
General Dynamics | 33 | 4,334 | ||||||
General Electric | 1,207 | 8,956 | ||||||
Honeywell International | 96 | 15,835 | ||||||
Howmet Aerospace * | 54 | 932 | ||||||
Huntington Ingalls Industries | 6 | 885 | ||||||
IDEX | 9 | 1,534 | ||||||
IHS Markit | 51 | 4,125 | ||||||
Illinois Tool Works | 39 | 7,639 | ||||||
Ingersoll Rand * | 51 | 1,782 | ||||||
Jacobs Engineering Group | 18 | 1,710 | ||||||
JB Hunt Transport Services | 12 | 1,461 | ||||||
Johnson Controls International | 102 | 4,305 | ||||||
Kansas City Southern | 12 | 2,114 | ||||||
L3Harris Technologies | 30 | 4,833 | ||||||
Lockheed Martin | 34 | 11,905 | ||||||
Masco | 36 | 1,930 | ||||||
Nielsen Holdings | 49 | 662 | ||||||
Norfolk Southern | 36 | 7,528 | ||||||
Northrop Grumman | 21 | 6,086 | ||||||
Old Dominion Freight Line | 12 | 2,284 | ||||||
Otis Worldwide | 57 | 3,493 | ||||||
PACCAR | 48 | 4,098 | ||||||
Parker-Hannifin | 18 | 3,750 | ||||||
Pentair | 24 | 1,194 | ||||||
Quanta Services | 18 | 1,124 | ||||||
Raytheon Technologies | 211 | 11,462 | ||||||
Republic Services, Cl A | 30 | 2,645 | ||||||
Robert Half International | 15 | 760 | ||||||
Rockwell Automation | 15 | 3,557 | ||||||
Rollins | 21 | 1,215 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
Roper Technologies | 15 | $ | 5,570 | |||||
Snap-On | 7 | 1,103 | ||||||
Southwest Airlines * | 81 | 3,201 | ||||||
Stanley Black & Decker | 21 | 3,490 | ||||||
Teledyne Technologies * | 3 | 927 | ||||||
Textron | 31 | 1,110 | ||||||
Trane Technologies | 33 | 4,381 | ||||||
TransDigm Group * | 8 | 3,819 | ||||||
Union Pacific | 93 | 16,479 | ||||||
United Airlines Holdings * | 39 | 1,321 | ||||||
United Parcel Service, Cl B | 94 | 14,767 | ||||||
United Rentals * | 9 | 1,605 | ||||||
Verisk Analytics, Cl A | 22 | 3,915 | ||||||
Waste Management | 54 | 5,827 | ||||||
Westinghouse Air Brake Technologies | 24 | 1,423 | ||||||
WW Grainger | 6 | 2,100 | ||||||
Xylem | 24 | 2,091 | ||||||
310,348 | ||||||||
Accenture, Cl A | 87 | 18,871 | ||||||
Adobe * | 66 | 29,510 | ||||||
Advanced Micro Devices * | 162 | 12,197 | ||||||
Akamai Technologies * | 22 | 2,093 | ||||||
Amphenol, Cl A | 42 | 4,739 | ||||||
Analog Devices | 51 | 6,045 | ||||||
ANSYS * | 12 | 3,652 | ||||||
Apple | 2,195 | 238,947 | ||||||
Applied Materials | 126 | 7,463 | ||||||
Arista Networks * | 5 | 1,045 | ||||||
Autodesk * | 30 | 7,066 | ||||||
Automatic Data Processing | 60 | 9,478 | ||||||
Broadcom | 54 | 18,880 | ||||||
Broadridge Financial Solutions | 15 | 2,064 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
Cadence Design Systems * | 39 | $ | 4,265 | |||||
CDW | 21 | 2,575 | ||||||
Cisco Systems | 584 | 20,966 | ||||||
Citrix Systems | 18 | 2,039 | ||||||
Cognizant Technology Solutions, Cl A | 75 | 5,357 | ||||||
Corning | 105 | 3,357 | ||||||
DXC Technology * | 36 | 663 | ||||||
F5 Networks * | 9 | 1,196 | ||||||
Fidelity National Information Services | 85 | 10,590 | ||||||
Fiserv * | 76 | 7,256 | ||||||
FleetCor Technologies * | 12 | 2,651 | ||||||
FLIR Systems | 18 | 624 | ||||||
Fortinet * | 18 | 1,987 | ||||||
Gartner * | 12 | 1,441 | ||||||
Global Payments | 42 | 6,625 | ||||||
Hewlett Packard Enterprise | 178 | 1,538 | ||||||
HP | 190 | 3,412 | ||||||
Intel | 587 | 25,993 | ||||||
International Business Machines | 123 | 13,734 | ||||||
Intuit | 36 | 11,328 | ||||||
IPG Photonics * | 6 | 1,116 | ||||||
Jack Henry & Associates | 12 | 1,779 | ||||||
Juniper Networks | 45 | 887 | ||||||
Keysight Technologies * | 27 | 2,831 | ||||||
KLA | 21 | 4,141 | ||||||
Lam Research | 18 | 6,157 | ||||||
Leidos Holdings | 18 | 1,494 | ||||||
Mastercard, Cl A | 119 | 34,348 | ||||||
Maxim Integrated Products | 36 | 2,507 | ||||||
Microchip Technology | 36 | 3,783 | ||||||
Micron Technology * | 153 | 7,702 | ||||||
Microsoft | 1,033 | 209,153 | ||||||
Motorola Solutions | 24 | 3,793 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
NetApp | 30 | $ | 1,317 | |||||
NortonLifeLock | 81 | 1,666 | ||||||
NVIDIA | 83 | 41,614 | ||||||
Oracle | 268 | 15,037 | ||||||
Paychex | 45 | 3,701 | ||||||
Paycom Software * | 6 | 2,185 | ||||||
PayPal Holdings * | 158 | 29,409 | ||||||
Qorvo * | 15 | 1,910 | ||||||
QUALCOMM | 156 | 19,244 | ||||||
salesforce.com * | 122 | 28,337 | ||||||
Seagate Technology | 30 | 1,435 | ||||||
ServiceNow * | 25 | 12,439 | ||||||
Skyworks Solutions | 24 | 3,391 | ||||||
Synopsys * | 21 | 4,491 | ||||||
TE Connectivity | 45 | 4,360 | ||||||
Teradyne | 24 | 2,108 | ||||||
Texas Instruments | 126 | 18,218 | ||||||
Tyler Technologies * | 6 | 2,306 | ||||||
VeriSign * | 15 | 2,861 | ||||||
Visa, Cl A | 228 | 41,429 | ||||||
Vontier * | 18 | 517 | ||||||
Western Digital * | 42 | 1,585 | ||||||
Western Union | 57 | 1,108 | ||||||
Xerox Holdings | 24 | 417 | ||||||
Xilinx | 33 | 3,917 | ||||||
Zebra Technologies, Cl A * | 8 | 2,269 | ||||||
1,016,609 | ||||||||
Air Products & Chemicals | 30 | 8,287 | ||||||
Albemarle | 15 | 1,398 | ||||||
Amcor | 217 | 2,263 | ||||||
Avery Dennison | 12 | 1,661 | ||||||
Ball | 45 | 4,005 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
Celanese, Cl A | 15 | $ | 1,703 | |||||
CF Industries Holdings | 30 | 828 | ||||||
Corteva | 103 | 3,397 | ||||||
Dow | 102 | 4,640 | ||||||
DuPont de Nemours | 102 | 5,802 | ||||||
Eastman Chemical | 18 | 1,455 | ||||||
Ecolab | 33 | 6,058 | ||||||
FMC | 18 | 1,849 | ||||||
Freeport-McMoRan Copper & Gold * | 201 | 3,485 | ||||||
International Flavors & Fragrances | 15 | 1,540 | ||||||
International Paper | 54 | 2,363 | ||||||
LyondellBasell Industries, Cl A | 36 | 2,464 | ||||||
Martin Marietta Materials | 9 | 2,397 | ||||||
Mosaic | 48 | 888 | ||||||
Newmont | 111 | 6,976 | ||||||
Nucor | 42 | 2,006 | ||||||
Packaging Corp of America | 12 | 1,374 | ||||||
PPG Industries | 33 | 4,281 | ||||||
Sealed Air | 21 | 831 | ||||||
Sherwin-Williams | 10 | 6,880 | ||||||
Vulcan Materials | 18 | 2,607 | ||||||
Westrock | 36 | 1,352 | ||||||
82,790 | ||||||||
Alexandria Real Estate Equities ‡ | 15 | 2,273 | ||||||
American Tower, Cl A ‡ | 58 | 13,321 | ||||||
Apartment Investment & Management, Cl A ‡ * | 21 | 670 | ||||||
AvalonBay Communities ‡ | 19 | 2,643 | ||||||
Boston Properties ‡ | 19 | 1,376 | ||||||
CBRE Group, Cl A * | 46 | 2,318 | ||||||
Crown Castle International ‡ | 57 | 8,904 | ||||||
Digital Realty Trust ‡ | 36 | 5,195 | ||||||
Duke Realty ‡ | 51 | 1,937 |
Schedule of Investments | October 31, 2020 |
Shares | Value | |||||||
Equinix ‡ | 12 | $ | 8,775 | |||||
Equity Residential ‡ | 48 | 2,255 | ||||||
Essex Property Trust ‡ | 9 | 1,841 | ||||||
Extra Space Storage ‡ | 18 | 2,087 | ||||||
Federal Realty Investment Trust ‡ | 9 | 619 | ||||||
Healthpeak Properties ‡ | 75 | 2,023 | ||||||
Host Hotels & Resorts ‡ * | 97 | 1,017 | ||||||
Iron Mountain ‡ | 39 | 1,016 | ||||||
Kimco Realty ‡ | 60 | 616 | ||||||
Mid-America Apartment Communities ‡ | 15 | 1,749 | ||||||
ProLogis ‡ | 102 | 10,118 | ||||||
Public Storage ‡ | 21 | 4,810 | ||||||
Realty Income ‡ | 48 | 2,777 | ||||||
Regency Centers ‡ | 21 | 747 | ||||||
SBA Communications, Cl A ‡ | 15 | 4,356 | ||||||
Simon Property Group ‡ | 42 | 2,638 | ||||||
SL Green Realty ‡ | 9 | 385 | ||||||
UDR ‡ | 42 | 1,312 | ||||||
Ventas ‡ | 51 | 2,013 | ||||||
Vornado Realty Trust ‡ | 21 | 645 | ||||||
Welltower ‡ | 57 | 3,065 | ||||||
Weyerhaeuser ‡ | 103 | 2,811 | ||||||
96,312 | ||||||||
AES | 93 | 1,814 | ||||||
Alliant Energy | 34 | 1,880 | ||||||
Ameren | 33 | 2,677 | ||||||
American Electric Power | 69 | 6,205 | ||||||
American Water Works | 24 | 3,612 | ||||||
Atmos Energy | 18 | 1,650 | ||||||
CenterPoint Energy | 75 | 1,585 | ||||||
CMS Energy | 39 | 2,470 | ||||||
Consolidated Edison | 45 | 3,532 |
Schedule of Investments | October 31, 2020 |
Global X S&P 500® Covered Call & Growth ETF |
Shares/Number of Contracts | Value | |||||||
COMMON STOCK — continued | ||||||||
Utilities — continued | ||||||||
Dominion Energy | 117 | $ | 9,400 | |||||
DTE Energy | 27 | 3,332 | ||||||
Duke Energy | 102 | 9,395 | ||||||
Edison International | 52 | 2,914 | ||||||
Entergy | 27 | 2,733 | ||||||
Evergy | 31 | 1,711 | ||||||
Eversource Energy | 48 | 4,189 | ||||||
Exelon | 135 | 5,385 | ||||||
FirstEnergy | 75 | 2,229 | ||||||
NextEra Energy | 260 | 19,035 | ||||||
NiSource | 54 | 1,240 | ||||||
NRG Energy | 33 | 1,043 | ||||||
Pinnacle West Capital | 15 | 1,224 | ||||||
PPL | 106 | 2,915 | ||||||
Public Service Enterprise Group | 69 | 4,012 | ||||||
Sempra Energy | 39 | 4,889 | ||||||
Southern | 145 | 8,330 | ||||||
WEC Energy Group | 43 | 4,324 | ||||||
Xcel Energy | 72 | 5,042 | ||||||
118,767 | ||||||||
TOTAL UNITED STATES | 3,689,779 | |||||||
TOTAL INVESTMENTS — 100.1% | ||||||||
(Cost $3,766,991) | $ | 3,705,964 | ||||||
WRITTEN OPTION— (0.2)%(1) | ||||||||
UNITED STATES— (0.2)% | ||||||||
(Premiums Received $50,826) | (56 | ) | (7,700 | ) |
Schedule of Investments | October 31, 2020 |
Global X S&P 500® Covered Call & Growth ETF |
Description | Number of Contracts | Cost+ | Exercise Price | Expiration Date | Value | ||||||||||||
WRITTEN OPTION — (0.2)% | |||||||||||||||||
Call Options | |||||||||||||||||
S&P 500 Index* | (56 | ) | $ | (50,826 | ) | $ | 351.00 | 11/23/20 | $ | (7,700 | ) |
* | Non-income producing security. |
‡ | Real Estate Investment Trust |
+ | Notional amount for all options totals $(1,831,200). |
(1) | Refer to table below for details on Options Contracts. |
(A) | All or a portion of these securities has been segregated as collateral for written options contracts. The aggregate market value of collateral at October 31, 2020 was $3,705,964. |
Investments in Securities | Level 1 | Level 2 | Level 3 | Total | ||||||||||||
Common Stock | $ | 3,705,964 | $ | — | $ | — | $ | 3,705,964 | ||||||||
Total Investments in Securities | $ | 3,705,964 | $ | — | $ | — | $ | 3,705,964 | ||||||||
Liabilities | Level 1 | Level 2 | Level 3 | Total | ||||||||||||
Written Option | $ | (7,700 | ) | $ | — | $ | — | $ | (7,700 | ) | ||||||
Total Liabilities | $ | (7,700 | ) | $ | — | $ | — | $ | (7,700 | ) |
Schedule of Investments | October 31, 2020 |
Global X SuperIncome™ Preferred ETF |
Shares | Value | |||||||
PREFERRED STOCK — 96.2% | ||||||||
BERMUDA— 0.9% | ||||||||
Financials — 0.9% | ||||||||
PartnerRe, 7.250% | 66,311 | $ | 1,732,707 | |||||
TOTAL BERMUDA | 1,732,707 | |||||||
UNITED KINGDOM— 4.1% | ||||||||
Financials — 4.1% | ||||||||
HSBC Holdings, 6.200% | 296,239 | 7,640,004 | ||||||
TOTAL UNITED KINGDOM | 7,640,004 |
UNITED STATES— 91.2% | ||||||||
Consumer Staples — 1.7% | ||||||||
CHS, Ser 4, 7.500% | 114,268 | 3,201,789 | ||||||
Energy — 6.2% | ||||||||
Crestwood Equity Partners, 9.250% | 403,859 | 2,483,733 | ||||||
Energy Transfer Operating, 7.625%, VAR ICE LIBOR USD 3 Month+4.738% | 100,089 | 1,875,668 |
Schedule of Investments | October 31, 2020 |
Global X SuperIncome™ Preferred ETF |
Shares | Value | |||||||
PREFERRED STOCK — continued | ||||||||
Energy — continued | ||||||||
Energy Transfer Operating, 7.600%, VAR ICE LIBOR USD 3 Month+5.161% | 174,751 | $ | 3,398,907 | |||||
Energy Transfer Operating, 7.375%, VAR ICE LIBOR USD 3 Month+4.530% | 100,368 | 1,835,731 | ||||||
NuStar Logistics, 6.971%, VAR ICE LIBOR USD 3 Month+6.734% | 92,864 | 1,740,271 | ||||||
11,334,310 | ||||||||
Financials — 65.7% | ||||||||
AGNC Investment, 7.000%, VAR ICE LIBOR USD 3 Month+5.111% ‡ | 76,433 | 1,746,494 | ||||||
AGNC Investment, 6.500%, VAR ICE LIBOR USD 3 Month+4.993% ‡ (A) | 93,073 | 2,063,428 | ||||||
AGNC Investment, 6.125%, VAR ICE LIBOR USD 3 Month+4.697% ‡ | 134,609 | 2,914,285 | ||||||
American Equity Investment Life Holding, 6.625%, VAR US Treas Yield Curve Rate T Note Const Mat 5 Yr+6.297% | 63,321 | 1,650,145 | ||||||
Annaly Capital Management, Ser D, 7.500% ‡ | 103,894 | 2,633,713 | ||||||
Annaly Capital Management, 6.950%, VAR ICE LIBOR USD 3 Month+4.993% ‡ | 163,471 | 3,679,732 | ||||||
Annaly Capital Management, 6.500%, VAR ICE LIBOR USD 3 Month+4.172% ‡ | 111,881 | 2,347,263 | ||||||
Athene Holding, 6.350%, VAR ICE LIBOR USD 3 Month+4.253% | 189,744 | 5,081,344 | ||||||
Athene Holding, 5.625% | 76,621 | 1,971,458 | ||||||
Bank of America, 6.200% | 252,037 | 6,381,577 | ||||||
Capital One Financial, 6.200% | 112,521 | 2,863,660 | ||||||
Charles Schwab, 5.950% | 168,808 | 4,372,127 | ||||||
Citigroup, Ser J, 7.125%, VAR ICE LIBOR USD 3 Month+4.040% | 127,478 | 3,605,078 | ||||||
Citigroup, 6.875%, VAR ICE LIBOR USD 3 Month+4.130% | 200,462 | 5,560,816 |
Schedule of Investments | October 31, 2020 |
Global X SuperIncome™ Preferred ETF |
Shares | Value | |||||||
PREFERRED STOCK — continued | ||||||||
Financials — continued | ||||||||
Fifth Third Bancorp, 6.625%, VAR ICE LIBOR USD 3 Month+3.710% | 101,308 | $ | 2,864,990 | |||||
GMAC Capital Trust I, Ser 2, 6.065%, VAR ICE LIBOR USD 3 Month+5.785% | 366,466 | 9,432,835 | ||||||
Goldman Sachs Group, 6.375%, VAR ICE LIBOR USD 3 Month+3.550% (A) | 156,709 | 4,353,376 | ||||||
Goldman Sachs Group, 6.300% | 151,983 | 3,974,356 | ||||||
Hartford Financial Services Group, 7.875%, VAR ICE LIBOR USD 3 Month+5.596% | 137,816 | 3,784,427 | ||||||
Huntington Bancshares, 6.250% | 137,086 | 3,512,143 | ||||||
JPMorgan Chase, 6.150% | 260,500 | 6,611,490 | ||||||
Morgan Stanley, Ser E, 7.125%, VAR ICE LIBOR USD 3 Month+4.320% | 167,036 | 4,802,285 | ||||||
Morgan Stanley, Ser F, 6.875%, VAR ICE LIBOR USD 3 Month+3.940% | 163,200 | 4,559,808 | ||||||
New Residential Investment, 6.375%, VAR ICE LIBOR USD 3 Month+4.969% ‡ | 91,375 | 1,620,079 | ||||||
New York Community Bancorp, 6.375%, VAR ICE LIBOR USD 3 Month+3.821% | 115,316 | 2,990,144 | ||||||
Regions Financial, Ser B, 6.375%, VAR ICE LIBOR USD 3 Month+3.536% | 109,529 | 3,110,624 | ||||||
Reinsurance Group of America, 6.200%, VAR ICE LIBOR USD 3 Month+4.370% | 90,736 | 2,393,616 | ||||||
Synchrony Financial, 5.625% | 167,005 | 4,190,155 | ||||||
Synovus Financial, 5.875%, VAR US Treas Yield Curve Rate T Note Const Mat 5 Yr+4.127% | 76,808 | 1,979,342 | ||||||
US Bancorp, 6.500%, VAR ICE LIBOR USD 3 Month+4.468% | 250,035 | 6,668,434 | ||||||
Wells Fargo, 6.625%, VAR ICE LIBOR USD 3 Month+3.690% | 187,656 | 5,252,491 |
Schedule of Investments | October 31, 2020 |
Global X SuperIncome™ Preferred ETF |
Shares | Value | |||||||
PREFERRED STOCK — continued | ||||||||
Financials — continued | ||||||||
Wintrust Financial, 6.875%, VAR US Treas Yield Curve Rate T Note Const Mat 5 Yr+6.507% | 65,418 | $ | 1,741,427 | |||||
120,713,142 | ||||||||
Industrials — 1.9% | ||||||||
WESCO International, 10.625%, VAR US Treas Yield Curve Rate T Note Const Mat 5 Yr+10.325% | 122,166 | 3,540,370 | ||||||
Information Technology — 7.1% | ||||||||
Broadcom, 8.000% | 7,458 | 8,874,946 | ||||||
II-VI, 6.000% | 12,428 | 2,586,018 | ||||||
Sabre, 6.500% | 16,980 | 1,617,854 | ||||||
13,078,818 | ||||||||
Real Estate — 2.8% | ||||||||
Monmouth Real Estate Investment, 6.125% ‡ | 96,949 | 2,414,030 | ||||||
VEREIT, Ser F, 6.700% ‡ | 107,085 | 2,693,188 | ||||||
5,107,218 | ||||||||
Utilities — 5.8% | ||||||||
CenterPoint Energy, 7.000% * | 105,814 | 4,208,223 | ||||||
NiSource, 6.500%, VAR US Treas Yield Curve Rate T Note Const Mat 5 Yr+3.632% | 112,796 | 3,131,217 | ||||||
Sempra Energy, 6.750% * | 32,490 | 3,316,904 | ||||||
10,656,344 | ||||||||
TOTAL UNITED STATES | 167,631,991 | |||||||
TOTAL PREFERRED STOCK | ||||||||
(Cost $176,856,709) | 177,004,702 | |||||||
COMMON STOCK — 3.5% | ||||||||
Consumer Discretionary — 3.5% | ||||||||
Qurate Retail (Cost $6,683,777) | 67,358 | 6,588,960 |
Schedule of Investments | October 31, 2020 |
Global X SuperIncome™ Preferred ETF |
Shares/Face Amount | Value | |||||||
SHORT-TERM INVESTMENT(B)(C) — 0.1% | ||||||||
Fidelity Investments Money Market Government Portfolio, Cl Institutional, 0.010% | ||||||||
(Cost $99,691) | 99,691 | $ | 99,691 | |||||
REPURCHASE AGREEMENT(B) — 0.5% | ||||||||
BNP Paribas | ||||||||
0.060%, dated 10/30/20, to be repurchased on 11/02/20, repurchase price $863,753 (collateralized by U.S. Treasury Obligations, ranging in par value $40,616 - $140,016, 1.625%, 11/15/2022, with a total market value of $880,712) | ||||||||
(Cost $863,609) | $ | 863,609 | 863,609 | |||||
TOTAL INVESTMENTS — 100.3% | ||||||||
(Cost $184,503,786) | $ | 184,556,962 |
* | Non-income producing security. |
‡ | Real Estate Investment Trust |
(A) | This security or a partial position of this security is on loan at October 31, 2020. The total value of securities on loan at October 31, 2020 was $944,271. |
(B) | Security was purchased with cash collateral held from securities on loan. The total value of such securities as of October 31, 2020, was $963,300. |
(C) | The rate reported on the Schedule of Investments is the 7-day effective yield as of October 31, 2020. |
Schedule of Investments | October 31, 2020 |
Global X SuperIncome™ Preferred ETF |
Investments in Securities | Level 1 | Level 2 | Level 3 | Total | ||||||||||||
Preferred Stock | $ | 177,004,702 | $ | — | $ | — | $ | 177,004,702 | ||||||||
Common Stock | 6,588,960 | — | — | 6,588,960 | ||||||||||||
Short-Term Investment | 99,691 | — | — | 99,691 | ||||||||||||
Repurchase Agreement | — | 863,609 | — | 863,609 | ||||||||||||
Total Investments in Securities | $ | 183,693,353 | $ | 863,609 | $ | — | $ | 184,556,962 |
Schedule of Investments | October 31, 2020 |
Global X YieldCo & Renewable Energy Income ETF |
Shares | Value | |||||||
COMMON STOCK — 88.7% | ||||||||
AUSTRALIA— 3.9% | ||||||||
Utilities — 3.9% | ||||||||
AGL Energy | 293,238 | $ | 2,569,969 | |||||
BRAZIL— 4.0% | ||||||||
Utilities — 4.0% | ||||||||
Engie Brasil Energia | 383,677 | 2,654,332 | ||||||
CANADA— 17.7% | ||||||||
Utilities — 17.7% | ||||||||
Algonquin Power & Utilities | 275,689 | 4,176,636 | ||||||
Boralex, Cl A | 48,436 | 1,407,654 | ||||||
Innergex Renewable Energy | 81,947 | 1,476,257 | ||||||
Northland Power | 94,356 | 3,049,311 | ||||||
TransAlta Renewables | 124,951 | 1,564,992 | ||||||
TOTAL CANADA | 11,674,850 | |||||||
CHILE— 10.7% | ||||||||
Utilities — 10.7% | ||||||||
Colbun | 8,242,224 | 1,242,675 | ||||||
Enel Americas | 27,261,064 | 3,613,536 | ||||||
Enel Chile | 32,531,014 | 2,180,838 | ||||||
TOTAL CHILE | 7,037,049 |
Schedule of Investments | October 31, 2020 |
Global X YieldCo & Renewable Energy Income ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
CHINA— 4.9% | ||||||||
Industrials — 0.8% | ||||||||
Xinjiang Goldwind Science & Technology, Cl H | 371,941 | $ | 489,216 | |||||
Utilities — 4.1% | ||||||||
China Longyuan Power Group, Cl H | 1,567,000 | 1,070,956 | ||||||
Xinyi Energy Holdings | 3,173,200 | 1,632,664 | ||||||
2,703,620 | ||||||||
TOTAL CHINA | 3,192,836 | |||||||
GERMANY— 1.9% | ||||||||
Utilities — 1.9% | ||||||||
Encavis | 64,511 | 1,268,458 | ||||||
ITALY— 5.4% | ||||||||
Utilities — 5.4% | ||||||||
ACEA | 100,063 | 1,986,154 | ||||||
ERG | 70,600 | 1,600,359 | ||||||
TOTAL ITALY | 3,586,513 | |||||||
NEW ZEALAND— 13.9% | ||||||||
Utilities — 13.9% | ||||||||
Contact Energy | 337,558 | 1,646,418 | ||||||
Infratil | 339,212 | 1,215,082 | ||||||
Mercury NZ | 640,652 | 2,265,224 | ||||||
Meridian Energy | 1,167,657 | 4,090,028 | ||||||
TOTAL NEW ZEALAND | 9,216,752 | |||||||
PORTUGAL— 5.7% | ||||||||
Utilities — 5.7% | ||||||||
Energias de Portugal | 759,547 | 3,744,297 | ||||||
RUSSIA— 2.7% | ||||||||
Utilities — 2.7% | ||||||||
RusHydro PJSC | 198,205,119 | 1,800,335 | ||||||
SPAIN— 2.1% | ||||||||
Utilities — 2.1% | ||||||||
Atlantica Sustainable Infrastructure | 47,722 | 1,407,322 |
Schedule of Investments | October 31, 2020 |
Global X YieldCo & Renewable Energy Income ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
THAILAND— 0.9% | ||||||||
Utilities — 0.9% | ||||||||
BCPG NVDR | 962,100 | $ | 354,990 | |||||
Gunkul Engineering NVDR | 4,140,000 | 270,975 | ||||||
TOTAL THAILAND | 625,965 | |||||||
UNITED STATES— 14.9% | ||||||||
Financials — 2.2% | ||||||||
Hannon Armstrong Sustainable Infrastructure Capital ‡ | 34,807 | 1,456,673 | ||||||
Utilities — 12.7% | ||||||||
Avista | 31,897 | 1,059,618 | ||||||
Clearway Energy, Cl A | 16,169 | 423,789 | ||||||
Hawaiian Electric Industries | 51,310 | 1,695,282 | ||||||
IDACORP | 23,717 | 2,080,692 | ||||||
NextEra Energy Partners | 30,802 | 1,934,366 | ||||||
NorthWestern | 23,753 | 1,238,244 | ||||||
8,431,991 | ||||||||
TOTAL UNITED STATES | 9,888,664 | |||||||
TOTAL COMMON STOCK | ||||||||
(Cost $57,340,067) | 58,667,342 | |||||||
MASTER LIMITED PARTNERSHIP — 7.0% | ||||||||
Utilities — 7.0% | ||||||||
Brookfield Renewable Partners, Cl A (A) | ||||||||
(Cost $3,093,960) | 86,145 | 4,664,693 | ||||||
CLOSED-END FUNDS — 4.0% | ||||||||
UNITED KINGDOM— 4.0% | ||||||||
Utilities — 4.0% | ||||||||
Greencoat UK Wind | 712,943 | 1,242,626 | ||||||
Renewables Infrastructure Group | 822,679 | 1,438,146 |
Schedule of Investments | October 31, 2020 |
Global X YieldCo & Renewable Energy Income ETF |
Shares/Number of Rights | Value | |||||||
CLOSED-END FUNDS — continued | ||||||||
(Cost $2,583,185) | $ | 2,680,772 | ||||||
RIGHT — 0.0% | ||||||||
Thailand — 0.0% | ||||||||
BCPG Right*#(B)(C)(D) | 113,637 | — | ||||||
TOTAL RIGHT (Cost $–) | — | |||||||
TOTAL INVESTMENTS — 99.7% | ||||||||
(Cost $63,017,212) | $ | 66,012,807 |
* | Non-income producing security. |
# | Expiration Date not available. |
‡ | Real Estate Investment Trust |
(A) | Security considered Master Limited Partnership. At October 31, 2020, these securities amounted to $4,664,693 or 7.0% of Net Assets of the Fund. |
(B) | Security considered illiquid. The total value of such securities as of October 31, 2020 was $0 and represented 0.00% of Net Assets of the Fund. |
(C) | Security is fair valued using methods determined in good faith by the Fair Value Committee of the Fund. The total value of such securities as of October 31, 2020, was $0 and represents 0.00% of Net Assets of the Fund. |
(D) | Level 3 security in accordance with fair value hierarchy. |
Schedule of Investments | OctoRber 31, 2020 |
Global X YieldCo & Renewable Energy Income ETF |
Investments in Securities | Level 1 | Level 2 | Level 3(1) | Total | ||||||||||||
Common Stock | $ | 58,667,342 | $ | — | $ | — | $ | 58,667,342 | ||||||||
Master Limited Partnership | 4,664,693 | — | — | 4,664,693 | ||||||||||||
Closed-End Funds | 2,680,772 | — | — | 2,680,772 | ||||||||||||
Right | — | — | — | — | ||||||||||||
Total Investments in Securities | $ | 66,012,807 | $ | — | $ | — | $ | 66,012,807 |
Schedule of Investments | October 31, 2020 |
Global X S&P 500® Catholic Values ETF |
Shares | Value | |||||||
COMMON STOCK — 99.8% | ||||||||
UNITED KINGDOM— 0.5% | ||||||||
Energy — 0.0% | ||||||||
TechnipFMC | 6,320 | $ | 34,950 | |||||
Materials — 0.5% | ||||||||
Linde | 7,322 | 1,613,330 | ||||||
TOTAL UNITED KINGDOM | 1,648,280 | |||||||
UNITED STATES— 99.3% | ||||||||
Communication Services — 11.1% | ||||||||
Activision Blizzard | 10,930 | 827,729 | ||||||
Alphabet, Cl A * | 4,175 | 6,747,259 | ||||||
Alphabet, Cl C * | 4,079 | 6,612,100 | ||||||
AT&T | 101,345 | 2,738,342 | ||||||
CenturyLink | 13,904 | 119,852 | ||||||
Charter Communications, Cl A * | 2,081 | 1,256,549 | ||||||
Comcast, Cl A | 64,972 | 2,744,417 | ||||||
Discovery, Cl A * | 2,231 | 45,155 | ||||||
Discovery, Cl C * | 4,852 | 88,889 |
�� |
Schedule of Investments | October 31, 2020 |
Global X S&P 500® Catholic Values ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Communication Services — continued | ||||||||
DISH Network, Cl A * | 3,537 | $ | 90,158 | |||||
Electronic Arts * | 4,172 | 499,931 | ||||||
Facebook, Cl A * | 33,472 | 8,806,819 | ||||||
Fox, Cl A | 4,942 | 131,062 | ||||||
Fox, Cl B | 2,266 | 59,233 | ||||||
Interpublic Group | 5,611 | 101,503 | ||||||
Live Nation Entertainment * | 1,651 | 80,569 | ||||||
Netflix * | 6,240 | 2,968,618 | ||||||
News, Cl A | 5,508 | 72,320 | ||||||
News, Cl B | 1,700 | 22,134 | ||||||
Omnicom Group | 3,249 | 153,353 | ||||||
Take-Two Interactive Software * | 1,595 | 247,097 | ||||||
T-Mobile US * | 8,087 | 886,093 | ||||||
Twitter * | 10,637 | 439,946 | ||||||
Verizon Communications | 57,193 | 3,259,429 | ||||||
ViacomCBS, Cl B | 7,912 | 226,046 | ||||||
Walt Disney | 24,958 | 3,026,157 | ||||||
42,250,760 | ||||||||
Consumer Discretionary — 11.6% | ||||||||
Advance Auto Parts | 992 | 146,102 | ||||||
Amazon.com * | 5,984 | 18,168,321 | ||||||
Aptiv * | 3,802 | 366,855 | ||||||
AutoZone * | 310 | 349,984 | ||||||
Best Buy | 3,266 | 364,322 | ||||||
Booking Holdings * | 595 | 965,387 | ||||||
BorgWarner | 2,929 | 102,456 | ||||||
CarMax * | 2,529 | 218,607 | ||||||
Carnival | 6,568 | 90,047 | ||||||
Chipotle Mexican Grill, Cl A * | 352 | 422,921 | ||||||
Darden Restaurants | 1,779 | 163,526 | ||||||
Dollar General | 3,712 | 774,732 | ||||||
Dollar Tree * | 3,441 | 310,791 | ||||||
Domino’s Pizza | 515 | 194,835 |
Schedule of Investments | October 31, 2020 |
Global X S&P 500® Catholic Values ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Consumer Discretionary — continued | ||||||||
DR Horton | 4,868 | $ | 325,231 | |||||
eBay | 9,139 | 435,291 | ||||||
Expedia Group | 1,864 | 175,496 | ||||||
Ford Motor * | 56,388 | 435,879 | ||||||
Gap | 3,128 | 60,840 | ||||||
Garmin | 1,775 | 184,636 | ||||||
General Motors * | 18,361 | 634,006 | ||||||
Genuine Parts | 2,124 | 192,074 | ||||||
Hanesbrands | 5,297 | 85,123 | ||||||
Hasbro | 1,720 | 142,278 | ||||||
Hilton Worldwide Holdings | 4,142 | 363,709 | ||||||
Home Depot | 15,280 | 4,075,328 | ||||||
L Brands * | 3,396 | 108,706 | ||||||
Las Vegas Sands * | 4,806 | 230,976 | ||||||
Leggett & Platt | 1,916 | 79,955 | ||||||
Lennar, Cl A | 4,044 | 284,010 | ||||||
LKQ * | 4,462 | 142,739 | ||||||
Lowe’s | 10,589 | 1,674,121 | ||||||
Marriott International, Cl A * | 3,933 | 365,297 | ||||||
McDonald’s | 10,293 | 2,192,409 | ||||||
Mohawk Industries * | 921 | 95,038 | ||||||
NIKE, Cl B | 17,787 | 2,135,864 | ||||||
Norwegian Cruise Line Holdings * | 3,115 | 51,802 | ||||||
NVR * | 46 | 181,842 | ||||||
O’Reilly Automotive * | 1,113 | 485,936 | ||||||
PulteGroup | 3,966 | 161,654 | ||||||
PVH * | 1,175 | 68,491 | ||||||
Ralph Lauren, Cl A * | 792 | 52,945 | ||||||
Ross Stores * | 5,198 | 442,714 | ||||||
Royal Caribbean Cruises * | 2,497 | 140,881 | ||||||
Starbucks | 16,906 | 1,470,146 | ||||||
Tapestry * | 4,076 | 90,609 | ||||||
Target | 7,430 | 1,130,994 |
Schedule of Investments | October 31, 2020 |
Global X S&P 500® Catholic Values ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Consumer Discretionary — continued | ||||||||
Tiffany | 1,567 | $ | 205,026 | |||||
TJX * | 17,412 | 884,530 | ||||||
Tractor Supply | 1,782 | 237,380 | ||||||
Ulta Beauty * | 794 | 164,175 | ||||||
Under Armour, Cl A * | 2,696 | 37,313 | ||||||
Under Armour, Cl C * | 2,736 | 33,461 | ||||||
VF | 4,697 | 315,638 | ||||||
Whirlpool | 897 | 165,909 | ||||||
Wynn Resorts * | 1,444 | 104,589 | ||||||
Yum! Brands | 4,459 | 416,158 | ||||||
43,900,085 | ||||||||
Consumer Staples — 6.8% | ||||||||
Altria Group | 51,797 | 1,868,836 | ||||||
Brown-Forman, Cl B | 4,967 | 346,250 | ||||||
Campbell Soup | 5,021 | 234,330 | ||||||
Clorox | 3,353 | 694,909 | ||||||
Coca-Cola | 107,583 | 5,170,439 | ||||||
Conagra Brands | 14,270 | 500,734 | ||||||
Constellation Brands, Cl A | 4,519 | 746,674 | ||||||
Costco Wholesale | 12,333 | 4,410,528 | ||||||
Estee Lauder, Cl A | 6,218 | 1,365,846 | ||||||
General Mills | 16,288 | 962,947 | ||||||
Hormel Foods | 8,045 | 391,711 | ||||||
JM Smucker | 3,335 | 374,187 | ||||||
Kellogg | 7,379 | 464,065 | ||||||
Kimberly-Clark | 9,303 | 1,233,485 | ||||||
Kraft Heinz | 17,088 | 522,722 | ||||||
Kroger | 21,358 | 687,941 | ||||||
Lamb Weston Holdings | 4,289 | 272,137 | ||||||
McCormick | 3,527 | 636,659 | ||||||
Molson Coors Beverage, Cl B * | 5,511 | 194,318 | ||||||
Mondelez International, Cl A | 39,222 | 2,083,472 | ||||||
Monster Beverage * | 10,334 | 791,274 |
Schedule of Investments | October 31, 2020 |
Global X S&P 500® Catholic Values ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Consumer Staples — continued | ||||||||
Sysco | 14,172 | $ | 783,853 | |||||
Tyson Foods, Cl A | 7,911 | 452,747 | ||||||
Walgreens Boots Alliance | 20,444 | 695,914 | ||||||
25,885,978 | ||||||||
Energy — 2.1% | ||||||||
Apache | 5,449 | 45,227 | ||||||
Baker Hughes, Cl A | 10,101 | 149,192 | ||||||
Cabot Oil & Gas | 6,329 | 112,593 | ||||||
Chevron | 27,459 | 1,908,401 | ||||||
Concho Resources | 2,838 | 117,805 | ||||||
ConocoPhillips | 15,776 | 451,509 | ||||||
Devon Energy | 5,914 | 52,812 | ||||||
Diamondback Energy | 2,168 | 56,281 | ||||||
EOG Resources | 8,136 | 278,577 | ||||||
Exxon Mobil | 59,619 | 1,944,773 | ||||||
Halliburton | 12,530 | 151,112 | ||||||
Hess | 3,724 | 138,607 | ||||||
HollyFrontier | 2,295 | 42,480 | ||||||
Kinder Morgan | 27,599 | 328,428 | ||||||
Marathon Oil | 11,921 | 47,207 | ||||||
Marathon Petroleum | 9,356 | 276,002 | ||||||
National Oilwell Varco * | 5,497 | 46,175 | ||||||
Occidental Petroleum | 12,633 | 115,339 | ||||||
ONEOK | 5,794 | 168,026 | ||||||
Phillips 66 | 6,516 | 304,037 | ||||||
Pioneer Natural Resources | 2,422 | 192,694 | ||||||
Schlumberger | 19,429 | 290,268 | ||||||
Valero Energy | 5,818 | 224,633 | ||||||
Williams | 17,332 | 332,601 | ||||||
7,774,779 | ||||||||
Financials — 10.0% | ||||||||
Aflac | 10,449 | 354,744 | ||||||
Allstate | 4,608 | 408,960 |
Schedule of Investments | October 31, 2020 |
Global X S&P 500® Catholic Values ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Financials — continued | ||||||||
American Express | 9,640 | $ | 879,553 | |||||
American International Group | 12,179 | 383,517 | ||||||
Ameriprise Financial | 1,958 | 314,905 | ||||||
Aon, Cl A | 3,350 | 616,434 | ||||||
Arthur J Gallagher | 2,586 | 268,194 | ||||||
Assurant | 832 | 103,476 | ||||||
Bank of America | 104,997 | 2,488,429 | ||||||
Bank of New York Mellon | 12,178 | 418,436 | ||||||
Berkshire Hathaway, Cl B * | 27,721 | 5,596,869 | ||||||
BlackRock, Cl A | 1,906 | 1,142,094 | ||||||
Capital One Financial | 6,621 | 483,863 | ||||||
Cboe Global Markets | 1,597 | 129,820 | ||||||
Charles Schwab | 20,691 | 850,607 | ||||||
Chubb | 6,432 | 835,580 | ||||||
Cincinnati Financial | 2,147 | 151,879 | ||||||
Citigroup | 29,005 | 1,201,387 | ||||||
Citizens Financial Group | 6,596 | 179,741 | ||||||
CME Group, Cl A | 5,028 | 757,820 | ||||||
Comerica | 2,158 | 98,211 | ||||||
Discover Financial Services | 4,529 | 294,430 | ||||||
Everest Re Group | 583 | 114,898 | ||||||
Fifth Third Bancorp | 9,775 | 226,976 | ||||||
First Republic Bank | 2,321 | 292,771 | ||||||
Franklin Resources | 4,283 | 80,306 | ||||||
Globe Life | 1,496 | 121,311 | ||||||
Goldman Sachs Group | 4,546 | 859,376 | ||||||
Hartford Financial Services Group | 5,019 | 193,332 | ||||||
Huntington Bancshares | 15,265 | 159,367 | ||||||
Intercontinental Exchange | 7,939 | 749,442 | ||||||
Invesco | 5,758 | 75,487 | ||||||
JPMorgan Chase | 42,207 | 4,137,974 | ||||||
KeyCorp | 14,329 | 185,990 | ||||||
Lincoln National | 2,955 | 103,721 |
Schedule of Investments | October 31, 2020 |
Global X S&P 500® Catholic Values ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Financials — continued | ||||||||
Loews | 3,845 | $ | 133,345 | |||||
M&T Bank | 1,919 | 198,770 | ||||||
MarketAxess Holdings | 507 | 273,197 | ||||||
Marsh & McLennan | 7,096 | 734,151 | ||||||
MetLife | 10,947 | 414,344 | ||||||
Moody’s | 2,376 | 624,650 | ||||||
Morgan Stanley | 20,164 | 970,897 | ||||||
MSCI, Cl A | 1,173 | 410,362 | ||||||
Nasdaq | 1,644 | 198,908 | ||||||
Northern Trust | 3,075 | 240,680 | ||||||
People’s United Financial | 5,280 | 56,338 | ||||||
PNC Financial Services Group | 6,314 | 706,410 | ||||||
Principal Financial Group | 3,767 | 147,742 | ||||||
Progressive | 8,378 | 769,937 | ||||||
Prudential Financial | 5,701 | 364,978 | ||||||
Raymond James Financial | 1,786 | 136,522 | ||||||
Regions Financial | 14,010 | 186,333 | ||||||
S&P Global | 3,461 | 1,116,969 | ||||||
State Street | 5,238 | 308,518 | ||||||
SVB Financial Group * | 766 | 222,676 | ||||||
Synchrony Financial | 8,829 | 220,902 | ||||||
T Rowe Price Group | 3,283 | 415,825 | ||||||
Travelers | 3,749 | 452,542 | ||||||
Truist Financial | 19,033 | 801,670 | ||||||
Unum Group | 3,136 | 55,382 | ||||||
US Bancorp | 18,664 | 726,963 | ||||||
Wells Fargo | 55,951 | 1,200,149 | ||||||
Willis Towers Watson | 1,868 | 340,873 | ||||||
WR Berkley | 1,706 | 102,565 | ||||||
Zions Bancorp | 2,724 | 87,903 | ||||||
37,880,401 | ||||||||
Health Care — 13.6% | ||||||||
ABIOMED * | 1,433 | 360,944 |
Schedule of Investments | October 31, 2020 |
Global X S&P 500® Catholic Values ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Health Care — continued | ||||||||
Alexion Pharmaceuticals * | 7,351 | $ | 846,394 | |||||
Align Technology * | 2,397 | |||||||
AmerisourceBergen, Cl A | 4,744 | |||||||
Anthem | 8,702 | |||||||
Baxter International | 17,324 | |||||||
Biogen Idec * | 5,425 | |||||||
Boston Scientific * | 49,349 | |||||||
Cardinal Health | 9,406 | |||||||
Cerner | 10,169 | |||||||
Cigna | 12,690 | |||||||
CVS Health | 45,395 | |||||||
DaVita * | 3,066 | |||||||
DENTSPLY SIRONA | 6,756 | |||||||
DexCom * | 3,264 | |||||||
Edwards Lifesciences * | 21,404 | |||||||
Eli Lilly | 27,700 | |||||||
Gilead Sciences | 43,532 | |||||||
Henry Schein * | 4,557 | |||||||
Hologic * | 8,454 | |||||||
Humana | 4,555 | |||||||
IDEXX Laboratories * | 2,877 | |||||||
Incyte * | 6,114 | |||||||
Intuitive Surgical * | 4,062 | |||||||
IQVIA Holdings * | 6,476 | |||||||
Laboratory Corp of America Holdings * | 3,200 | |||||||
McKesson | 5,435 | |||||||
Medtronic | 46,981 | |||||||
Mettler-Toledo International * | 802 | |||||||
Quest Diagnostics | 4,355 | |||||||
Regeneron Pharmaceuticals * | 3,609 | |||||||
ResMed | 4,860 | |||||||
STERIS | 2,749 | |||||||
Stryker | 11,316 |
Schedule of Investments | October 31, 2020 |
Global X S&P 500® Catholic Values ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Health Care — continued | ||||||||
Teleflex | 1,516 | $ | 482,437 | |||||
Varian Medical Systems * | 2,966 | |||||||
Waters * | 2,124 | |||||||
West Pharmaceutical Services | 2,447 | |||||||
Zimmer Biomet Holdings | 6,908 | |||||||
Zoetis, Cl A | 16,481 | |||||||
51,549,523 | ||||||||
3M | 10,656 | |||||||
Alaska Air Group * | 2,686 | |||||||
Allegion | 2,085 | |||||||
American Airlines Group * | 8,471 | |||||||
AMETEK | 3,930 | |||||||
AO Smith | 3,033 | |||||||
Carrier Global | 15,582 | |||||||
Caterpillar | 9,973 | |||||||
CH Robinson Worldwide | 2,800 | |||||||
Cintas | 1,580 | |||||||
Copart * | 4,373 | |||||||
CSX | 15,201 | |||||||
Cummins | 2,879 | |||||||
Deere | 5,738 | |||||||
Delta Air Lines * | 10,819 | |||||||
Dover | 2,980 | |||||||
Eaton | 7,871 | |||||||
Emerson Electric | 11,774 | |||||||
Equifax | 2,623 | |||||||
Expeditors International of Washington | 3,527 | |||||||
Fastenal | 11,134 | |||||||
FedEx | 4,719 | |||||||
Flowserve | 2,849 | |||||||
Fortive | 5,830 | |||||||
Fortune Brands Home & Security | 3,189 |
Schedule of Investments | October 31, 2020 |
Global X S&P 500® Catholic Values ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Industrials — continued | ||||||||
Howmet Aerospace * | 8,983 | $ | 154,957 | |||||
IDEX | 1,611 | |||||||
IHS Markit | 7,609 | |||||||
Illinois Tool Works | 5,698 | |||||||
Ingersoll Rand * | 6,352 | |||||||
JB Hunt Transport Services | 1,893 | |||||||
Johnson Controls International | 14,498 | |||||||
Kansas City Southern | 1,555 | |||||||
Masco | 4,695 | |||||||
Nielsen Holdings | 7,499 | |||||||
Norfolk Southern | 5,072 | |||||||
Old Dominion Freight Line | 1,795 | |||||||
Otis Worldwide | 7,906 | |||||||
PACCAR | 6,535 | |||||||
Parker-Hannifin | 2,409 | |||||||
Pentair | 3,573 | |||||||
Quanta Services | 3,235 | |||||||
Republic Services, Cl A | 4,455 | |||||||
Robert Half International | 2,724 | |||||||
Rockwell Automation | 2,003 | |||||||
Rollins | 3,038 | |||||||
Roper Technologies | 2,064 | |||||||
Snap-On | 1,206 | |||||||
Southwest Airlines * | 10,611 | |||||||
Stanley Black & Decker | 2,877 | |||||||
Teledyne Technologies * | 567 | |||||||
Trane Technologies | 4,463 | |||||||
TransDigm Group * | 973 | |||||||
Union Pacific | 12,638 | |||||||
United Airlines Holdings * | 4,827 | |||||||
United Parcel Service, Cl B | 13,117 | |||||||
United Rentals * | 1,247 | |||||||
Verisk Analytics, Cl A | 2,843 |
Schedule of Investments | October 31, 2020 |
Global X S&P 500® Catholic Values ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Industrials — continued | ||||||||
Waste Management | 7,671 | $ | 827,779 | |||||
Westinghouse Air Brake Technologies | 3,857 | |||||||
WW Grainger | 938 | |||||||
Xylem | 3,920 | |||||||
Accenture, Cl A | 9,018 | |||||||
Adobe * | 6,641 | |||||||
Advanced Micro Devices * | 17,188 | |||||||
Akamai Technologies * | 2,389 | |||||||
Amphenol, Cl A | 4,179 | |||||||
Analog Devices | 5,304 | |||||||
ANSYS * | 1,187 | |||||||
Apple | 225,212 | |||||||
Applied Materials | 13,288 | |||||||
Arista Networks * | 772 | |||||||
Autodesk * | 3,171 | |||||||
Automatic Data Processing | 6,142 | |||||||
Broadcom | 5,605 | |||||||
Broadridge Financial Solutions | 1,722 | |||||||
Cadence Design Systems * | 4,005 | |||||||
CDW | 2,061 | |||||||
Cisco Systems | 58,351 | |||||||
Citrix Systems | 1,796 | |||||||
Cognizant Technology Solutions, Cl A | 8,008 | |||||||
DXC Technology * | 3,716 | |||||||
F5 Networks * | 903 | |||||||
Fidelity National Information Services | 8,920 | |||||||
Fiserv * | 7,894 | |||||||
FleetCor Technologies * | 1,206 | |||||||
FLIR Systems | 1,980 | |||||||
Fortinet * | 2,123 | |||||||
Gartner * | 1,339 |
Schedule of Investments | October 31, 2020 |
Global X S&P 500® Catholic Values ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Information Technology — continued | ||||||||
Global Payments | 4,261 | $ | 672,130 | |||||
Hewlett Packard Enterprise | 19,052 | |||||||
HP | 21,363 | |||||||
Intel | 60,460 | |||||||
International Business Machines | 12,585 | |||||||
Intuit | 3,670 | |||||||
IPG Photonics * | 564 | |||||||
Jack Henry & Associates | 1,153 | |||||||
Juniper Networks | 5,132 | |||||||
Keysight Technologies * | 2,742 | |||||||
KLA | 2,299 | |||||||
Lam Research | 2,124 | |||||||
Leidos Holdings | 1,728 | |||||||
Mastercard, Cl A | 12,498 | |||||||
Maxim Integrated Products | 3,801 | |||||||
Microchip Technology | 3,425 | |||||||
Micron Technology * | 15,766 | |||||||
Microsoft | 105,986 | |||||||
Motorola Solutions | 2,396 | |||||||
NetApp | 3,396 | |||||||
NortonLifeLock | 8,801 | |||||||
NVIDIA | 8,573 | |||||||
Oracle | 26,421 | |||||||
Paychex | 4,639 | |||||||
Paycom Software * | 638 | |||||||
PayPal Holdings * | 16,569 | |||||||
Qorvo * | 1,782 | |||||||
QUALCOMM | 15,462 | |||||||
salesforce.com * | 12,864 | |||||||
Seagate Technology | 3,484 | |||||||
ServiceNow * | 2,687 | |||||||
Skyworks Solutions | 2,565 | |||||||
Synopsys * | 2,161 |
Schedule of Investments | October 31, 2020 |
Global X S&P 500® Catholic Values ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Information Technology — continued | ||||||||
TE Connectivity | 4,750 | $ | 460,180 | |||||
Texas Instruments | 13,240 | |||||||
Tyler Technologies * | 437 | |||||||
VeriSign * | 1,485 | |||||||
Visa, Cl A | 23,452 | |||||||
Vontier * | 2,333 | |||||||
Western Digital * | 4,255 | |||||||
Western Union | 6,569 | |||||||
Xerox Holdings | 2,958 | |||||||
Xilinx | 3,662 | |||||||
Zebra Technologies, Cl A * | 691 | |||||||
Air Products & Chemicals | 3,065 | |||||||
Albemarle | 1,582 | |||||||
Amcor | 21,662 | |||||||
Avery Dennison | 1,191 | |||||||
Ball | 4,734 | |||||||
Celanese, Cl A | 1,749 | |||||||
CF Industries Holdings | 3,268 | |||||||
Corteva | 10,539 | |||||||
Dow | 10,519 | |||||||
DuPont de Nemours | 10,522 | |||||||
Eastman Chemical | 1,989 | |||||||
Ecolab | 3,549 | |||||||
FMC | 1,928 | |||||||
Freeport-McMoRan Copper & Gold * | 21,322 | |||||||
International Flavors & Fragrances | 1,475 | |||||||
International Paper | 5,664 | |||||||
LyondellBasell Industries, Cl A | 3,503 | |||||||
Martin Marietta Materials | 943 | |||||||
Mosaic | 5,060 | |||||||
Newmont | 11,667 |
Schedule of Investments | October 31, 2020 |
Global X S&P 500® Catholic Values ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Materials — continued | ||||||||
Nucor | 4,366 | $ | 208,520 | |||||
Packaging Corp of America | 1,339 | |||||||
PPG Industries | 3,302 | |||||||
Sealed Air | 2,124 | |||||||
Sherwin-Williams | 1,139 | |||||||
Vulcan Materials | 1,877 | |||||||
Westrock | 3,667 | |||||||
Alexandria Real Estate Equities ‡ | 1,642 | |||||||
American Tower, Cl A ‡ | 6,295 | |||||||
Apartment Investment & Management, Cl A ‡ * | 2,082 | |||||||
AvalonBay Communities ‡ | 1,978 | |||||||
Boston Properties ‡ | 2,178 | |||||||
CBRE Group, Cl A * | 4,463 | |||||||
Crown Castle International ‡ | 5,916 | |||||||
Digital Realty Trust ‡ | 3,741 | |||||||
Duke Realty ‡ | 5,036 | |||||||
Equinix ‡ | 1,234 | |||||||
Equity Residential ‡ | 5,206 | |||||||
Essex Property Trust ‡ | 971 | |||||||
Extra Space Storage ‡ | 1,823 | |||||||
Federal Realty Investment Trust ‡ | 993 | |||||||
Host Hotels & Resorts ‡ * | 10,520 | |||||||
Iron Mountain ‡ | 3,853 | |||||||
Kimco Realty ‡ | 6,052 | |||||||
Mid-America Apartment Communities ‡ | 1,568 | |||||||
ProLogis ‡ | 10,470 | |||||||
Public Storage ‡ | 2,145 | |||||||
Realty Income ‡ | 4,869 | |||||||
Regency Centers ‡ | 2,247 | |||||||
SBA Communications, Cl A ‡ | 1,609 | |||||||
Simon Property Group ‡ | 4,338 |
Schedule of Investments | October 31, 2020 |
Global X S&P 500® Catholic Values ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Real Estate — continued | ||||||||
SL Green Realty ‡ | 1,280 | $ | 54,797 | |||||
UDR ‡ | 3,942 | |||||||
Vornado Realty Trust ‡ | 2,447 | |||||||
Welltower ‡ | 5,993 | |||||||
Weyerhaeuser ‡ | 10,738 | |||||||
AES | 9,458 | |||||||
Alliant Energy | 3,348 | |||||||
Ameren | 3,488 | |||||||
American Electric Power | 7,073 | |||||||
American Water Works | 2,562 | |||||||
Atmos Energy | 1,638 | |||||||
CenterPoint Energy | 7,013 | |||||||
CMS Energy | 4,064 | |||||||
Consolidated Edison | 4,523 | |||||||
Dominion Energy | 11,469 | |||||||
DTE Energy | 2,620 | |||||||
Duke Energy | 10,254 | |||||||
Edison International | 4,807 | |||||||
Entergy | 2,672 | |||||||
Evergy | 3,455 | |||||||
Eversource Energy | 4,550 | |||||||
Exelon | 13,603 | |||||||
FirstEnergy | 7,266 | |||||||
NextEra Energy | 28,092 | |||||||
NiSource | 5,035 | |||||||
NRG Energy | 3,798 | |||||||
Pinnacle West Capital | 1,584 | |||||||
PPL | 10,192 | |||||||
Public Service Enterprise Group | 7,273 | |||||||
Sempra Energy | 3,869 | |||||||
Southern | 14,566 |
October 31, 2020 | |
Global X S&P 500® Catholic Values ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Utilities — continued | ||||||||
WEC Energy Group | 4,498 | $ | 452,274 | |||||
Xcel Energy | 7,395 | |||||||
TOTAL UNITED STATES | ||||||||
TOTAL COMMON STOCK | 378,404,065 | |||||||
TOTAL INVESTMENTS — 99.8% | ||||||||
(Cost $328,845,030) | $ | 378,404,065 |
* | Non-income producing security. |
‡ | Real Estate Investment Trust |
Schedule of Investments | October 31, 2020 |
Global X S&P Catholic Values Developed ex-US ETF |
AUSTRALIA— 10.0% | ||||||||
Telstra | 946 | $ | 1,780 | |||||
Aristocrat Leisure | 142 | |||||||
Wesfarmers | 254 | |||||||
Coles Group | 577 | |||||||
Woolworths Group | 528 | |||||||
Origin Energy | 390 | |||||||
Santos | 392 | |||||||
Woodside Petroleum | 212 | |||||||
ASX | 42 |
October 31, 2020 | |
Global X S&P Catholic Values Developed ex-US ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Financials — continued | ||||||||
Australia & New Zealand Banking Group | 628 | $ | 8,295 | |||||
Commonwealth Bank of Australia | 414 | |||||||
Insurance Australia Group | 512 | |||||||
Macquarie Group | 80 | |||||||
National Australia Bank | 775 | |||||||
QBE Insurance Group | 324 | |||||||
Suncorp Group | 278 | |||||||
Westpac Banking | 850 | |||||||
CSL | 312 | |||||||
Brambles | 362 | |||||||
Sydney Airport | 264 | |||||||
Transurban Group | 652 | |||||||
BHP Group | 478 | |||||||
BHP Group | 666 | |||||||
Fortescue Metals Group | 382 | |||||||
Glencore * | 2,472 | |||||||
Newcrest Mining | 182 | |||||||
Rio Tinto | 84 | |||||||
Rio Tinto | 250 | |||||||
South32 | 1,096 | |||||||
Dexus ‡ | 242 | |||||||
Goodman Group ‡ | 417 | |||||||
Scentre Group ‡ | 1,148 | |||||||
AGL Energy | 138 |
Schedule of Investments | October 31, 2020 |
Global X S&P Catholic Values Developed ex-US ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
TOTAL AUSTRALIA | $ | 244,876 | ||||||
AUSTRIA— 0.3% | ||||||||
Telekom Austria, Cl A | 32 | |||||||
OMV | 32 | |||||||
BAWAG Group | 16 | |||||||
Erste Group Bank | 66 | |||||||
Raiffeisen Bank International * | 30 | |||||||
ANDRITZ | 18 | |||||||
Immobilien Anlagen | 16 | |||||||
AMS * | 62 | |||||||
voestalpine | 26 | |||||||
Verbund | 16 | |||||||
TOTAL AUSTRIA | ||||||||
BELGIUM— 1.4% | ||||||||
Ageas | 40 | |||||||
Anheuser-Busch InBev | 354 | |||||||
Groupe Bruxelles Lambert | 27 | |||||||
KBC Group * | 76 | |||||||
UCB | 84 |
Schedule of Investments | October 31, 2020 |
Global X S&P Catholic Values Developed ex-US ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Solvay | 16 | $ | 1,299 | |||||
TOTAL BELGIUM | ||||||||
BRAZIL— 0.0% | ||||||||
Yara International | 40 | |||||||
CHINA— 0.6% | ||||||||
Prosus * | 94 | |||||||
Budweiser Brewing APAC | 800 | |||||||
BOC Hong Kong Holdings | 800 | |||||||
TOTAL CHINA | ||||||||
DENMARK— 2.5% | ||||||||
Carlsberg, Cl B | 42 | |||||||
Coloplast, Cl B | 82 | |||||||
Genmab * | 44 | |||||||
A P Moller - Maersk, Cl B | 2 | |||||||
AP Moller - Maersk, Cl A | 1 | |||||||
DSV PANALPINA | 48 | |||||||
Vestas Wind Systems | 48 | |||||||
Novozymes, Cl B | 48 | |||||||
Orsted | 42 | |||||||
TOTAL DENMARK |
October 31, 2020 | |
Global X S&P Catholic Values Developed ex-US ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
FINLAND— 1.4% | ||||||||
Neste | 96 | $ | 4,997 | |||||
Nordea Bank Abp | 714 | |||||||
Sampo, Cl A | 110 | |||||||
Kone, Cl B | 96 | |||||||
Nokia * | 1,280 | |||||||
Stora Enso, Cl R | 138 | |||||||
UPM-Kymmene | 120 | |||||||
Fortum | 96 | |||||||
TOTAL FINLAND | ||||||||
FRANCE— 8.9% | ||||||||
Adevinta, Cl B * | 52 | |||||||
Orange | 504 | |||||||
Vivendi | 213 | |||||||
Christian Dior | 1 | |||||||
EssilorLuxottica * | 66 | |||||||
Hermes International | 8 | |||||||
Kering | 17 | |||||||
Danone | 293 |
Schedule of Investments | October 31, 2020 |
Global X S&P Catholic Values Developed ex-US ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Consumer Staples — continued | ||||||||
Pernod Ricard | 92 | $ | 14,832 | |||||
Total | 593 | |||||||
AXA | 491 | |||||||
BNP Paribas * | 269 | |||||||
LVMH Moet Hennessy Louis Vuitton | 62 | |||||||
Credit Agricole * | 280 | |||||||
Schneider Electric | 132 | |||||||
Vinci | 122 | |||||||
Dassault Systemes | 32 | |||||||
Air Liquide | 106 | |||||||
L’Oreal | 102 | |||||||
Electricite de France * | 102 | |||||||
Engie * | 410 | |||||||
TOTAL FRANCE | ||||||||
GERMANY— 7.7% | ||||||||
Deutsche Telekom | 788 | |||||||
adidas * | 42 | |||||||
Allianz | 97 | |||||||
Bayerische Motoren Werke | 72 | |||||||
Daimler | 198 |
October 31, 2020 | |
Global X S&P Catholic Values Developed ex-US ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Consumer Discretionary — continued | ||||||||
Volkswagen | 8 | $ | 1,245 | |||||
Beiersdorf | 43 | |||||||
Henkel & KGaA | 42 | |||||||
Deutsche Boerse | 42 | |||||||
Muenchener Rueckversicherungs-Gesellschaft in Muenchen | 33 | |||||||
Fresenius Medical Care & KGaA | 147 | |||||||
Siemens Healthineers | 151 | |||||||
Deutsche Post | 232 | |||||||
Siemens | 198 | |||||||
Siemens Energy * | 99 | |||||||
Infineon Technologies | 296 | |||||||
SAP | 251 | |||||||
BASF | 208 | |||||||
Vonovia | 136 | |||||||
E.ON | 484 | |||||||
TOTAL GERMANY | ||||||||
HONG KONG— 2.6% | ||||||||
AIA Group | 2,800 |
Schedule of Investments | October 31, 2020 |
Global X S&P Catholic Values Developed ex-US ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Financials — continued | ||||||||
Hang Seng Bank | 200 | $ | 3,074 | |||||
Hong Kong Exchanges & Clearing | 264 | |||||||
Jardine Matheson Holdings | 74 | |||||||
Jardine Strategic Holdings | 42 | |||||||
MTR | 400 | |||||||
CK Asset Holdings | 600 | |||||||
Henderson Land Development | 400 | |||||||
Link REIT ‡ | 500 | |||||||
Sun Hung Kai Properties | 400 | |||||||
CLP Holdings | 400 | |||||||
Hong Kong & China Gas | 2,200 | |||||||
TOTAL HONG KONG | ||||||||
IRELAND— 0.9% | ||||||||
Flutter Entertainment * | 32 | |||||||
Kerry Group, Cl A | 64 | |||||||
Kingspan Group * | 36 | |||||||
Ryanair Holdings * | 130 | |||||||
CRH | 178 | |||||||
TOTAL IRELAND |
Schedule of Investments | October 31, 2020 |
Global X S&P Catholic Values Developed ex-US ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
ISRAEL— 0.5% | ||||||||
Bank Hapoalim * | 248 | $ | 1,455 | |||||
Bank Leumi Le-Israel | 324 | |||||||
Israel Discount Bank, Cl A | 258 | |||||||
Mizrahi Tefahot Bank | 30 | |||||||
Check Point Software Technologies * | 26 | |||||||
Nice * | 14 | |||||||
Wix.com * | 10 | |||||||
ICL Group | 156 | |||||||
Azrieli Group | 8 | |||||||
TOTAL ISRAEL | ||||||||
ITALY— 1.8% | ||||||||
Ferrari | 28 | |||||||
Eni | 562 | |||||||
Assicurazioni Generali | 272 | 3,647 | ||||||
Intesa Sanpaolo * | 3,945 | |||||||
Poste Italiane | 102 | |||||||
UniCredit * | 468 | |||||||
Atlantia * | 112 | |||||||
Enel | 1,796 |
Schedule of Investments | October 31, 2020 |
Global X S&P Catholic Values Developed ex-US ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Utilities — continued | ||||||||
Snam | 480 | $ | 2,343 | |||||
Terna Rete Elettrica Nazionale | 310 | |||||||
TOTAL ITALY | ||||||||
JAPAN— 35.9% | ||||||||
Dentsu Group | 56 | |||||||
KDDI | 396 | |||||||
LINE * | 12 | |||||||
Nexon | 104 | |||||||
Nintendo | 29 | |||||||
Nippon Telegraph & Telephone | 292 | |||||||
NTT DOCOMO | 300 | |||||||
SoftBank | 400 | |||||||
SoftBank Group | 396 | |||||||
Toho | 32 | |||||||
Z Holdings * | 600 | |||||||
Aisin Seiki | 40 | |||||||
Bandai Namco Holdings | 50 | |||||||
Bridgestone | 138 | |||||||
Denso | 116 | |||||||
Fast Retailing | 14 | |||||||
Hikari Tsushin | 4 | |||||||
Honda Motor | 400 | |||||||
Isuzu Motors | 200 | |||||||
Koito Manufacturing | 28 | |||||||
Nissan Motor * | 600 | |||||||
Nitori Holdings | 18 | |||||||
Oriental Land | 50 | |||||||
Pan Pacific International Holdings | 134 | |||||||
Panasonic | 600 |
Schedule of Investments | October 31, 2020 |
Global X S&P Catholic Values Developed ex-US ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Consumer Discretionary — continued | ||||||||
Rakuten | 200 | $ | 1,942 | |||||
Sekisui Chemical | 102 | |||||||
Sekisui House | 200 | |||||||
Sharp | 46 | |||||||
Shimano | 20 | |||||||
Sony | 282 | |||||||
Subaru | 142 | |||||||
Sumitomo Electric Industries | 200 | |||||||
Suzuki Motor * | 104 | |||||||
Toyota Industries | 46 | |||||||
Toyota Motor | 600 | |||||||
Yamaha | 38 | |||||||
ZOZO | 44 | |||||||
Aeon | 400 | |||||||
Ajinomoto | 240 | |||||||
Asahi Group Holdings | 200 | |||||||
Kao | 200 | |||||||
Kikkoman | 82 | |||||||
Kirin Holdings | 400 | |||||||
Kose | 14 | |||||||
MEIJI Holdings | 60 | |||||||
Nissin Foods Holdings | 36 | |||||||
Seven & i Holdings | 334 | |||||||
Shiseido | 168 | |||||||
Suntory Beverage & Food | 54 | |||||||
Unicharm | 200 | |||||||
Yakult Honsha | 68 | |||||||
ENEOS Holdings | 800 | |||||||
Idemitsu Kosan | 54 |
Schedule of Investments | October 31, 2020 |
Global X S&P Catholic Values Developed ex-US ETF |
Shares | Value | |||||||||
COMMON STOCK — continued | ||||||||||
Energy — continued | ||||||||||
Inpex | 200 | $ | 941 | |||||||
4,711 | ||||||||||
Financials — 2.6% | ||||||||||
Acom | 200 | 893 | ||||||||
Dai-ichi Life Holdings | 300 | 4,438 | ||||||||
Daiwa Securities Group | 400 | 1,611 | ||||||||
Japan Exchange Group | 118 | 2,870 | ||||||||
Japan Post Bank * | 90 | 715 | ||||||||
Japan Post Insurance | 106 | 1,673 | ||||||||
Mitsubishi UFJ Financial Group | 3,000 | 11,772 | ||||||||
Mizuho Financial Group | 560 | 6,865 | ||||||||
MS&AD Insurance Group Holdings | 108 | 2,939 | ||||||||
Nomura Holdings | 800 | �� | 3,555 | |||||||
ORIX | 300 | 3,488 | ||||||||
Resona Holdings | 500 | 1,638 | ||||||||
Sompo Holdings | 82 | 3,052 | ||||||||
Sumitomo Mitsui Financial Group | 304 | 8,378 | ||||||||
Sumitomo Mitsui Trust Holdings | 82 | 2,183 | ||||||||
T&D Holdings | 200 | 1,984 | ||||||||
Tokio Marine Holdings | 156 | 6,952 | ||||||||
65,006 | ||||||||||
Health Care — 7.5% | ||||||||||
Eisai | 200 | 15,476 | ||||||||
Hoya | 260 | 29,348 | ||||||||
Kyowa Kirin | 200 | 4,955 | ||||||||
M3* | 284 | 19,090 | ||||||||
Olympus * | 900 | 17,124 | ||||||||
Ono Pharmaceutical | 334 | 9,495 | ||||||||
Otsuka Holdings | 370 | 13,644 | ||||||||
Santen Pharmaceutical | 300 | 5,329 | ||||||||
Shionogi | 200 | 9,420 | ||||||||
Sysmex | 110 | 10,312 | ||||||||
Takeda Pharmaceutical | 1,100 | 34,082 |
Schedule of Investments | October 31, 2020 |
Global X S&P Catholic Values Developed ex-US ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Health Care — continued | ||||||||
Terumo | 494 | $ | 18,132 | |||||
186,407 | ||||||||
Industrials — 6.5% | ||||||||
AGC | 54 | 1,676 | ||||||
ANA Holdings * | 28 | 608 | ||||||
Central Japan Railway | 50 | 6,019 | ||||||
Dai Nippon Printing | 72 | 1,335 | ||||||
Daikin Industries | 70 | 13,044 | ||||||
East Japan Railway | 90 | 4,698 | ||||||
FANUC | 46 | 9,703 | ||||||
Hankyu Hanshin Holdings | 60 | 1,825 | ||||||
ITOCHU | 350 | 8,370 | ||||||
Japan Airlines * | 26 | 452 | ||||||
Kajima | 100 | 1,064 | ||||||
Keio | 30 | 1,736 | ||||||
Kintetsu Group Holdings * | 46 | 1,831 | ||||||
Komatsu | 240 | 5,374 | ||||||
Kubota | 300 | 5,196 | ||||||
Makita | 66 | 2,904 | ||||||
Marubeni | 400 | 2,078 | ||||||
Minebea | 102 | 1,829 | ||||||
MISUMI Group | 68 | 2,010 | ||||||
Mitsubishi | 300 | 6,674 | ||||||
Mitsubishi Electric | 512 | 6,563 | ||||||
Mitsubishi Heavy Industries | 80 | 1,710 | ||||||
Mitsui | 400 | 6,237 | ||||||
Nidec | 130 | 13,057 | ||||||
Obayashi | 200 | 1,665 | ||||||
Odakyu Electric Railway | 80 | 1,923 | ||||||
Recruit Holdings * | 400 | 15,191 | ||||||
Secom | 52 | 4,375 | ||||||
SG Holdings | 116 | 2,790 | ||||||
Shimizu | 200 | 1,385 |
Schedule of Investments | October 31, 2020 |
Global X S&P Catholic Values Developed ex-US ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Industrials — continued | ||||||||
SMC | 16 | $ | 8,464 | |||||
Sumitomo | 300 | 3,284 | ||||||
Taisei | 54 | 1,676 | ||||||
Tobu Railway | 50 | 1,413 | ||||||
Tokyu | 100 | 1,182 | ||||||
Toshiba | 102 | 2,565 | ||||||
TOTO | 38 | 1,725 | ||||||
Toyota Tsusho | 56 | 1,553 | ||||||
West Japan Railway | 46 | 1,963 | ||||||
Yamato Holdings | 98 | 2,582 | ||||||
Yaskawa Electric | 64 | 2,470 | ||||||
162,199 | ||||||||
Information Technology — 3.7% | ||||||||
Advantest | 46 | 2,653 | ||||||
Canon | 300 | 5,167 | ||||||
Fujitsu | 44 | 5,146 | ||||||
Hitachi | 230 | 7,705 | ||||||
Keyence | 42 | 18,983 | ||||||
Kyocera | 80 | 4,386 | ||||||
Murata Manufacturing | 146 | 10,149 | ||||||
NEC | 60 | 3,013 | ||||||
Nomura Research Institute | 88 | 2,605 | ||||||
NTT Data | 200 | 2,248 | ||||||
Obic | 16 | 2,839 | ||||||
Omron | 46 | 3,300 | ||||||
Oracle Japan * | 8 | 800 | ||||||
Renesas Electronics * | 200 | 1,647 | ||||||
Rohm | 22 | 1,684 | ||||||
Shimadzu | 62 | 1,762 | ||||||
TDK | 30 | 3,504 | ||||||
Tokyo Electron | 36 | 9,608 | ||||||
Trend Micro * | 28 | 1,567 | ||||||
88,766 |
Schedule of Investments | October 31, 2020 |
Global X S&P Catholic Values Developed ex-US ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Materials — 1.3% | ||||||||
Asahi Kasei * | 300 | $ | 2,584 | |||||
Kansai Paint | 58 | 1,492 | ||||||
Nippon Paint Holdings | 44 | 3,952 | ||||||
Nippon Sanso Holdings | 48 | 701 | ||||||
Nippon Steel * | 200 | 1,926 | ||||||
Nitto Denko | 36 | 2,517 | ||||||
Shin-Etsu Chemical | 86 | 11,427 | ||||||
Sumitomo Metal Mining | 62 | 1,912 | ||||||
Toray Industries | 400 | 1,800 | ||||||
28,311 | ||||||||
Real Estate — 1.1% | ||||||||
Daiwa House Industry | 200 | 5,233 | ||||||
Hulic | 100 | 924 | ||||||
Japan Real Estate Investment ‡ | 1 | 4,898 | ||||||
Mitsubishi Estate | 308 | 4,578 | ||||||
Mitsui Fudosan | 250 | 4,244 | ||||||
Nippon Building Fund ‡ | 1 | 5,051 | ||||||
Nomura Real Estate Master Fund ‡ | 1 | 1,192 | ||||||
Sumitomo Realty & Development | 106 | 2,826 | ||||||
28,946 | ||||||||
Utilities — 0.4% | ||||||||
Chubu Electric Power | 200 | 2,241 | ||||||
Kansai Electric Power | 200 | 1,819 | ||||||
Osaka Gas | 92 | 1,744 | ||||||
Tokyo Gas | 86 | 1,946 | ||||||
7,750 | ||||||||
TOTAL JAPAN | 895,753 | |||||||
LUXEMBOURG— 0.1% | ||||||||
Communication Services — 0.0% | ||||||||
RTL Group * | 8 | 304 | ||||||
SES, Cl A | 88 | 703 | ||||||
1,007 |
Schedule of Investments | October 31, 2020 |
Global X S&P Catholic Values Developed ex-US ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Materials — 0.1% | ||||||||
ArcelorMittal * | 162 | $ | 2,199 | |||||
TOTAL LUXEMBOURG | 3,206 | |||||||
MACAO— 0.3% | ||||||||
Consumer Discretionary — 0.3% | ||||||||
Galaxy Entertainment Group * | 600 | 3,954 | ||||||
Sands China * | 600 | 2,100 | ||||||
TOTAL MACAO | 6,054 | |||||||
NETHERLANDS— 4.7% | ||||||||
Consumer Staples — 0.9% | ||||||||
Heineken | 98 | 8,699 | ||||||
Koninklijke Ahold Delhaize | 460 | 12,640 | ||||||
21,339 | ||||||||
Energy — 0.9% | ||||||||
Royal Dutch Shell, Cl A | 968 | 12,083 | ||||||
Royal Dutch Shell, Cl B | 877 | 10,535 | ||||||
22,618 | ||||||||
Financials — 0.3% | ||||||||
EXOR | 22 | 1,143 | ||||||
ING Groep * | 862 | 5,883 | ||||||
7,026 | ||||||||
Health Care — 1.2% | ||||||||
Koninklijke Philips * | 628 | 29,170 | ||||||
Information Technology — 1.4% | ||||||||
ASML Holding | 98 | 35,616 | ||||||
TOTAL NETHERLANDS | 115,769 | |||||||
NEW ZEALAND— 0.7% | ||||||||
Communication Services — 0.0% | ||||||||
Spark New Zealand | 418 | 1,240 | ||||||
Consumer Staples — 0.1% | ||||||||
a2 Milk * | 310 | 2,999 | ||||||
Health Care — 0.4% | ||||||||
Fisher & Paykel Healthcare | 382 | 8,836 |
Schedule of Investments | October 31, 2020 |
Global X S&P Catholic Values Developed ex-US ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Health Care — continued | ||||||||
Ryman Healthcare | 276 | $ | 2,554 | |||||
11,390 | ||||||||
Industrials — 0.1% | ||||||||
Auckland International Airport * | 284 | 1,314 | ||||||
Information Technology — 0.1% | ||||||||
Xero * | 24 | 1,856 | ||||||
Utilities — 0.0% | ||||||||
Contact Energy | 158 | 771 | ||||||
Mercury NZ | 138 | 488 | ||||||
Meridian Energy | 278 | 974 | ||||||
2,233 | ||||||||
TOTAL NEW ZEALAND | 21,032 | |||||||
NORWAY— 0.7% | ||||||||
Communication Services — 0.2% | ||||||||
Schibsted, Cl A * | 18 | 733 | ||||||
Schibsted, Cl B * | 24 | 860 | ||||||
Telenor | 148 | 2,279 | ||||||
3,872 | ||||||||
Consumer Staples — 0.3% | ||||||||
Leroy Seafood Group | 118 | 554 | ||||||
Mowi * | 188 | 2,963 | ||||||
Orkla | 340 | 3,204 | ||||||
Salmar * | 22 | 1,111 | ||||||
7,832 | ||||||||
Energy — 0.1% | ||||||||
Aker BP | 24 | 372 | ||||||
Equinor | 244 | 3,095 | ||||||
3,467 | ||||||||
Financials — 0.1% | ||||||||
DnB | 200 | 2,693 | ||||||
Gjensidige Forsikring | 42 | 796 | ||||||
3,489 |
Schedule of Investments | October 31, 2020 |
Global X S&P Catholic Values Developed ex-US ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Financials — 0.0% | ||||||||
Aker, Cl A | 6 | $ | 239 | |||||
Materials — 0.0% | ||||||||
Norsk Hydro * | 308 | 861 | ||||||
TOTAL NORWAY | 19,760 | |||||||
PORTUGAL— 0.2% | ||||||||
Consumer Staples — 0.1% | ||||||||
Jeronimo Martins | 102 | 1,621 | ||||||
Utilities — 0.1% | ||||||||
Energias de Portugal | 566 | 2,790 | ||||||
TOTAL PORTUGAL | 4,411 | |||||||
SINGAPORE— 1.0% | ||||||||
Communication Services — 0.1% | ||||||||
Singapore Telecommunications | 1,800 | 2,676 | ||||||
Consumer Discretionary — 0.0% | ||||||||
Genting Singapore | 1,200 | 567 | ||||||
Financials — 0.7% | ||||||||
City Developments | 100 | 464 | ||||||
DBS Group Holdings | 400 | 5,961 | ||||||
Oversea-Chinese Banking | 900 | 5,550 | ||||||
Singapore Exchange | 200 | 1,268 | ||||||
United Overseas Bank | 410 | 5,702 | ||||||
18,945 | ||||||||
Industrials — 0.2% | ||||||||
Keppel | 400 | 1,286 | ||||||
Singapore Airlines | 400 | 993 | ||||||
Singapore Technologies Engineering | 400 | 1,022 | ||||||
3,301 | ||||||||
Real Estate — 0.0% | ||||||||
Ascendas Real Estate Investment Trust ‡ | 600 | 1,265 | ||||||
CapitaLand | 600 | 1,129 | ||||||
2,394 | ||||||||
TOTAL SINGAPORE | 27,883 |
Schedule of Investments | October 31, 2020 |
Global X S&P Catholic Values Developed ex-US ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
SOUTH AFRICA— 0.3% | ||||||||
Materials — 0.3% | ||||||||
Anglo American | 308 | $ | 7,213 | |||||
SPAIN— 2.0% | ||||||||
Communication Services — 0.2% | ||||||||
Telefonica | 1,256 | 4,105 | ||||||
Consumer Discretionary — 0.3% | ||||||||
Industria de Diseno Textil * | 263 | 6,492 | ||||||
Financials — 0.5% | ||||||||
Banco Bilbao Vizcaya Argentaria * | 1,474 | 4,227 | ||||||
Banco Santander * | 3,674 | 7,322 | ||||||
11,549 | ||||||||
Industrials — 0.1% | ||||||||
Aena SME * | 18 | 2,424 | ||||||
Information Technology — 0.2% | ||||||||
Amadeus IT Group, Cl A | 102 | 4,870 | ||||||
Utilities — 0.7% | ||||||||
Endesa | 70 | 1,876 | ||||||
Iberdrola | 1,342 | 15,828 | ||||||
Naturgy Energy Group | 74 | 1,375 | ||||||
19,079 | ||||||||
TOTAL SPAIN | 48,519 | |||||||
SWEDEN— 3.7% | ||||||||
Communication Services — 0.2% | ||||||||
Tele2, Cl B | 114 | 1,352 | ||||||
Telia | 576 | 2,208 | ||||||
3,560 | ||||||||
Consumer Staples — 0.6% | ||||||||
Essity, Cl B | 254 | 7,359 | ||||||
ICA Gruppen | 38 | 1,799 | ||||||
Swedish Match | 68 | 5,123 | ||||||
14,281 |
Schedule of Investments | October 31, 2020 |
Global X S&P Catholic Values Developed ex-US ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Energy — 0.0% | ||||||||
Lundin Energy | 42 | $ | 802 | |||||
Financials — 0.8% | ||||||||
Equities | 56 | 1,067 | ||||||
Industrivarden, Cl A * | 36 | 968 | ||||||
Industrivarden, Cl C * | 36 | 921 | ||||||
Investor, Cl B * | 100 | 6,004 | ||||||
Kinnevik * | 54 | 2,215 | ||||||
L E Lundbergforetagen, Cl B * | 14 | 630 | ||||||
Skandinaviska Enskilda Banken, Cl A * | 356 | 3,052 | ||||||
Skandinaviska Enskilda Banken, Cl C * | 4 | 37 | ||||||
Svenska Handelsbanken, Cl A * | 336 | 2,722 | ||||||
Svenska Handelsbanken, Cl B * | 8 | 77 | ||||||
Swedbank, Cl A * | 206 | 3,228 | ||||||
20,921 | ||||||||
Industrials — 1.3% | ||||||||
Alfa Laval * | 72 | 1,460 | ||||||
Assa Abloy, Cl B | 236 | 5,064 | ||||||
Atlas Copco, Cl A | 154 | 6,798 | ||||||
Atlas Copco, Cl B | 94 | 3,604 | ||||||
Epiroc, Cl A | 150 | 2,241 | ||||||
Epiroc, Cl B | 94 | 1,348 | ||||||
Investment Latour, Cl B | 30 | 700 | ||||||
Skanska, Cl B | 86 | 1,616 | ||||||
SKF, Cl B | 90 | 1,842 | ||||||
Volvo, Cl B * | 392 | 7,625 | ||||||
32,298 | ||||||||
Information Technology — 0.4% | ||||||||
Hexagon, Cl B | 64 | 4,677 | ||||||
Telefonaktiebolaget LM Ericsson, Cl B | 594 | 6,625 | ||||||
11,302 | ||||||||
Materials — 0.4% | ||||||||
Boliden | 62 | 1,694 | ||||||
Sandvik * | 264 | 4,701 |
Schedule of Investments | October 31, 2020 |
Global X S&P Catholic Values Developed ex-US ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Materials — continued | ||||||||
Svenska Cellulosa, Cl B * | 136 | $ | 1,845 | |||||
8,240 | ||||||||
TOTAL SWEDEN | 91,404 | |||||||
SWITZERLAND— 2.6% | ||||||||
Consumer Discretionary — 0.3% | ||||||||
Cie Financiere Richemont, Cl A | 116 | 7,277 | ||||||
Financials — 0.8% | ||||||||
UBS Group | 901 | 10,464 | ||||||
Zurich Insurance Group | 34 | 11,277 | ||||||
21,741 | ||||||||
Health Care — 0.8% | ||||||||
Alcon * | 337 | 19,156 | ||||||
Industrials — 0.5% | ||||||||
ABB | 460 | 11,167 | ||||||
Information Technology — 0.2% | ||||||||
STMicroelectronics | 148 | 4,512 | ||||||
TOTAL SWITZERLAND | 63,853 | |||||||
UNITED KINGDOM— 7.7% | ||||||||
Communication Services — 0.6% | ||||||||
BT Group, Cl A | 1,994 | 2,614 | ||||||
Vodafone Group | 6,557 | 8,733 | ||||||
WPP | 276 | 2,200 | ||||||
13,547 | ||||||||
Consumer Discretionary — 0.3% | ||||||||
Compass Group * | 398 | 5,429 | ||||||
Fiat Chrysler Automobiles * | 246 | 3,021 | ||||||
8,450 | ||||||||
Consumer Staples — 1.9% | ||||||||
Associated British Foods | 157 | 3,446 | ||||||
Coca-Cola European Partners | 88 | 3,142 | ||||||
Diageo | 980 | 31,666 | ||||||
Tesco | 4,064 | 10,799 | ||||||
49,053 |
Schedule of Investments | October 31, 2020 |
Global X S&P Catholic Values Developed ex-US ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Energy — 0.5% | ||||||||
BP | 4,769 | $ | 12,123 | |||||
Financials — 2.2% | ||||||||
Aviva | 870 | 2,897 | ||||||
Barclays * | 3,604 | 4,966 | ||||||
HSBC Holdings * | 4,825 | 20,248 | ||||||
Legal & General Group | 1,306 | 3,120 | ||||||
Lloyds Banking Group * | 15,516 | 5,622 | ||||||
London Stock Exchange Group | 70 | 7,492 | ||||||
Natwest Group * | 1,016 | 1,632 | ||||||
Prudential | 572 | 6,973 | ||||||
Standard Chartered * | 586 | 2,666 | ||||||
55,616 | ||||||||
Health Care — 0.4% | ||||||||
Smith & Nephew | 592 | 10,230 | ||||||
Industrials — 1.2% | ||||||||
CK Hutchison Holdings | 600 | 3,613 | ||||||
CNH Industrial * | 236 | 1,831 | ||||||
Experian | 218 | 7,940 | ||||||
Ferguson | 56 | 5,591 | ||||||
RELX | 472 | 9,322 | ||||||
28,297 | ||||||||
Utilities — 0.6% | ||||||||
National Grid | 830 | 9,863 | ||||||
SSE | 232 | 3,765 | ||||||
13,628 | ||||||||
TOTAL UNITED KINGDOM | 190,944 | |||||||
UNITED STATES— 0.5% | ||||||||
Communication Services — 0.3% | ||||||||
Spotify Technology * | 28 | 6,717 | ||||||
Information Technology — 0.2% | ||||||||
Atlassian, Cl A * | 28 | 5,365 | ||||||
CyberArk Software * | 8 | 793 | ||||||
6,158 |
Schedule of Investments | October 31, 2020 |
Global X S&P Catholic Values Developed ex-US ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
TOTAL UNITED STATES | $ | 12,875 | ||||||
TOTAL COMMON STOCK | ||||||||
(Cost $2,497,313) | 2,473,633 | |||||||
PREFERRED STOCK — 0.6% | ||||||||
GERMANY— 0.6% | ||||||||
Consumer Discretionary — 0.3% | ||||||||
Bayerische Motoren Werke (A) | 12 | 621 | ||||||
Volkswagen (A) | 40 | 5,829 | ||||||
6,450 | ||||||||
Consumer Staples — 0.3% | ||||||||
Henkel & KGaA (A) | 74 | 7,199 | ||||||
TOTAL GERMANY | 13,649 | |||||||
TOTAL PREFERRED STOCK | ||||||||
(Cost $13,290) | 13,649 | |||||||
TOTAL INVESTMENTS — 99.6% | ||||||||
(Cost $2,510,603) | $ | 2,487,282 |
* | Non-income producing security. |
‡ | Real Estate Investment Trust (REIT) |
(A) | There’s currently no stated interest rate. |
Investments in Securities | Level 1 | Level 2 | Level 3 | Total | ||||||||||||
Common Stock | $ | 2,465,174 | $ | 8,459 | $ | — | $ | 2,473,633 | ||||||||
Preferred Stock | 13,649 | — | — | 13,649 | ||||||||||||
Total Investments in Securities | $ | 2,478,823 | $ | 8,459 | $ | — | $ | 2,487,282 |
Schedule of Investments | October 31, 2020 |
Global X Guru® Index ETF |
Shares | Value | |||||||
COMMON STOCK — 98.1% | ||||||||
ARGENTINA— 2.0% | ||||||||
Consumer Discretionary — 2.0% | ||||||||
MercadoLibre * | 917 | $ | 1,113,284 | |||||
CANADA— 1.8% | ||||||||
Information Technology — 1.8% | ||||||||
Shopify, Cl A * | 1,077 | 996,688 | ||||||
CHINA— 4.7% | ||||||||
Consumer Discretionary — 4.7% | ||||||||
Alibaba Group Holding ADR * | 4,248 | 1,294,323 | ||||||
JD.com ADR * | 16,299 | 1,328,695 | ||||||
TOTAL CHINA | 2,623,018 | |||||||
UNITED KINGDOM— 1.7% | ||||||||
Communication Services — 1.7% | ||||||||
Liberty Global * | 51,698 | 964,685 | ||||||
UNITED STATES— 87.9% | ||||||||
Communication Services — 11.6% | ||||||||
Charter Communications, Cl A * | 1,804 | 1,089,291 |
Schedule of Investments | October 31, 2020 |
Global X Guru® Index ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Communication Services — continued | ||||||||
Liberty Broadband, Cl C * | 7,798 | $ | 1,105,055 | |||||
Netflix * | 2,263 | 1,076,599 | ||||||
New York Times, Cl A | 24,625 | 976,627 | ||||||
Walt Disney | 8,436 | 1,022,865 | ||||||
Zillow Group, Cl C * | 13,682 | 1,212,499 | ||||||
6,482,936 | ||||||||
Consumer Discretionary — 7.3% | ||||||||
Amazon.com * | 343 | 1,041,399 | ||||||
Home Depot | 3,800 | 1,013,498 | ||||||
Lithia Motors, Cl A | 4,102 | 941,696 | ||||||
Lowe’s | 6,907 | 1,091,997 | ||||||
4,088,590 | ||||||||
Consumer Staples — 7.6% | ||||||||
Constellation Brands, Cl A | 6,284 | 1,038,305 | ||||||
Mondelez International, Cl A | 19,385 | 1,029,731 | ||||||
Post Holdings * | 12,573 | 1,080,021 | ||||||
Procter & Gamble | 8,055 | 1,104,341 | ||||||
4,252,398 | ||||||||
Energy — 1.7% | ||||||||
Cheniere Energy * | 20,219 | 967,883 | ||||||
Financials — 5.2% | ||||||||
Arch Capital Group * | 34,361 | 1,038,046 | ||||||
Citigroup | 21,218 | 878,849 | ||||||
S&P Global | 3,056 | 986,263 | ||||||
2,903,158 | ||||||||
Health Care — 11.9% | ||||||||
Alexion Pharmaceuticals * | 10,624 | 1,223,247 | ||||||
Amicus Therapeutics * | 73,215 | 1,305,424 | ||||||
Bausch Health * | 61,071 | 1,007,671 | ||||||
Cigna | 5,990 | 1,000,150 | ||||||
PerkinElmer | 9,124 | 1,182,014 | ||||||
Tenet Healthcare * | 37,490 | 920,005 | ||||||
6,638,511 |
Schedule of Investments | October 31, 2020 |
Global X Guru® Index ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Industrials — 10.4% | ||||||||
CSX | 14,590 | $ | 1,151,735 | |||||
Delta Air Lines * | 38,956 | 1,193,612 | ||||||
Uber Technologies * | 37,030 | 1,237,172 | ||||||
United Airlines Holdings * | 31,727 | 1,074,276 | ||||||
XPO Logistics * | 13,199 | 1,187,910 | ||||||
5,844,705 | ||||||||
Information Technology — 17.5% | ||||||||
Coupa Software * | 3,711 | 993,435 | ||||||
Dell Technologies, Cl C * | 18,288 | 1,102,035 | ||||||
Fidelity National Information Services | 7,577 | 944,018 | ||||||
Leidos Holdings | 11,863 | 984,629 | ||||||
NortonLifeLock | 47,860 | 984,480 | ||||||
PayPal Holdings * | 5,561 | 1,035,069 | ||||||
SolarWinds * | 55,351 | 1,130,821 | ||||||
Twilio, Cl A * | 4,405 | 1,228,863 | ||||||
Zendesk * | 12,487 | 1,385,308 | ||||||
9,788,658 | ||||||||
Materials — 3.7% | ||||||||
Berry Global Group * | 20,129 | 938,615 | ||||||
Sherwin-Williams | 1,626 | 1,118,656 | ||||||
2,057,271 | ||||||||
Real Estate — 5.4% | ||||||||
American Tower, Cl A ‡ | 4,364 | 1,002,193 | ||||||
Apartment Investment & Management, Cl A ‡ * | 29,709 | 947,717 | ||||||
VICI Properties ‡ | 47,517 | 1,090,515 | ||||||
3,040,425 | ||||||||
Utilities — 5.6% | ||||||||
Essential Utilities | 24,386 | 1,004,703 | ||||||
PG&E * | 119,040 | 1,138,023 | ||||||
Vistra Energy | 56,684 | 984,601 | ||||||
3,127,327 |
Schedule of Investments | October 31, 2020 |
Global X Guru® Index ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
TOTAL UNITED STATES | $ | 49,191,862 | ||||||
TOTAL COMMON STOCK | ||||||||
(Cost $49,762,386) | 54,889,537 | |||||||
MASTER LIMITED PARTNERSHIP — 1.7% | ||||||||
Energy — 1.7% | ||||||||
Enterprise Products Partners (A) | ||||||||
(Cost $1,267,312) | 57,765 | 957,166 | ||||||
TOTAL INVESTMENTS — 99.8% | ||||||||
(Cost $51,029,698) | $ | 55,846,703 | ||||||
Percentages are based on Net Assets of $55,961,499. |
* | Non-income producing security. |
‡ | Real Estate Investment Trust |
(A) | Security considered Master Limited Partnership. At October 31, 2020, these securities amounted to $957,166 or 1.7% of Net Assets of the Fund. |
Statements of Assets and Liabilities October 31, 2020 |
Global X Social Media ETF | Global X Lithium & Battery Tech ETF | Global X E- commerce ETF | Global X SuperDividend® ETF | |||||||||||||
Assets: | ||||||||||||||||
Cost of Investments | $ | 153,673,795 | $ | 692,355,343 | $ | 88,187,191 | $ | 695,823,925 | ||||||||
Cost of Repurchase Agreement | 1,697,614 | 33,673,349 | 389,256 | 32,788,906 | ||||||||||||
Cost of Foreign Currency | (1 | ) | 20 | — | 3,449,900 | |||||||||||
Investments, at Value | $ | 227,038,572 | * | $ | 874,948,264 | * | $ | 90,973,301 | * | $ | 629,013,827 | * | ||||
Repurchase Agreement, at Value | 1,697,614 | 33,673,349 | 389,256 | 32,788,906 | ||||||||||||
Cash | 145,176 | 12,846,573 | 166,396 | — | ||||||||||||
Foreign Currency, at Value | — | 20 | — | 3,385,072 | ||||||||||||
Receivable for Investment Securities Sold | 16,529,423 | 79,198,781 | 756,214 | 212,959 | ||||||||||||
Dividend and Interest Receivable | 23,479 | 839,795 | 22,096 | 1,673,557 | ||||||||||||
Unrealized Appreciation on Spot Contracts | 257 | — | — | 95 | ||||||||||||
Reclaim Receivable | — | — | — | 528,526 | ||||||||||||
Due from Broker | 34,438 | — | — | 24,663 | ||||||||||||
Total Assets | 245,468,959 | 1,001,506,782 | 92,307,263 | 667,627,605 | ||||||||||||
Liabilities: | ||||||||||||||||
Obligation to Return Securities Lending Collateral | 1,893,578 | 37,560,427 | 434,190 | 36,573,889 | ||||||||||||
Payable for Investment Securities Purchased | 17,421,983 | 94,516,791 | 752,041 | — | ||||||||||||
Payable due to Investment Adviser | 119,603 | 527,359 | 38,158 | 316,151 | ||||||||||||
Cash Overdraft | — | — | — | 3,866,671 | ||||||||||||
Unrealized Depreciation on Spot Contracts | — | 8,350 | — | — | ||||||||||||
Due to Custodian | — | — | 6 | — | ||||||||||||
Payable for Capital Shares Redeemed | 34,438 | — | — | — | ||||||||||||
Total Liabilities | 19,469,602 | 132,612,927 | 1,224,395 | 40,756,711 | ||||||||||||
Net Assets | $ | 225,999,357 | $ | 868,893,855 | $ | 91,082,868 | $ | 626,870,894 | ||||||||
Net Assets Consist of: | ||||||||||||||||
Paid-in Capital | $ | 184,582,184 | $ | 863,372,686 | $ | 87,633,616 | $ | 1,305,048,203 | ||||||||
Total Distributable Earnings/(Loss) | 41,417,173 | 5,521,169 | 3,449,252 | (678,177,309 | ) | |||||||||||
Net Assets | $ | 225,999,357 | $ | 868,893,855 | $ | 91,082,868 | $ | 626,870,894 | ||||||||
Outstanding Shares of Beneficial Interest | ||||||||||||||||
(unlimited authorization — no par value) | 4,350,000 | 20,274,628 | 3,400,002 | 59,100,000 | ||||||||||||
Net Asset Value, Offering and Redemption Price Per Share | $ | 51.95 | $ | 42.86 | $ | 26.79 | $ | 10.61 | ||||||||
*Includes Market Value of Securities on Loan | $ | 1,548,503 | $ | 35,520,721 | $ | 368,016 | $ | 34,797,029 |
Statements of Assets and Liabilities October 31, 2020 |
Global X SuperDividend® U.S. ETF | Global X MSCI SuperDividend® EAFE ETF | Global X MSCI SuperDividend® Emerging Markets ETF | Global X SuperDividend® REIT ETF | |||||||||||||
Assets: | ||||||||||||||||
Cost of Investments | $ | 431,236,037 | $ | 8,323,486 | $ | 21,285,632 | $ | 386,560,321 | ||||||||
Cost of Repurchase Agreement | 27,303,045 | — | — | 20,784,811 | ||||||||||||
Cost of Foreign Currency | — | — | 46,603 | — | ||||||||||||
Investments, at Value | $ | 413,273,998 | * | $ | 7,433,865 | $ | 20,004,134 | $ | 311,981,805 | * | ||||||
Repurchase Agreement, at Value | 27,303,045 | — | — | 20,784,811 | ||||||||||||
Foreign Currency, at Value | — | — | 36,272 | — | ||||||||||||
Dividend and Interest Receivable | 2,710,659 | 11,735 | 46,215 | 1,202,558 | ||||||||||||
Receivable for Capital Shares Sold | 1,498,524 | — | — | — | ||||||||||||
Reclaim Receivable | 8,115 | 10,535 | — | 4,082 | ||||||||||||
Unrealized Appreciation on Spot Contracts | — | — | 5 | 1,019 | ||||||||||||
Receivable for Investment Securities Sold | — | — | — | 14,108,158 | ||||||||||||
Due from Broker | — | — | — | 753 | ||||||||||||
Total Assets | 444,794,341 | 7,456,135 | 20,086,626 | 348,083,186 | ||||||||||||
Liabilities: | ||||||||||||||||
Obligation to Return Securities Lending Collateral | 30,454,768 | — | — | 23,184,102 | ||||||||||||
Payable for Investment Securities Purchased | 1,497,472 | — | — | 8,969,792 | ||||||||||||
Cash Overdraft | 570,340 | 16,341 | 56,629 | 4,128,515 | ||||||||||||
Payable due to Investment Adviser | 159,860 | 3,678 | 11,268 | 159,945 | ||||||||||||
Accrued Foreign Capital Gains Tax on Appreciated Securities | — | — | 9,115 | — | ||||||||||||
Payable for Income Distributions | — | — | 2,389 | — | ||||||||||||
Unrealized Depreciation on Spot Contracts | — | — | — | 15,657 | ||||||||||||
Due to Broker | 2,333 | — | — | — | ||||||||||||
Total Liabilities | 32,684,773 | 20,019 | 79,401 | 36,458,011 | ||||||||||||
Net Assets | $ | 412,109,568 | $ | 7,436,116 | $ | 20,007,225 | $ | 311,625,175 | ||||||||
Net Assets Consist of: | ||||||||||||||||
Paid-in Capital | $ | 664,450,955 | $ | 10,925,694 | $ | 29,269,942 | $ | 588,578,942 | ||||||||
Total Distributable Loss | (252,341,387 | ) | (3,489,578 | ) | (9,262,717 | ) | (276,953,767 | ) | ||||||||
Net Assets | $ | 412,109,568 | $ | 7,436,116 | $ | 20,007,225 | $ | 311,625,175 | ||||||||
Outstanding Shares of Beneficial Interest | ||||||||||||||||
(unlimited authorization — no par value) | 27,500,000 | 650,000 | 2,100,000 | 41,200,000 | ||||||||||||
Net Asset Value, Offering and Redemption Price Per Share | $ | 14.99 | $ | 11.44 | $ | 9.53 | $ | 7.56 | ||||||||
*Includes Market Value of Securities on Loan | $ | 29,387,834 | $ | — | $ | — | $ | 22,082,244 |
Statements of Assets and Liabilities October 31, 2020 |
Global X NASDAQ 100® Covered Call ETF | Global X S&P 500® Covered Call ETF | Global X Russell 2000 Covered Call ETF | Global X Nasdaq 100 Covered Call & Growth ETF | |||||||||||||
Assets: | ||||||||||||||||
Cost of Investments | $ | 909,185,427 | $ | 96,150,145 | $ | 20,965,997 | $ | 6,686,816 | ||||||||
Investments, at Value | $ | 1,328,299,745 | $ | 104,917,850 | $ | 21,626,173 | $ | 6,575,230 | ||||||||
Cash | 4,443,677 | 309,807 | 58,285 | 2,953 | ||||||||||||
Dividend and Interest Receivable | 189,496 | 104,923 | — | 778 | ||||||||||||
Reclaim Receivable | — | 559 | — | — | ||||||||||||
Due from Broker | — | — | — | 8,837 | ||||||||||||
Total Assets | 1,332,932,918 | 105,333,139 | 21,684,458 | 6,587,798 | ||||||||||||
Liabilities: | ||||||||||||||||
Options written at value(Premiums received $49,975,417, $2,883,608, $736,785 and $98,564 respectively) | 6,581,480 | 1,285,600 | 196,700 | 17,925 | ||||||||||||
Payable due to Investment Adviser | 680,095 | 54,703 | 8,882 | 2,317 | ||||||||||||
Due to Broker | 29,016 | 1,116 | 4,122 | — | ||||||||||||
Total Liabilities | 7,290,591 | 1,341,419 | 209,704 | 20,242 | ||||||||||||
Net Assets | $ | 1,325,642,327 | $ | 103,991,720 | $ | 21,474,754 | $ | 6,567,556 | ||||||||
Net Assets Consist of: | ||||||||||||||||
Paid-in Capital | $ | 1,366,706,340 | $ | 137,080,505 | $ | 22,842,747 | $ | 6,682,159 | ||||||||
Total Distributable Loss | (41,064,013 | ) | (33,088,785 | ) | (1,367,993 | ) | (114,603 | ) | ||||||||
Net Assets | $ | 1,325,642,327 | $ | 103,991,720 | $ | 21,474,754 | $ | 6,567,556 | ||||||||
Outstanding Shares of Beneficial Interest | ||||||||||||||||
(unlimited authorization — no par value) | 64,200,000 | 2,450,000 | 1,050,000 | 250,000 | ||||||||||||
Net Asset Value, Offering and Redemption Price Per Share | $ | 20.65 | $ | 42.45 | $ | 20.45 | $ | 26.27 |
Statements of Assets and Liabilities October 31, 2020 |
Global X S&P 500 Covered Call & Growth ETF | Global X SuperIncome™ Preferred ETF | Global X YieldCo & Renewable Energy Income ETF | Global X S&P 500® Catholic Values ETF | |||||||||||||
Assets: | ||||||||||||||||
Cost of Investments | $ | 3,766,991 | $ | 183,640,177 | $ | 63,017,212 | $ | 328,845,030 | ||||||||
Cost of Repurchase Agreement | — | 863,609 | — | — | ||||||||||||
Cost of Foreign Currency | — | — | 17,172 | — | ||||||||||||
Investments, at Value | $ | 3,705,964 | $ | 183,693,353 | * | $ | 66,012,807 | $ | 378,404,065 | |||||||
Repurchase Agreement, at Value | — | 863,609 | — | — | ||||||||||||
Cash | 4,063 | 75,081 | 113,875 | 427,575 | ||||||||||||
Foreign Currency, at Value | — | — | 17,242 | — | ||||||||||||
Dividend and Interest Receivable | 3,683 | 478,072 | 52,457 | 319,043 | ||||||||||||
Reclaim Receivable | 19 | — | 31,051 | 2,140 | ||||||||||||
Receivable for Capital Shares Sold | — | — | — | 4,032,508 | ||||||||||||
Due from Broker | — | — | 49,988 | — | ||||||||||||
Total Assets | 3,713,729 | 185,110,115 | 66,277,420 | 383,185,331 | ||||||||||||
Liabilities: | ||||||||||||||||
Obligation to Return Securities Lending Collateral | — | 963,300 | — | — | ||||||||||||
Options written at value(Premiums received $50,826, $–, $– and $– respectively) | 7,700 | — | — | — | ||||||||||||
Payable due to Investment Adviser | 1,966 | 91,422 | 34,518 | 96,415 | ||||||||||||
Payable for Investment Securities Purchased | — | — | — | 4,033,709 | ||||||||||||
Unrealized Depreciation on Spot Contracts | — | — | 3 | — | ||||||||||||
Payable for Capital Shares Redeemed | — | — | 50,889 | — | ||||||||||||
Due to Broker | 172 | 40,049 | — | 2,478 | ||||||||||||
Total Liabilities | 9,838 | 1,094,771 | 85,410 | 4,132,602 | ||||||||||||
Net Assets | $ | 3,703,891 | $ | 184,015,344 | $ | 66,192,010 | $ | 379,052,729 | ||||||||
Net Assets Consist of: | ||||||||||||||||
Paid-in Capital | $ | 3,774,141 | $ | 250,234,458 | $ | 64,323,599 | $ | 329,565,633 | ||||||||
Total Distributable Earnings/(Loss) | (70,250 | ) | (66,219,114 | ) | 1,868,411 | 49,487,096 | ||||||||||
Net Assets | $ | 3,703,891 | $ | 184,015,344 | $ | 66,192,010 | $ | 379,052,729 | ||||||||
Outstanding Shares of Beneficial Interest | ||||||||||||||||
(unlimited authorization — no par value) | 150,000 | 16,550,000 | 4,450,000 | 9,400,000 | ||||||||||||
Net Asset Value, Offering and Redemption Price Per Share | $ | 24.69 | $ | 11.12 | $ | 14.87 | $ | 40.32 | ||||||||
*Includes Market Value of Securities on Loan | $ | — | $ | 944,271 | $ | — | $ | — |
Statements of Assets and Liabilities October 31, 2020 |
Global X S&P Catholic Values Developed ex-U.S. ETF | Global X Guru® Index ETF | |||||||
Assets: | ||||||||
Cost of Investments | $ | 2,510,603 | $ | 51,029,698 | ||||
Cost of Foreign Currency | 254 | — | ||||||
Investments, at Value | $ | 2,487,282 | $ | 55,846,703 | ||||
Cash | 3,540 | 104,772 | ||||||
Foreign Currency, at Value | 86 | — | ||||||
Dividend and Interest Receivable | 7,275 | 47,280 | ||||||
Reclaim Receivable | 35 | — | ||||||
Due from Broker | 168 | — | ||||||
Total Assets | 2,498,386 | 55,998,755 | ||||||
Liabilities: | ||||||||
Payable due to Investment Adviser | 777 | 37,256 | ||||||
Total Liabilities | 777 | 37,256 | ||||||
Net Assets | $ | 2,497,609 | $ | 55,961,499 | ||||
Net Assets Consist of: | ||||||||
Paid-in Capital | $ | 2,505,028 | $ | 68,097,673 | ||||
Total Distributable Loss | (7,419 | ) | (12,136,174 | ) | ||||
Net Assets | $ | 2,497,609 | $ | 55,961,499 | ||||
Outstanding Shares of Beneficial Interest | ||||||||
(unlimited authorization — no par value) | 100,000 | 1,500,000 | ||||||
Net Asset Value, Offering and Redemption Price Per Share | $ | 24.98 | $ | 37.31 |
Statements of Operations For the year ended October 31, 2020 |
Global X Social Media ETF | Global X Lithium & Battery Tech ETF | Global X E- commerce ETF | Global X SuperDividend® ETF | |||||||||||||
Investment Income: | ||||||||||||||||
Dividend Income | $ | 495,489 | $ | 7,185,843 | $ | 394,133 | $ | 53,938,261 | ||||||||
Interest Income | 580 | 2,250 | — | 6,027 | ||||||||||||
Security Lending Income | 71,661 | 5,604,871 | 41 | 887,853 | ||||||||||||
Less: Foreign Taxes Withheld | (18,938 | ) | (1,036,013 | ) | (99 | ) | (2,712,685 | ) | ||||||||
Total Investment Income | 548,792 | 11,756,951 | 394,075 | 52,119,456 | ||||||||||||
Supervision and Administration Fees(1) | 966,853 | 4,305,340 | 157,188 | 4,193,913 | ||||||||||||
Custodian Fees(2) | 1,123 | 14,825 | 796 | 71,986 | ||||||||||||
Total Expenses | 967,976 | 4,320,165 | 157,984 | 4,265,899 | ||||||||||||
Net Investment Income (Loss) | (419,184 | ) | 7,436,786 | 236,091 | 47,853,557 | |||||||||||
Net Realized Gain (Loss) on: | ||||||||||||||||
Investments(3) | 2,398,809 | (70,020,887 | ) | 5,004,418 | (331,586,442 | ) | ||||||||||
Foreign Currency Transactions | (10,500 | ) | (938,739 | ) | (203 | ) | (414,498 | ) | ||||||||
Net Realized Gain (Loss) on Investments and Foreign Currency Transactions | 2,388,309 | (70,959,626 | ) | 5,004,215 | (332,000,940 | ) | ||||||||||
Net Change in Unrealized Appreciation (Depreciation) on: | ||||||||||||||||
Investments | 72,141,290 | 380,713,099 | 2,848,383 | (30,898,766 | ) | |||||||||||
Foreign Currency Translations | 420 | (9,550 | ) | — | (333,833 | ) | ||||||||||
Net Change in Unrealized Appreciation (Depreciation) on Investments and Foreign Currency Transactions | 72,141,710 | 380,703,549 | 2,848,383 | (31,232,599 | ) | |||||||||||
Net Realized and Unrealized Gain (Loss) on Investments and Foreign Currency Transactions | 74,530,019 | 309,743,923 | 7,852,598 | (363,233,539 | ) | |||||||||||
Net Increase (Decrease) in Net Assets Resulting from Operations | $ | 74,110,835 | $ | 317,180,709 | $ | 8,088,689 | $ | (315,379,982 | ) |
(1) | The Supervision and Administration fees reflect the supervisory and administrative fee, which includes fees paid by the Funds for the investment advisory services provided by the Adviser. (See Note 3 in Notes to Financial Statements.) |
(2) | See Note 2 in the Notes to Financial Statements. |
(3) | Includes realized gains (losses) as a result of in-kind redemptions. (See Note 4 in Notes to Financial Statements.) |
Statements of Operations For the year ended October 31, 2020 |
Global X Super Dividend® U.S. ETF | Global X MSCI SuperDividend® EAFE ETF | Global X MSCI SuperDividend® Emerging Markets ETF | Global X Super Dividend® REIT ETF | |||||||||||||
Investment Income: | ||||||||||||||||
Dividend Income | $ | 17,236,312 | $ | 508,434 | $ | 1,184,682 | $ | 22,739,798 | ||||||||
Interest Income | 4,679 | 20 | 91 | 2,538 | ||||||||||||
Security Lending Income | 876,821 | — | — | 540,319 | ||||||||||||
Less: Foreign Taxes Withheld | — | (30,348 | ) | (122,826 | ) | (280,459 | ) | |||||||||
Total Investment Income | 18,117,812 | 478,106 | 1,061,947 | 23,002,196 | ||||||||||||
Supervision and Administration Fees(1) | 2,065,363 | 56,865 | 120,981 | 2,106,459 | ||||||||||||
Custodian Fees(2) | 18,132 | 805 | 3,030 | 19,827 | ||||||||||||
Total Expenses | 2,083,495 | 57,670 | 124,011 | 2,126,286 | ||||||||||||
Net Expenses | 2,083,495 | 57,670 | 124,011 | 2,126,286 | ||||||||||||
Net Investment Income | 16,034,317 | 420,436 | 937,936 | 20,875,910 | ||||||||||||
Net Realized Gain (Loss) on: | ||||||||||||||||
Investments(3) | (164,403,700 | ) | (2,839,732 | ) | (4,235,286 | ) | (189,615,463 | ) | ||||||||
Foreign Currency Transactions | — | (10,940 | ) | (4,788 | ) | 7,987 | ||||||||||
Net Realized Loss on Investments and Foreign Currency Transactions | (164,403,700 | ) | (2,850,672 | ) | (4,240,074 | ) | (189,607,476 | ) | ||||||||
Net Change in Unrealized Appreciation (Depreciation) on: | ||||||||||||||||
Investments | (30,409,532 | ) | (1,396,154 | ) | (1,264,782 | ) | (86,953,450 | ) | ||||||||
Foreign Capital Gains Tax on Appreciated Securities | — | — | (6,782 | ) | — | |||||||||||
Foreign Currency Translations | — | (1,527 | ) | (2,198 | ) | 4,618 | ||||||||||
Net Change in Unrealized Depreciation on Investments and Foreign Currency Transactions | (30,409,532 | ) | (1,397,681 | ) | (1,273,762 | ) | (86,948,832 | ) | ||||||||
Net Realized and Unrealized Loss on Investments and Foreign Currency Transactions | (194,813,232 | ) | (4,248,353 | ) | (5,513,836 | ) | (276,556,308 | ) | ||||||||
Net Decrease in Net Assets Resulting from Operations | $ | (178,778,915 | ) | $ | (3,827,917 | ) | $ | (4,575,900 | ) | $ | (255,680,398 | ) |
(1) | The Supervision and Administration fees reflect the supervisory and administrative fee, which includes fees paid by the Funds for the investment advisory services provided by the Adviser. (See Note 3 in Notes to Financial Statements.) |
(2) | See Note 2 in the Notes to Financial Statements. |
(3) | Includes realized gains (losses) as a result of in-kind redemptions. (See Note 4 in Notes to Financial Statements.) |
Statements of Operations For the year ended October 31, 2020 |
Global X NASDAQ 100® Covered Call ETF | Global X S&P 500® Covered Call ETF | Global X Russell 2000 Covered Call ETF | Global X Nasdaq 100 Covered Call & Growth ETF* | |||||||||||||
Investment Income: | ||||||||||||||||
Dividend Income | $ | 9,809,525 | $ | 2,369,465 | $ | 161,169 | $ | 2,245 | ||||||||
Interest Income | — | 5 | 1 | 1 | ||||||||||||
Less: Foreign Taxes Withheld | (9,630 | ) | (233 | ) | — | — | ||||||||||
Total Investment Income | 9,799,895 | 2,369,237 | 161,170 | 2,246 | ||||||||||||
Supervision and Administration Fees(1) | 6,217,544 | 785,946 | 83,391 | 2,712 | ||||||||||||
Custodian Fees(2) | 62,327 | 5,254 | 606 | 2 | ||||||||||||
Broker Fees | 685,951 | 83,752 | 10,238 | — | ||||||||||||
Total Expenses | 6,965,822 | 874,952 | 94,235 | 2,714 | ||||||||||||
Waiver of Supervision and Administration Fees | (506 | ) | (133 | ) | (15,748 | ) | – | |||||||||
Net Expenses | 6,965,316 | 874,819 | 78,487 | 2,714 | ||||||||||||
Net Investment Income (Loss) | 2,834,579 | 1,494,418 | 82,683 | (468 | ) | |||||||||||
Net Realized Gain (Loss) on: | ||||||||||||||||
Investments(3) | 27,173,268 | 13,636,350 | (306,688 | ) | 6,802 | |||||||||||
Written Options | (389,227,489 | ) | (21,982,399 | ) | (1,834,049 | ) | (89,990 | ) | ||||||||
Net Realized Loss on Investments | (362,054,221 | ) | (8,356,049 | ) | (2,140,737 | ) | (83,188 | ) | ||||||||
Net Change in Unrealized Appreciation (Depreciation) on: | ||||||||||||||||
Investments | 298,527,621 | (8,901,132 | ) | 559,474 | (111,586 | ) | ||||||||||
Written Options | 52,215,078 | 1,775,755 | 580,384 | 80,639 | ||||||||||||
Net Change in Unrealized Appreciation (Depreciation) on Investments, Written Options | 350,742,699 | (7,125,377 | ) | 1,139,858 | (30,947 | ) | ||||||||||
Net Realized and Unrealized Loss on Investments, Written Options | (11,311,522 | ) | (15,471,426 | ) | (1,000,879 | ) | (114,135 | ) | ||||||||
Net Decrease in Net Assets Resulting from Operations | $ | (8,476,943 | ) | $ | (13,977,008 | ) | $ | (918,196 | ) | $ | (114,603 | ) |
* | The Fund commenced operations on September 18, 2020. |
(1) | The Supervision and Administration fees reflect the supervisory and administrative fee, which includes fees paid by the Funds for the investment advisory services provided by the Adviser. (See Note 3 in Notes to Financial Statements.) |
(2) | See Note 2 in the Notes to Financial Statements. |
(3) | Includes realized gains (losses) as a result of in-kind redemptions. (See Note 4 in Notes to Financial Statements.) |
Statements of Operations For the year ended October 31, 2020 |
Global X S&P 500 Covered Call & Growth ETF | Global X SuperIncome™ Preferred ETF | Global X YieldCo & Renewable Energy Income ETF | Global X S&P 500® Catholic Values ETF | |||||||||||||
Investment Income: | ||||||||||||||||
Dividend Income | $ | 5,248 | $ | 11,100,234 | $ | 1,844,182 | $ | 5,934,359 | ||||||||
Interest Income | 1 | 60,467 | 124 | 2,422 | ||||||||||||
Security Lending Income | — | 38,069 | — | — | ||||||||||||
Less: Foreign Taxes Withheld | — | — | (261,344 | ) | (25 | ) | ||||||||||
Total Investment Income | 5,249 | 11,198,770 | 1,582,962 | 5,936,756 | ||||||||||||
Supervision and Administration Fees(1) | 2,337 | 1,073,279 | 290,591 | 955,619 | ||||||||||||
Custodian Fees(2) | 1 | 2,510 | 1,645 | 874 | ||||||||||||
Total Expenses | 2,338 | 1,075,789 | 292,236 | 956,493 | ||||||||||||
Net Expenses | 2,338 | 1,075,789 | 292,236 | 956,493 | ||||||||||||
Net Investment Income | 2,911 | 10,122,981 | 1,290,726 | 4,980,263 | ||||||||||||
Net Realized Gain (Loss) on: | ||||||||||||||||
Investments(3) | 2,304 | (9,284,388 | ) | 1,496,284 | 16,852,821 | |||||||||||
Written Options | (54,633 | ) | — | — | — | |||||||||||
Foreign Currency Transactions | — | — | 1,053 | — | ||||||||||||
Net Realized Gain (Loss) on Investments and Foreign Currency Transactions | (52,329 | ) | (9,284,388 | ) | 1,497,337 | 16,852,821 | ||||||||||
Net Change in Unrealized Appreciation (Depreciation) on: | ||||||||||||||||
Investments | (61,027 | ) | (2,761,284 | ) | (95,830 | ) | 13,850,451 | |||||||||
Written Options | 43,126 | — | — | — | ||||||||||||
Foreign Currency Translations | — | — | (852 | ) | — | |||||||||||
Net Change in Unrealized Appreciation (Depreciation) on Investments, Written Options and Foreign Currency Transactions | (17,901 | ) | (2,761,284 | ) | (96,682 | ) | 13,850,451 | |||||||||
Net Realized and Unrealized Gain (Loss) on Investments, Written Options and Foreign Currency Transactions | (70,230 | ) | (12,045,672 | ) | 1,400,655 | 30,703,272 | ||||||||||
Net Increase (Decrease) in Net Assets Resulting from Operations | $ | (67,319 | ) | $ | (1,922,691 | ) | $ | 2,691,381 | $ | 35,683,535 |
* | The Fund commenced operations on September 18, 2020. |
(1) | The Supervision and Administration fees reflect the supervisory and administrative fee, which includes fees paid by the Funds for the investment advisory services provided by the Adviser. (See Note 3 in Notes to Financial Statements.) |
(2) | See Note 2 in the Notes to Financial Statements. |
(3) | Includes realized gains (losses) as a result of in-kind redemptions. (See Note 4 in Notes to Financial Statements.) |
Global X S&P Catholic Values Developed ex- U.S. ETF* | Global X Guru® Index ETF | |||||||
Investment Income: | ||||||||
Dividend Income | $ | 24,877 | $ | 950,585 | ||||
Interest Income | — | 432 | ||||||
Security Lending Income | — | 754 | ||||||
Less: Foreign Taxes Withheld | (2,994 | ) | (4,022 | ) | ||||
Total Investment Income | 21,883 | 947,749 | ||||||
Supervision and Administration Fees(1) | 3,232 | 414,735 | ||||||
Custodian Fees(2) | 4 | 598 | ||||||
Total Expenses | 3,236 | 415,333 | ||||||
Net Investment Income | 18,647 | 532,416 | ||||||
Net Realized Gain (Loss) on: | ||||||||
Investments(3) | (3,086 | ) | 5,774,378 | |||||
Foreign Currency Transactions | 270 | — | ||||||
Net Realized Gain (Loss) on Investments and Foreign Currency Transactions | (2,816 | ) | 5,774,378 | |||||
Net Change in Unrealized Appreciation (Depreciation) on: | ||||||||
Investments | (23,321 | ) | (1,127,648 | ) | ||||
Foreign Currency Translations | 71 | — | ||||||
Net Change in Unrealized Depreciation on Investments and Foreign Currency Transactions | (23,250 | ) | (1,127,648 | ) | ||||
Net Realized and Unrealized Gain (Loss) on Investments and Foreign Currency Transactions | (26,066 | ) | 4,646,730 | |||||
Net Increase (Decrease) in Net Assets Resulting from Operations | $ | (7,419 | ) | $ | 5,179,146 |
* | The Fund commenced operations on June 22, 2020. |
(1) | The Supervision and Administration fees reflect the supervisory and administrative fee, which includes fees paid by the Funds for the investment advisory services provided by the Adviser. (See Note 3 in Notes to Financial Statements.) |
(2) | See Note 2 in the Notes to Financial Statements. |
(3) | Includes realized gains (losses) as a result of in-kind redemptions. (See Note 4 in Notes to Financial Statements.) |
Global X Social Media ETF | Global X Lithium & Battery Tech ETF | |||||||||||||||
Year Ended October 31, 2020 | Year Ended October 31, 2019 | Year Ended October 31, 2020 | Year Ended October 31, 2019 | |||||||||||||
Operations: | ||||||||||||||||
Net Investment Income (Loss) | $ | (419,184 | ) | $ | (438,706 | ) | $ | 7,436,786 | $ | 9,857,030 | ||||||
Net Realized Gain (Loss) on Investments and Foreign Currency Transactions(1) | 2,388,309 | 1,679,999 | (70,959,626 | ) | (33,026,292 | ) | ||||||||||
Net Change in Unrealized Appreciation (Depreciation) on Investments and Foreign Currency Transactions | 72,141,710 | 11,082,048 | 380,703,549 | (69,402,183 | ) | |||||||||||
Net Increase (Decrease) in Net Assets Resulting from Operations | 74,110,835 | 12,323,341 | 317,180,709 | (92,571,445 | ) | |||||||||||
Distributions | — | — | (7,964,116 | ) | (19,555,528 | ) | ||||||||||
Capital Share Transactions: | ||||||||||||||||
Issued | 42,396,781 | 6,158,958 | 192,232,822 | 18,595,520 | ||||||||||||
Redeemed | (11,797,388 | ) | (26,689,127 | ) | (87,679,225 | ) | (190,497,918 | ) | ||||||||
Increase (Decrease) in Net Assets from Capital Share Transactions | 30,599,393 | (20,530,169 | ) | 104,553,597 | (171,902,398 | ) | ||||||||||
Total Increase (Decrease) in Net Assets | 104,710,228 | (8,206,828 | ) | 413,770,190 | (284,029,371 | ) | ||||||||||
Net Assets: | ||||||||||||||||
Beginning of Year | 121,289,129 | 129,495,957 | 455,123,665 | 739,153,036 | ||||||||||||
End of Year | $ | 225,999,357 | $ | 121,289,129 | $ | 868,893,855 | $ | 455,123,665 | ||||||||
Share Transactions: | ||||||||||||||||
Issued | 900,000 | 200,000 | 5,500,000 | 700,000 | ||||||||||||
Redeemed | (350,000 | ) | (850,000 | ) | (3,400,000 | ) | (6,900,000 | ) | ||||||||
Net Increase (Decrease) in Shares Outstanding from Share Transactions | 550,000 | (650,000 | ) | 2,100,000 | (6,200,000 | ) |
(1) | Includes realized gains (losses) as a result of in-kind redemptions. (See Note 4 in Notes to Financial Statements.) |
Global X E-commerce ETF | Global X SuperDividend® ETF | |||||||||||||||
Year Ended October 31, 2020 | Period Ended October 31, 2019(1) | Year Ended October 31, 2020 | Year Ended October 31, 2019 | |||||||||||||
Operations: | ||||||||||||||||
Net Investment Income (Loss) | $ | 236,091 | $ | (6,429 | ) | $ | 47,853,557 | $ | 64,130,890 | |||||||
Net Realized Gain (Loss) on Investments and Foreign Currency Transactions(2) | 5,004,215 | 274,775 | (332,000,940 | ) | (135,671,968 | ) | ||||||||||
Net Change in Unrealized Appreciation (Depreciation) on Investments and Foreign Currency Transactions | 2,848,383 | (62,273 | ) | (31,232,599 | ) | 59,731,560 | ||||||||||
Net Increase (Decrease) in Net Assets Resulting from Operations | 8,088,689 | 206,073 | (315,379,982 | ) | (11,809,518 | ) | ||||||||||
Distributions | (11,908 | ) | — | (57,676,007 | ) | (71,080,700 | ) | |||||||||
Return of Capital | — | — | (6,836,903 | ) | (10,387,010 | ) | ||||||||||
Capital Share Transactions: | ||||||||||||||||
Issued | 92,365,190 | 4,225,143 | 103,937,093 | 166,372,434 | ||||||||||||
Redeemed | (12,875,911 | ) | (914,408 | ) | (29,283,816 | ) | (53,952,618 | ) | ||||||||
Increase in Net Assets from Capital Share Transactions | 79,489,279 | 3,310,735 | 74,653,277 | 112,419,816 | ||||||||||||
Total Increase (Decrease) in Net Assets | 87,566,060 | 3,516,808 | (305,239,615 | ) | 19,142,588 | |||||||||||
Net Assets: | ||||||||||||||||
Beginning of Year | 3,516,808 | — | 932,110,509 | 912,967,921 | ||||||||||||
End of Year | $ | 91,082,868 | $ | 3,516,808 | $ | 626,870,894 | $ | 932,110,509 | ||||||||
Share Transactions: | ||||||||||||||||
Issued | 3,700,000 | 250,002 | 7,900,000 | 9,400,000 | ||||||||||||
Redeemed | (500,000 | ) | (50,000 | ) | (2,850,000 | ) | (3,250,000 | ) | ||||||||
Net Increase in Shares Outstanding from Share Transactions | 3,200,000 | 200,002 | 5,050,000 | 6,150,000 |
(1) | The Fund commenced operations on November 27, 2018 |
(2) | Includes realized gains (losses) as a result of in-kind redemptions. (See Note 4 in Notes to Financial Statements.) |
Global X SuperDividend® U.S. ETF | Global X MSCI SuperDividend® EAFE ETF | |||||||||||||||
Year Ended October 31, 2020 | Year Ended October 31, 2019 | Year Ended October 31, 2020 | Year Ended October 31, 2019 | |||||||||||||
Operations: | ||||||||||||||||
Net Investment Income | $ | 16,034,317 | $ | 22,224,114 | $ | 420,436 | $ | 482,026 | ||||||||
Net Realized Loss on Investments and Foreign Currency Transactions(1) | (164,403,700 | ) | (8,535,081 | ) | (2,850,672 | ) | (83,566 | ) | ||||||||
Net Change in Unrealized Appreciation (Depreciation) on Investments and Foreign Currency Transactions | (30,409,532 | ) | 2,304,041 | (1,397,681 | ) | 1,256,336 | ||||||||||
Net Increase (Decrease) in Net Assets Resulting from Operations | (178,778,915 | ) | 15,993,074 | (3,827,917 | ) | 1,654,796 | ||||||||||
Distributions | (28,896,892 | ) | (29,513,428 | ) | (454,057 | ) | (547,298 | ) | ||||||||
Return of Capital | (9,790,983 | ) | (5,156,842 | ) | (119,148 | ) | — | |||||||||
Capital Share Transactions: | ||||||||||||||||
Issued | 126,598,315 | 163,958,810 | 1,244,166 | 16,548,006 | ||||||||||||
Redeemed | (41,906,406 | ) | (13,708,213 | ) | (7,934,045 | ) | (3,916,333 | ) | ||||||||
Increase (Decrease) in Net Assets from Capital Share Transactions | 84,691,909 | 150,250,597 | (6,689,879 | ) | 12,631,673 | |||||||||||
Total Increase (Decrease) in Net Assets | (132,774,881 | ) | 131,573,401 | (11,091,001 | ) | 13,739,171 | ||||||||||
Net Assets: | ||||||||||||||||
Beginning of Year | 544,884,449 | 413,311,048 | 18,527,117 | 4,787,946 | ||||||||||||
End of Year | $ | 412,109,568 | $ | 544,884,449 | $ | 7,436,116 | $ | 18,527,117 | ||||||||
Share Transactions: | ||||||||||||||||
Issued | 6,850,000 | 7,100,000 | 100,000 | 1,100,000 | ||||||||||||
Redeemed | (2,700,000 | ) | (600,000 | ) | (600,000 | ) | (250,000 | ) | ||||||||
Net Increase (Decrease) in Shares Outstanding from Share Transactions | 4,150,000 | 6,500,000 | (500,000 | ) | 850,000 |
(1) | Includes realized gains (losses) as a result of in-kind redemptions. (See Note 4 in Notes to Financial Statements.) |
Global X MSCI SuperDividend® Emerging Markets ETF | Global X SuperDividend® REIT ETF | |||||||||||||||
Year Ended October 31, 2020 | Year Ended October 31, 2019 | Year Ended October 31, 2020 | Year Ended October 31, 2019 | |||||||||||||
Operations: | ||||||||||||||||
Net Investment Income | $ | 937,936 | $ | 1,151,826 | $ | 20,875,910 | $ | 14,117,753 | ||||||||
Net Realized Gain (Loss) on Investments and Foreign Currency Transactions(1) | (4,240,074 | ) | (1,791,400 | ) | (189,607,476 | ) | 1,195,882 | |||||||||
Net Change in Unrealized Appreciation (Depreciation) on Investments and Foreign Currency Transactions | (1,273,762 | ) | 1,734,662 | (86,948,832 | ) | 14,954,001 | ||||||||||
Net Increase (Decrease) in Net Assets Resulting from Operations | (4,575,900 | ) | 1,095,088 | (255,680,398 | ) | 30,267,636 | ||||||||||
Distributions | (1,074,084 | ) | (1,146,140 | ) | (30,276,922 | ) | (16,433,940 | ) | ||||||||
Return of Capital | (222,316 | ) | — | (2,127,168 | ) | — | ||||||||||
Capital Share Transactions: | ||||||||||||||||
Issued | 8,390,747 | 7,384,916 | 353,909,646 | 232,547,489 | ||||||||||||
Redeemed | — | (2,105,142 | ) | (118,989,550 | ) | — | ||||||||||
Increase in Net Assets from Capital Share Transactions | 8,390,747 | 5,279,774 | 234,920,096 | 232,547,489 | ||||||||||||
Total Increase (Decrease) in Net Assets | 2,518,447 | 5,228,722 | (53,164,392 | ) | 246,381,185 | |||||||||||
Net Assets: | ||||||||||||||||
Beginning of Year | 17,488,778 | 12,260,056 | 364,789,567 | 118,408,382 | ||||||||||||
End of Year | $ | 20,007,225 | $ | 17,488,778 | $ | 311,625,175 | $ | 364,789,567 | ||||||||
Share Transactions: | ||||||||||||||||
Issued | 750,000 | 550,000 | 27,700,000 | 15,700,000 | ||||||||||||
Redeemed | — | (150,000 | ) | (10,300,000 | ) | — | ||||||||||
Net Increase in Shares Outstanding from Share Transactions | 750,000 | 400,000 | 17,400,000 | 15,700,000 |
(1) | Includes realized gains (losses) as a result of in-kind redemptions. (See Note 4 in Notes to Financial Statements.) |
Global X NASDAQ 100® Covered Call ETF | Global X S&P 500® Covered Call ETF | |||||||||||||||
Year Ended October 31, 2020 | Year Ended October 31, 2019 | Year Ended October 31, 2020 | Year Ended October 31, 2019 | |||||||||||||
Operations: | ||||||||||||||||
Net Investment Income | $ | 2,834,579 | $ | 1,351,100 | $ | 1,494,418 | $ | 1,148,589 | ||||||||
Net Realized Loss on Investments(1) | (362,054,221 | ) | (20,251,238 | ) | (8,346,049 | ) | (837,062 | ) | ||||||||
Net Change in Unrealized Appreciation (Depreciation) on Investments , Written Options | 350,742,699 | 73,301,428 | (7,125,377 | ) | 9,025,817 | |||||||||||
Net Increase (Decrease) in Net Assets Resulting from Operations | (8,476,943 | ) | 54,401,290 | (13,977,008 | ) | 9,337,344 | ||||||||||
Distributions | (2,834,579 | ) | (42,482,025 | ) | (1,539,799 | ) | (5,450,400 | ) | ||||||||
Return of Capital | (117,268,361 | ) | (12,331,150 | ) | (7,321,411 | ) | (780,262 | ) | ||||||||
Capital Share Transactions: | ||||||||||||||||
Issued | 751,004,959 | 391,863,250 | 59,320,432 | 64,332,407 | ||||||||||||
Redeemed | (64,819,105 | ) | (18,616,590 | ) | (65,843,588 | ) | (11,786,529 | ) | ||||||||
Increase (Decrease) in Net Assets from Capital Share Transactions | 686,185,854 | 373,246,660 | (6,523,156 | ) | 52,545,878 | |||||||||||
Total Increase (Decrease) in Net Assets | 557,605,971 | 372,834,775 | (29,361,374 | ) | 55,652,560 | |||||||||||
Net Assets: | ||||||||||||||||
Beginning of Year | 768,036,356 | 395,201,581 | 133,353,094 | 77,700,534 | ||||||||||||
End of Year | $ | 1,325,642,327 | $ | 768,036,356 | $ | 103,991,720 | $ | 133,353,094 | ||||||||
Share Transactions: | ||||||||||||||||
Issued | 34,200,000 | 17,250,000 | 1,250,000 | 1,350,000 | ||||||||||||
Redeemed | (3,250,000 | ) | (850,000 | ) | (1,500,000 | ) | (250,000 | ) | ||||||||
Net Increase (Decrease) in Shares Outstanding from Share Transactions | 30,950,000 | 16,400,000 | (250,000 | ) | 1,100,000 |
(1) | Includes realized gains (losses) as a result of in-kind redemptions. (See Note 4 in Notes to Financial Statements.) |
Global X Russell 2000 Covered Call ETF | Global X Nasdaq 100 Covered Call & Growth ETF | |||||||||||
Year Ended October 31, 2020 | Period Ended October 31, 2019(1) | Period Ended October 31, 2020(2) | ||||||||||
Operations: | ||||||||||||
Net Investment Income (Loss) | $ | 82,683 | $ | 18,162 | $ | (468 | ) | |||||
Net Realized Gain (Loss) on Investments(3) | (2,140,737 | ) | 222,010 | (83,188 | ) | |||||||
Net Change in Unrealized Appreciation (Depreciation) on Investments , Written Options | 1,139,858 | 60,403 | (30,947 | ) | ||||||||
Net Increase (Decrease) in Net Assets Resulting from Operations | (918,196 | ) | 300,575 | (114,603 | ) | |||||||
Distributions | (157,338 | ) | (257,580 | ) | — | |||||||
Return of Capital | (1,449,526 | ) | — | (20,955 | ) | |||||||
Capital Share Transactions: | ||||||||||||
Issued | 16,222,704 | 8,790,388 | 6,703,114 | |||||||||
Redeemed | (1,056,273 | ) | — | — | ||||||||
Increase in Net Assets from Capital Share Transactions | 15,166,431 | 8,790,388 | 6,703,114 | |||||||||
Total Increase in Net Assets | 12,641,371 | 8,833,383 | 6,567,556 | |||||||||
Net Assets: | ||||||||||||
Beginning of Year/Period | 8,833,383 | — | — | |||||||||
End of Year/Period | $ | 21,474,754 | $ | 8,833,383 | $ | 6,567,556 | ||||||
Share Transactions: | ||||||||||||
Issued | 750,000 | 350,000 | 249,999 | |||||||||
Redeemed | (50,000 | ) | — | — | ||||||||
Net Increase in Shares Outstanding from Share Transactions | 700,000 | 350,000 | 249,999 |
(1) | The Fund commenced operations on April 17, 2019 |
(2) | The Fund commenced operations on September 18, 2020 |
(3) | Includes realized gains (losses) as a result of in-kind redemptions. (See Note 4 in Notes to Financial Statements.) |
Global X S&P 500 Covered Call & Growth ETF | Global X SuperIncome™ Preferred ETF | |||||||||||
Period Ended October 31, 2020(1) | Year Ended October 31, 2020 | Year Ended October 31, 2019 | ||||||||||
Operations: | ||||||||||||
Net Investment Income | $ | 2,911 | $ | 10,122,981 | $ | 10,751,860 | ||||||
Net Realized Loss on Investments(2) | (52,329 | ) | (9,284,388 | ) | (2,026,921 | ) | ||||||
Net Change in Unrealized Appreciation (Depreciation) on Investments , Written Options | (17,901 | ) | (2,761,284 | ) | 6,821,972 | |||||||
Net Increase (Decrease) in Net Assets Resulting from Operations | (67,319 | ) | (1,922,691 | ) | 15,546,911 | |||||||
Distributions | (2,931 | ) | (10,818,268 | ) | (11,905,843 | ) | ||||||
Return of Capital | (16,682 | ) | (549,532 | ) | (83,858 | ) | ||||||
Capital Share Transactions: | ||||||||||||
Issued | 3,790,823 | 24,650,476 | 35,371,469 | |||||||||
Redeemed | — | (28,436,633 | ) | (23,990,686 | ) | |||||||
Increase (Decrease) in Net Assets from Capital Share Transactions | 3,790,823 | (3,786,157 | ) | 11,380,783 | ||||||||
Total Increase (Decrease) in Net Assets | 3,703,891 | (17,076,648 | ) | 14,937,993 | ||||||||
Net Assets: | ||||||||||||
Beginning of Year/Period | — | 201,091,992 | 186,153,999 | |||||||||
End of Year/Period | $ | 3,703,891 | $ | 184,015,344 | $ | 201,091,992 | ||||||
Share Transactions: | ||||||||||||
Issued | 149,999 | 2,200,000 | 3,050,000 | |||||||||
Redeemed | — | (2,800,000 | ) | (2,100,000 | ) | |||||||
Net Increase (Decrease) in Shares Outstanding from Share Transactions | 149,999 | (600,000 | ) | 950,000 |
(1) | The Fund commenced operations on September 18, 2020 |
(2) | Includes realized gains (losses) as a result of in-kind redemptions. (See Note 4 in Notes to Financial Statements.) |
Global X YieldCo & Renewable Energy Income ETF | Global X S&P 500® Catholic Values ETF | |||||||||||||||
Year Ended October 31, 2020 | Year Ended October 31, 2019 | Year Ended October 31, 2020 | Year Ended October 31, 2019 | |||||||||||||
Operations: | ||||||||||||||||
Net Investment Income | $ | 1,290,726 | $ | 187,149 | $ | 4,980,263 | $ | 3,782,250 | ||||||||
Net Realized Gain on Investments and Foreign Currency Transactions(1) | 1,497,337 | 190,826 | 16,852,821 | 6,721,506 | ||||||||||||
Net Change in Unrealized Appreciation (Depreciation) on Investments and Foreign Currency Transactions | (96,682 | ) | 3,484,245 | 13,850,451 | 21,644,396 | |||||||||||
Net Increase in Net Assets Resulting from Operations | 2,691,381 | 3,862,220 | 35,683,535 | 32,148,152 | ||||||||||||
Distributions | (1,352,385 | ) | (644,590 | ) | (4,642,650 | ) | (4,718,097 | ) | ||||||||
Capital Share Transactions: | ||||||||||||||||
Issued | 43,544,055 | 9,218,950 | 118,264,481 | 126,239,636 | ||||||||||||
Redeemed | (4,895,974 | ) | (1,787,815 | ) | (45,763,409 | ) | (25,948,245 | ) | ||||||||
Increase in Net Assets from Capital Share Transactions | 38,648,081 | 7,431,135 | 72,501,072 | 100,291,391 | ||||||||||||
Total Increase in Net Assets | 39,987,077 | 10,648,765 | 103,541,957 | 127,721,446 | ||||||||||||
Net Assets: | ||||||||||||||||
Beginning of Year | 26,204,933 | 15,556,168 | 275,510,772 | 147,789,326 | ||||||||||||
End of Year | $ | 66,192,010 | $ | 26,204,933 | $ | 379,052,729 | $ | 275,510,772 | ||||||||
Share Transactions: | ||||||||||||||||
Issued | 2,900,000 | 700,000 | 3,150,000 | 3,750,000 | ||||||||||||
Redeemed | (350,000 | ) | (150,000 | ) | (1,150,000 | ) | (750,000 | ) | ||||||||
Net Increase in Shares Outstanding from Share Transactions | 2,550,000 | 550,000 | 2,000,000 | 3,000,000 |
(1) | Includes realized gains (losses) as a result of in-kind redemptions. (See Note 4 in Notes to Financial Statements.) |
Global X S&P Catholic Values Developed ex- U.S. ETF | Global X Guru® Index ETF | |||||||||||
Period Ended October 31, 2020(1) | Year Ended October 31, 2020 | Year Ended October 31, 2019 | ||||||||||
Operations: | ||||||||||||
Net Investment Income | $ | 18,647 | $ | 532,416 | $ | 214,681 | ||||||
Net Realized Gain (Loss) on Investments and Foreign Currency Transactions(2) | (2,816 | ) | 5,774,378 | 1,800,709 | ||||||||
Net Change in Unrealized Appreciation (Depreciation) on Investments and Foreign Currency Transactions | (23,250 | ) | (1,127,648 | ) | 5,386,322 | |||||||
Net Increase (Decrease) in Net Assets Resulting from Operations | (7,419 | ) | 5,179,146 | 7,401,712 | ||||||||
Distributions | — | (538,248 | ) | (310,767 | ) | |||||||
Return of Capital | — | (28,732 | ) | (82,434 | ) | |||||||
Capital Share Transactions: | ||||||||||||
Issued | 2,505,028 | — | 1,570,034 | |||||||||
Redeemed | — | (4,784,665 | ) | (9,624,431 | ) | |||||||
Increase (Decrease) in Net Assets from Capital Share Transactions | 2,505,028 | (4,784,665 | ) | (8,054,397 | ) | |||||||
Total Increase (Decrease) in Net Assets | 2,497,609 | (172,499 | ) | (1,045,886 | ) | |||||||
Net Assets: | ||||||||||||
Beginning of Year/Period | — | 56,133,998 | 57,179,884 | |||||||||
End of Year/Period | $ | 2,497,609 | $ | 55,961,499 | $ | 56,133,998 | ||||||
Share Transactions: | ||||||||||||
Issued | 99,999 | — | 50,000 | |||||||||
Redeemed | — | (150,000 | ) | (300,000 | ) | |||||||
Net Increase (Decrease) in Shares Outstanding from Share Transactions | 99,999 | (150,000 | ) | (250,000 | ) |
(1) | The Fund commenced operations on June 22, 2020 |
(2) | Includes realized gains (losses) as a result of in-kind redemptions. (See Note 4 in Notes to Financial Statements.) |
Net Asset Value, Beginning of Period ($) | Net Investment Income (Loss) ($)* | Net Realized and Unrealized Gain (Loss) on Investments ($) | Total from Operations ($) | Distribution from Net Investment Income ($) | Total from Distributions ($) | |||||||||||||||||||
Global X Social Media ETF | ||||||||||||||||||||||||
2020 | 31.92 | (0.11 | ) | 20.14 | 20.03 | — | — | |||||||||||||||||
2019 | 29.10 | (0.10 | ) | 2.92 | 2.82 | — | — | |||||||||||||||||
2018 | 32.67 | (0.06 | ) | (3.02 | ) | (3.08 | ) | (0.49 | ) | (0.49 | ) | |||||||||||||
2017 | 23.53 | 0.10 | 9.08 | 9.18 | (0.04 | ) | (0.04 | ) | ||||||||||||||||
2016 | 19.29 | 0.02 | 4.22 | 4.24 | *** | |||||||||||||||||||
Global X Lithium & Battery Tech ETF | ||||||||||||||||||||||||
2020 | 25.04 | 0.40 | 17.86 | 18.26 | (0.44 | ) | (0.44 | ) | ||||||||||||||||
2019 | 30.32 | 0.48 | (4.86 | ) | (4.38 | ) | (0.90 | ) | (0.90 | ) | ||||||||||||||
2018 | 39.14 | 0.33 | (7.89 | ) | (7.56 | ) | (1.26 | ) | (1.26 | ) | ||||||||||||||
2017 | 24.02 | 0.33 | 15.31 | 15.64 | (0.52 | ) | (0.52 | ) | ||||||||||||||||
2016 | 20.62 | 0.27 | 3.18 | 3.45 | (0.05 | ) | (0.05 | ) | ||||||||||||||||
Global X E-commerce ETF | ||||||||||||||||||||||||
2020 | 17.58 | 0.19 | 9.05 | 9.24 | (0.03 | ) | (0.03 | ) | ||||||||||||||||
2019(1) | 15.00 | (0.05 | ) | 2.63 | 2.58 | — | — |
Net Asset Value, End of Period ($) | Total Return (%)** | Net Assets End of Period ($)(000) | Ratio of Expenses to Average Net Assets (%) | Ratio of Net Investment Income (Loss) to Average Net Assets (%) | Portfolio Turnover (%)†† | ||||||||||||||||
51.95 | 62.75 | 225,999 | 0.65 | (0.28 | ) | 19.23 | |||||||||||||||
31.92 | 9.69 | 121,289 | 0.65 | (0.33 | ) | 16.92 | |||||||||||||||
29.10 | (9.61 | ) | 129,496 | 0.65 | (0.16 | ) | 21.36 | ||||||||||||||
32.67 | 39.09 | 164,998 | 0.65 | 0.35 | 41.40 | ||||||||||||||||
23.53 | 21.99 | 134,111 | 0.65 | 0.12 | 39.89 | ||||||||||||||||
42.86 | 73.82 | 868,894 | 0.75 | 1.30 | 65.14 | ||||||||||||||||
25.04 | (14.61 | ) | 455,124 | 0.75 | 1.75 | 35.28 | |||||||||||||||
30.32 | (20.01 | ) | 739,153 | 0.75 | 0.96 | 16.48 | |||||||||||||||
39.14 | 66.46 | 950,071 | 0.75 | 1.02 | 68.13 | ||||||||||||||||
24.02 | 16.76 | 112,304 | 0.76 | 1.21 | 44.90 | ||||||||||||||||
26.79 | 52.67 | 91,083 | 0.50 | 0.75 | 42.01 | ||||||||||||||||
17.58 | 17.20 | 3,517 | 0.68 | † | (0.32 | )† | 23.50 |
* | Per share data calculated using average shares method. |
** | Total Return is for the period indicated and has not been annualized. The return shown does not reflect the deduction of taxes that a shareholder would pay on Fund distributions or the redemption of Fund shares. |
*** | Amount rounds to less than $0.00. |
† | Annualized. |
†† | Portfolio turnover rate is for the period indicated and periods of less than one year have not been annualized. Excludes effect of in-kind transfers. |
(1) | The Fund commenced operations on November 27, 2018. |
The accompanying notes are an integral part of the financial statements.
Net Asset Value, Beginning of Period ($) | Net Investment Income ($)* | Net Realized and Unrealized Gain (Loss) on Investments ($) | Total from Operations ($) | Distribution from Net Investment Income ($) | Distribution from Capital Gains ($) | |||||||||||||||||||
Global X SuperDividend® ETF | ||||||||||||||||||||||||
2020 | 17.25 | 0.86 | (6.34 | ) | (5.48 | ) | (1.04 | ) | — | |||||||||||||||
2019 | 19.06 | 1.24 | (1.47 | ) | (0.23 | ) | (1.38 | ) | — | |||||||||||||||
2018 | 21.51 | 1.35 | (2.26 | ) | (0.91 | ) | (1.43 | ) | — | |||||||||||||||
2017 | 20.43 | 1.08 | 1.45 | 2.53 | (1.22 | ) | — | |||||||||||||||||
2016 | 20.65 | 1.15 | 0.08 | 1.23 | (1.30 | ) | — | |||||||||||||||||
Global X SuperDividend® U.S. ETF | ||||||||||||||||||||||||
2020 | 23.34 | 0.62 | (7.45 | ) | (6.83 | ) | (1.14 | ) | — | |||||||||||||||
2019 | 24.53 | 1.12 | (0.56 | ) | 0.56 | (1.49 | ) | — | ||||||||||||||||
2018 | 25.18 | 1.07 | (0.17 | ) | 0.90 | (1.35 | ) | — | ||||||||||||||||
2017 | 24.00 | 0.79# | 1.94 | 2.73 | (0.96 | ) | — | |||||||||||||||||
2016 | 25.23 | 0.92# | (0.40 | ) | 0.52 | (1.07 | ) | — | ||||||||||||||||
Global X MSCI SuperDividend® EAFE ETF | ||||||||||||||||||||||||
2020 | 16.11 | 0.56 | (4.53 | ) | (3.97 | ) | (0.55 | ) | — | |||||||||||||||
2019 | 15.96 | 0.82 | 0.36 | 1.18 | (1.03 | ) | — | |||||||||||||||||
2018 | 18.13 | 1.12 | (2.04 | ) | (0.92 | ) | (1.10 | ) | (0.15 | ) | ||||||||||||||
2017(1) | 14.87 | 0.81 | 3.04 | 3.85 | (0.59 | ) | — |
Return of Capital ($) | Total from Distributions ($) | Net Asset Value, End of Period ($) | Total Return (%)** | Net Assets End of Period ($)(000) | Ratio of Expenses to Average Net Assets (%) | Ratio of Net Investment Income to Average Net Assets (%) | Portfolio Turnover (%)†† | ||||||||||||||||||||||
(0.12 | ) | (1.16 | ) | 10.61 | (32.80 | ) | 626,871 | 0.59 | 6.62 | 124.55 | |||||||||||||||||||
(0.20 | ) | (1.58 | ) | 17.25 | (1.02 | ) | 932,111 | 0.59 | 7.03 | 56.85 | |||||||||||||||||||
(0.11 | ) | (1.54 | ) | 19.06 | (4.65 | ) | 912,968 | 0.59 | 6.48 | 59.48 | |||||||||||||||||||
(0.23 | ) | (1.45 | ) | 21.51 | 12.69 | 992,893 | 0.58 | 5.07 | 67.38 | ||||||||||||||||||||
(0.15 | ) | (1.45 | ) | 20.43 | 6.23 | 801,816 | 0.58 | 5.67 | 39.06 | ||||||||||||||||||||
(0.38 | ) | (1.52 | ) | 14.99 | (30.12 | ) | 412,110 | 0.45 | 3.50 | 93.44 | |||||||||||||||||||
(0.26 | ) | (1.75 | ) | 23.34 | 2.61 | 544,884 | 0.46 | 4.83 | 60.00 | ||||||||||||||||||||
(0.20 | ) | (1.55 | ) | 24.53 | 3.66 | 413,311 | 0.46 | 4.31 | 33.25 | ||||||||||||||||||||
(0.59 | ) | (1.55 | ) | 25.18 | 11.64 | 425,579 | 0.45 | 3.15 | 53.01 | ||||||||||||||||||||
(0.68 | ) | (1.75 | ) | 24.00 | 2.13 | 338,397 | 0.45 | 3.77# | 53.45 | ||||||||||||||||||||
(0.15 | ) | (0.70 | ) | 11.44 | (25.24 | ) | 7,436 | 0.56 | 4.07 | 59.28 | |||||||||||||||||||
— | (1.03 | ) | 16.11 | 7.81 | 18,527 | 0.56 | 5.23 | 29.81 | |||||||||||||||||||||
— | (1.25 | ) | 15.96 | (5.59 | ) | 4,788 | 0.56 | 6.36 | 52.96 | ||||||||||||||||||||
— | (0.59 | ) | 18.13 | 26.19 | 1,813 | 0.56 | † | 4.97 | † | 45.40 |
* | Per share data calculated using average shares method. |
** | Total Return is for the period indicated and has not been annualized. The return shown does not reflect the deduction of taxes that a shareholder would pay on Fund distributions or the redemption of Fund shares. |
# | Effective November 1, 2015, the Fund changed its method for estimating the characterization of amounts distributed by master limited partnerships, which correspondingly impacted the financial highlight ratios and per share disclosures to the extent that the fund recorded investment income that differed from amounts previously estimated. |
† | Annualized. |
†† | Portfolio turnover rate is for the period indicated and periods of less than one year have not been annualized. Excludes effect of in-kind transfers. |
(1) | The Fund commenced operations on November 14, 2016. |
Net Asset Value, Beginning of Period ($) | Net Investment Income ($)* | Net Realized and Unrealized Gain (Loss) on Investments ($) | Total from Operations ($) | Distribution from Net Investment Income ($) | Return of Capital ($) | |||||||||||||||||||
Global X MSCI SuperDividend® Emerging Markets ETF | ||||||||||||||||||||||||
2020 | 12.95 | 0.55 | (3.17 | ) | (2.62 | ) | (0.66 | ) | (0.14 | ) | ||||||||||||||
2019 | 12.91 | 0.87 | 0.05 | 0.92 | (0.88 | ) | — | |||||||||||||||||
2018 | 15.94 | 0.90 | (3.02 | ) | (2.12 | ) | (0.91 | ) | — | |||||||||||||||
2017 | 14.96 | 0.83 | 0.91 | 1.74 | (0.76 | ) | — | |||||||||||||||||
2016 | 13.73 | 0.59 | 1.41 | 2.00 | (0.77 | ) | — | |||||||||||||||||
Global X SuperDividend® REIT ETF | ||||||||||||||||||||||||
2020 | 15.33 | 0.56 | (7.41 | ) | (6.85 | ) | (0.86 | ) | (0.06 | ) | ||||||||||||||
2019 | 14.62 | 0.99 | 0.91 | 1.90 | (1.19 | ) | — | |||||||||||||||||
2018 | 15.29 | 0.92 | (0.28 | ) | 0.64 | (1.31 | ) | — | ||||||||||||||||
2017 | 14.60 | 0.86 | 0.96 | 1.82 | (1.13 | ) | — | |||||||||||||||||
2016 | 13.18 | 0.91 | 1.72 | 2.63 | (1.21 | ) | — |
Total from Distributions ($) | Net Asset Value, End of Period ($) | Total Return (%)** | Net Assets End of Period ($)(000) | Ratio of Expenses to Average Net Assets (%) | Ratio of Net Investment Income to Average Net Assets (%) | Portfolio Turnover (%)†† | |||||||||||||||||||
(0.80 | ) | 9.53 | (21.01 | ) | 20,007 | 0.67 | 5.04 | 93.04 | |||||||||||||||||
(0.88 | ) | 12.95 | 7.14 | 17,489 | 0.66 | 6.51 | 66.65 | ||||||||||||||||||
(0.91 | ) | 12.91 | (14.10 | ) | 12,260 | 0.67 | 5.89 | 79.52 | |||||||||||||||||
(0.76 | ) | 15.94 | 11.95 | 12,748 | 0.66 | 5.25 | 122.32 | ||||||||||||||||||
(0.77 | ) | 14.96 | 15.58 | 3,740 | 0.65 | 4.49 | 64.83 | ||||||||||||||||||
(0.92 | ) | 7.56 | (45.94 | ) | 311,625 | 0.58 | 5.74 | 106.23 | |||||||||||||||||
(1.19 | ) | 15.33 | 13.68 | 364,790 | 0.59 | 6.71 | 34.16 | ||||||||||||||||||
(1.31 | ) | 14.62 | 4.30 | 118,408 | 0.59 | 6.15 | 41.61 | ||||||||||||||||||
(1.13 | ) | 15.29 | 13.00 | 51,986 | 0.58 | 5.74 | 54.96 | ||||||||||||||||||
(1.21 | ) | 14.60 | 21.01 | 34,302 | 0.56 | 6.23 | 16.87 |
* | Per share data calculated using average shares method. |
** | Total Return is for the period indicated and has not been annualized. The return shown does not reflect the deduction of taxes that a shareholder would pay on Fund distributions or the redemption of Fund shares. |
†† | Portfolio turnover rate is for the period indicated and periods of less than one year have not been annualized. Excludes effect of in-kind transfers. |
Net Asset Value, Beginning of Period ($) | Net Investment Income ($)* | Net Realized and Unrealized Gain (Loss) on Investments ($) | Total from Operations ($) | Distribution from Net Investment Income ($) | Distribution from Capital Gains ($) | |||||||||||||||||||
Global X NASDAQ 100® Covered Call ETF(1) | ||||||||||||||||||||||||
2020 | 23.10 | 0.06 | (0.06 | ) | — | (0.06 | ) | — | ||||||||||||||||
2019 | 23.45 | 0.06 | 1.95 | 2.01 | (1.83 | ) | — | |||||||||||||||||
2018 | 24.30 | 0.07 | 1.71 | 1.78 | (0.87 | ) | (0.11 | ) | ||||||||||||||||
2017 | 22.06 | 0.12 | 3.93 | 4.05 | (1.81 | ) | — | |||||||||||||||||
2016 | 23.51 | 0.15 | 0.53 | 0.68 | (1.06 | ) | — | |||||||||||||||||
Global X S&P 500® Covered Call ETF(1) | ||||||||||||||||||||||||
2020 | 49.39 | 0.56 | (4.17 | ) | (3.61 | ) | (0.58 | ) | — | |||||||||||||||
2019 | 48.56 | 0.56 | 3.30 | 3.86 | (2.27 | ) | (0.39 | ) | ||||||||||||||||
2018 | 50.10 | 0.62 | 1.88 | 2.50 | (0.22 | ) | (1.22 | ) | ||||||||||||||||
2017(5) | 47.62 | 0.34 | 2.67 | 3.01 | (0.53 | ) | — | |||||||||||||||||
2017(6) | 43.11 | 0.66 | 5.39 | 6.05 | (1.54 | ) | — | |||||||||||||||||
2016(6) | 45.39 | 0.70 | (0.90 | ) | (0.20 | ) | (1.50 | ) | — |
Return of Capital ($) | Total from Distributions ($) | Net Asset Value, End of Period ($) | Total Return (%)** | Net Assets End of Period ($)(000) | Ratio of Expenses to Average Net Assets (%) | Ratio of Net Investment Income to Average Net Assets (%) | Portfolio Turnover (%)†† | ||||||||||||||||||||||
(2.39 | ) | (2.45 | ) | 20.65 | 0.21 | 1,325,642 | 0.67 | (2) | 0.27 | 27.87 | |||||||||||||||||||
(0.53 | ) | (2.36 | ) | 23.10 | 9.39 | 768,036 | 0.85 | (2) | 0.26 | 11.82 | |||||||||||||||||||
(1.65 | ) | (2.63 | ) | 23.45 | 7.44 | 395,202 | 0.68 | (3) | 0.30 | 15.00 | |||||||||||||||||||
— | (1.81 | ) | 24.30 | 19.04 | 157,980 | 0.60 | 0.53 | 4.00 | |||||||||||||||||||||
(1.07 | ) | (2.13 | ) | 22.06 | 3.32 | 52,952 | 0.60 | 0.69 | 9.00 | ||||||||||||||||||||
(2.75 | ) | (3.33 | ) | 42.45 | (7.42 | ) | 103,992 | 0.71 | (4) | 1.22 | 7.29 | ||||||||||||||||||
(0.37 | ) | (3.03 | ) | 49.39 | 8.40 | 133,353 | 0.87 | (4) | 1.16 | 3.92 | |||||||||||||||||||
(2.60 | ) | (4.04 | ) | 48.56 | 4.97 | 77,701 | 0.65 | 1.22 | 4.00 | ||||||||||||||||||||
— | (0.53 | ) | 50.10 | 6.35 | 62,628 | 0.65 | † | 1.39 | † | 8.00 | |||||||||||||||||||
— | (1.54 | ) | 47.62 | 14.29 | 64,413 | 0.65 | 1.46 | 21.00 | |||||||||||||||||||||
(0.58 | ) | (2.08 | ) | 43.11 | (0.29 | ) | 60,459 | 0.65 | 1.61 | 7.00 |
* | Per share data calculated using average shares method. |
** | Total Return is for the period indicated and has not been annualized. The return shown does not reflect the deduction of taxes that a shareholder would pay on Fund distributions or the redemption of Fund shares. |
† | Annualized. |
†† | Portfolio turnover rate is for the period indicated and periods of less than one year have not been annualized. Excludes effect of in-kind transfers. |
(1) | The financial statements include the financial information of the Predecessor Funds through December 21, 2018 (See Note 1 in Notes to Financial Statements). As a result of the Reorganization, the Fund assumed the performance and accounting history of the Predecessor Fund. Accordingly, performance figures for the Fund for periods prior to the date of the Reorganization represent the performance of the Predecessor Fund. |
(2) | Excluding broker fees on written options, the ratio of expenses to average net assets would have been 0.60% and 0.60% for the year ended October 31, 2020 and October 31, 2019, respectively. The ratio of Expenses to Average Net Assets includes the effect of a waiver. If these offsets were excluded, the ratio would have been 0.60% and 0.60% for the year ended October 31, 2020 and year ended October 31, 2019. |
(3) | Includes excise tax. If this excise expense was not included, the ratio would have been 0.60%. |
(4) | Excluding broker fees on written options, the ratio of expenses to average net assets would have been 0.64% and 0.65% for the year ended October 31, 2020 and year ended October 31, 2019, respectively The ratio of Expenses to Average Net Assets includes the effect of a waiver. If these offsets were excluded, the ratio would have been 0.64% and 0.65% for the year ended October 31, 2020 and year ended October 31, 2019. |
(5) | Effective October 31, 2017, the Predecessor Fund changed its fiscal year end from April 30 to October 31. The information presented is from May 1, 2017 through October 31, 2017. |
(6) | For the year or period end from April 30. |
Net Asset Value, Beginning of Period ($) | Net Investment Income ($)* | Net Realized and Unrealized Gain (Loss) on Investments ($) | Total from Operations ($) | Distribution from Net Investment Income ($) | Distribution from Capital Gains ($) | |||||||||||||||||||
Global X Russell 2000 Covered Call ETF | ||||||||||||||||||||||||
2020 | 25.24 | 0.12 | (2.51 | ) | (2.39 | ) | (0.11 | ) | (0.17 | ) | ||||||||||||||
2019(1) | 25.00 | 0.09 | 1.37 | 1.46 | (1.22 | ) | — | |||||||||||||||||
Global X Nasdaq 100 Covered Call & Growth ETF | ||||||||||||||||||||||||
2020(2) | 26.30 | — | 0.11 | 0.11 | — | — | ||||||||||||||||||
Global X S&P 500 Covered Call & Growth ETF) | ||||||||||||||||||||||||
2020(2) | 25.22 | 0.02 | (0.41 | ) | (0.41 | ) | (0 .02 | ) | — |
Return of Capital ($) | Total from Distributions ($) | Net Asset Value, End of Period ($) | Total Return (%)** | Net Assets End of Period ($)(000) | Ratio of Expenses to Average Net Assets (%) | Ratio of Net Investment Income (Loss) to Average Net Assets (%) | Portfolio Turnover (%)†† | ||||||||||||||||||||||
(2.12 | ) | (2.40 | ) | 20.45 | (9.18 | ) | 21,475 | 0.56# | 0.68 | 11.16 | |||||||||||||||||||
— | (1.22 | ) | 25.24 | 5.99 | 8,833 | 0.82 | †# | 0.68 | † | 5.82 | |||||||||||||||||||
(0.14 | ) | (0.14 | ) | 26.27 | 0.40 | 6,568 | 0.60 | † | (0.10 | )† | 1.65 | ||||||||||||||||||
(0.12 | ) | (0.14 | ) | 24.69 | (1.60 | ) | 3,704 | 0.60 | † | 0.75 | † | 0.75 |
* | Per share data calculated using average shares method. |
** | Total Return is for the period indicated and has not been annualized. The return shown does not reflect the deduction of taxes that a shareholder would pay on Fund distributions or the redemption of Fund shares. |
† | Annualized. |
†† | Portfolio turnover rate is for the period indicated and periods of less than one year have not been annualized. Excludes effect of in-kind transfers. |
# | Excluding broker fees on written options, the ratio of expenses to average net assets would have been 0.60% and 0.60% for the year ended October 31, 2020 and period ended October 31, 2019, respectively. The ratio of Expenses to Average Net Assets includes the effect of a waiver. If these offsets were excluded, the ratio would have been 0.68% and 0.97% for the year ended October 31, 2020 and period ended October 31, 2019, respectively. |
(1) | The Fund commenced operations on April 17, 2019. |
(2) | The Fund commenced operations on September 18, 2020. |
Net Asset Value, Beginning of Period ($) | Net Investment Income ($)* | Net Realized and Unrealized Gain (Loss) on Investments ($) | Total from Operations ($) | Distribution from Net Investment Income ($) | Return of Capital ($) | |||||||||||||||||||
Global X SuperIncome™ Preferred ETF | ||||||||||||||||||||||||
2020 | 11.73 | 0.60 | (0.53 | ) | 0.07 | (0.65 | ) | (0.03 | ) | |||||||||||||||
2019 | 11.49 | 0.66 | 0.32 | 0.98 | (0.73 | ) | (0.01 | ) | ||||||||||||||||
2018 | 12.44 | 0.78 | (0.88 | ) | (0.10 | ) | (0.85 | ) | — | |||||||||||||||
2017 | 13.16 | 0.82 | (0.65 | ) | 0.17 | (0.85 | ) | (0.04 | ) | |||||||||||||||
2016 | 13.49 | 0.91 | (0.33 | ) | 0.58 | (0.91 | ) | — | ||||||||||||||||
Global X YieldCo & Renewable Energy Income ETF | ||||||||||||||||||||||||
2020 | 13.79 | 0.41 | 1.13 | 1.54 | (0.46 | ) | — | |||||||||||||||||
2019 | 11.52 | 0.13 | 2.61 | 2.74 | (0.47 | ) | — | |||||||||||||||||
2018 | 12.53 | 0.37 | (0.80 | ) | (0.43 | ) | (0.50 | ) | (0.08 | ) | ||||||||||||||
2017 | 11.16 | 0.28# | 1.59 | 1.87 | (0.50 | ) | — | |||||||||||||||||
2016 | 11.06 | 0.41# | 0.35 | 0.76 | (0.48 | ) | (0.18 | ) |
Total from Distributions ($) | Net Asset Value, End of Period ($) | Total Return (%)** | Net Assets End of Period ($)(000) | Ratio of Expenses to Average Net Assets (%) | Ratio of Net Investment Income to Average Net Assets (%) | Portfolio Turnover (%)†† | |||||||||||||||||||
(0.68 | ) | 11.12 | 0.81 | 184,015 | 0.58 | 5.47 | 67.65 | ||||||||||||||||||
(0.74 | ) | 11.73 | 8.87 | 201,092 | 0.58 | 5.72 | 55.98 | ||||||||||||||||||
(0.85 | ) | 11.49 | (0.87 | ) | 186,154 | 0.58 | 6.48 | 105.48 | |||||||||||||||||
(0.89 | ) | 12.44 | 1.31 | 236,331 | 0.58 | 6.39 | 45.12 | ||||||||||||||||||
(0.91 | ) | 13.16 | 4.44 | 232,206 | 0.58 | 6.81 | 47.62 | ||||||||||||||||||
(0.46 | ) | 14.87 | 11.39 | 66,192 | 0.65 | 2.89 | 29.27 | ||||||||||||||||||
(0.47 | ) | 13.79 | 24.34 | 26,205 | 0.65 | 1.01 | 87.06 | ||||||||||||||||||
(0.58 | ) | 11.52 | (3.50 | ) | 15,556 | 0.65 | 3.07 | 33.50 | |||||||||||||||||
(0.50 | ) | 12.53 | 17.30 | 20,046 | 0.65 | 2.37# | 25.99 | ||||||||||||||||||
(0.66 | ) | 11.16 | 7.25 | 6,695 | 0.66 | 3.78# | 40.25 |
* | Per share data calculated using average shares method. |
** | Total Return is for the period indicated and has not been annualized. The return shown does not reflect the deduction of taxes that a shareholder would pay on Fund distributions or the redemption of Fund shares. |
# | Effective November 1, 2015, the Fund changed its method for estimating the characterization of amounts distributed by master limited partnerships, which correspondingly impacted the financial highlight ratios and per share disclosures to the extent that the fund recorded investment income that differed from amounts previously estimated. |
†† | Portfolio turnover rate is for the period indicated and periods of less than one year have not been annualized. Excludes effect of in-kind transfers. |
Net Asset Value, Beginning of Period ($) | Net Investment Income ($)* | Net Realized and Unrealized Gain (Loss) on Investments ($) | Total from Operations ($) | Distribution from Net Investment Income ($) | Distribution from Capital Gains ($) | |||||||||||||||||||
Global X S&P 500® Catholic Values ETF | ||||||||||||||||||||||||
2020 | 37.23 | 0.58 | 3.08 | 3.66 | (0.55 | ) | (0.02 | ) | ||||||||||||||||
2019 | 33.59 | 0.58 | 3.92 | 4.50 | (0.81 | ) | (0.05 | ) | ||||||||||||||||
2018 | 31.83 | 0.58 | 1.60 | 2.18 | (0.41 | ) | (0.01 | ) | ||||||||||||||||
2017 | 25.74 | 0.48 | 5.74 | 6.22 | (0.13 | ) | *** | |||||||||||||||||
2016(1) | 25.14 | 0.24 | 0.36 | 0.60 | — | — | ||||||||||||||||||
Global X S&P Catholic Values Developed ex-U.S. ETF | ||||||||||||||||||||||||
2020(2) | 25.05 | 0.19 | (0.26 | ) | (0.07 | ) | — | — | ||||||||||||||||
Global X Guru® Index ETF | ||||||||||||||||||||||||
2020 | 34.02 | 0.33 | 3.32 | 3.65 | (0.34 | ) | — | |||||||||||||||||
2019 | 30.09 | 0.12 | 4.02 | 4.14 | (0.17 | ) | — | |||||||||||||||||
2018 | 28.70 | 0.11 | 1.44 | 1.55 | (0.16 | ) | — | |||||||||||||||||
2017 | 23.14 | 0.14# | 5.47 | 5.61 | (0.05 | ) | — | |||||||||||||||||
2016 | 23.96 | 0.12# | (0.83 | ) | (0.71 | ) | (0.09 | ) | — |
Return of Capital ($) | Total from Distributions ($) | Net Asset Value, End of Period ($) | Total Return (%)** | Net Assets End of Period ($)(000) | Ratio of Expenses to Average Net Assets (%) | Ratio of Net Investment Income to Average Net Assets (%) | Portfolio Turnover (%)†† | ||||||||||||||||||||||
— | (0.57 | ) | 40.32 | 9.89 | 379,053 | 0.29 | 1.51 | 5.55 | |||||||||||||||||||||
— | (0.86 | ) | 37.23 | 13.86 | 275,511 | 0.29 | 1.66 | 8.54 | |||||||||||||||||||||
— | (0.42 | ) | 33.59 | 6.86 | 147,789 | 0 .29@ | 1.72 | 4.33 | |||||||||||||||||||||
— | (0.13 | ) | 31.83 | 24.27 | 114,581 | 0 .29@ | 1.64 | 6.09 | |||||||||||||||||||||
— | — | 25.74 | 2.39 | 39,899 | 0 .29@† | 1.75 | † | 2.80 | |||||||||||||||||||||
— | — | 24.98 | (0.28 | ) | 2,498 | 0.35 | † | 2.02 | † | 4.04 | |||||||||||||||||||
(0.02 | ) | (0.36 | ) | 37.31 | 10.84 | 55,961 | 0.75 | 0.96 | 124.90 | ||||||||||||||||||||
(0.04 | ) | (0.21 | ) | 34.02 | 13.90 | 56,134 | 0.75 | 0.38 | 126.44 | ||||||||||||||||||||
— | (0.16 | ) | 30.09 | 5.40 | 57,180 | 0.75 | 0.36 | 112.64 | |||||||||||||||||||||
— | (0.05 | ) | 28.70 | 24.30 | 55,956 | 0.75 | 0.54# | 94.71 | |||||||||||||||||||||
(0.02 | ) | (0.11 | ) | 23.14 | (2.97 | ) | 59,013 | 0.75 | 0.52# | 102.07 |
@ | The ratio of Expenses to Average Net Assets includes the effect of a waiver. If these offsets were excluded, the ratio would have been 0.39% for the Global X S&P 500® Catholic Values ETF. |
* | Per share data calculated using average shares method. |
** | Total Return is for the period indicated and has not been annualized. The return shown does not reflect the deduction of taxes that a shareholder would pay on Fund distributions or the redemption of Fund shares. |
*** | Amount rounds to less than $0.00. |
# | Effective November 1, 2015, the Fund changed its method for estimating the characterization of amounts distributed by master limited partnerships, which correspondingly impacted the financial highlight ratios and per share disclosures to the extent that the fund recorded investment income that differed from amounts previously estimated. |
† | Annualized. |
†† | Portfolio turnover rate is for the period indicated and periods of less than one year have not been annualized. Excludes effect of in-kind transfers. |
(1) | The Fund commenced operations on April 18, 2016. |
(2) | The Fund commenced operations on June 22, 2020. |
Notes to Financial Statements October 31, 2020 |
1. ORGANIZATION
Notes to Financial Statements (CONTINUED) October 31, 2020 |
Notes to Financial Statements (CONTINUED) October 31, 2020 |
The general partner typically controls the operations and management of the MLP through an up to 2% equity interest in the MLP plus, in many cases, ownership of common units and subordinated units.
Notes to Financial Statements (CONTINUED) October 31, 2020 |
Notes to Financial Statements (CONTINUED) October 31, 2020 |
Notes to Financial Statements (CONTINUED) October 31, 2020 |
Repurchase Agreements | Fair Value of Non-cash Collateral Received(1) | Cash Collateral Received | Net Amount(2) | |||||||||||||
Global X Social Media ETF | �� | |||||||||||||||
BNP Paribas | $ | 1,697,614 | $ | 1,697,614 | $ | - | $ | - | ||||||||
Global X Lithium & Battery Tech ETF | ||||||||||||||||
BNP Paribas | 33,673,349 | 33,673,349 | - | - | ||||||||||||
Global X E-commerce ETF | ||||||||||||||||
BNP Paribas | 389,256 | 389,256 | - | - | ||||||||||||
Global X SuperDividend® ETF | ||||||||||||||||
BNP Paribas | 32,788,906 | 32,788,906 | - | - | ||||||||||||
Global X SuperDividend® U.S. ETF | ||||||||||||||||
BNP Paribas | 27,303,045 | 27,303,045 | - | - | ||||||||||||
Global X SuperDividend® REIT ETF | ||||||||||||||||
BNP Paribas | 20,784,811 | 20,784,811 | - | - | ||||||||||||
Global X SuperIncome™ Preferred ETF | ||||||||||||||||
BNP Paribas | 863,609 | 863,609 | - | - |
(1) Excess collateral received is not presented in the table above. Please refer to the Schedules of Investments for the market value of the collateral received for each Fund. | |||||||||
(2 )Net Amount represents the net amount receivable due from the counterparty in the event of default. |
Notes to Financial Statements (CONTINUED) October 31, 2020 |
Notes to Financial Statements (CONTINUED) October 31, 2020 |
Creation Unit Shares | Creation Fee | Value at October 31, 2020 | Redemption Fee | |||||||||||||
Global X Social Media ETF | 50,000 | $ | 300 | $ | 2,597,500 | $ | 300 | |||||||||
Global X Lithium & Battery Tech ETF | 50,000 | 1,000 | 2,143,000 | 1,000 | ||||||||||||
Global X E-commerce ETF | 50,000 | 500 | 1,339,500 | 500 | ||||||||||||
Global X SuperDividend® ETF | 50,000 | 2,000 | 530,500 | 2,000 | ||||||||||||
Global X SuperDividend® U.S. ETF | 50,000 | 250 | 749,500 | 250 | ||||||||||||
Global X MSCI SuperDividend® EAFE ETF | 50,000 | 1,000 | 572,000 | 1,000 | ||||||||||||
Global X MSCI SuperDividend® Emerging Markets ETF | 50,000 | 3,000 | 476,500 | 3,000 | ||||||||||||
Global X SuperDividend® REIT ETF | 50,000 | 250 | 378,000 | 250 | ||||||||||||
Global X NASDAQ 100® Covered Call ETF | 50,000 | 500 | 1,032,500 | 500 | ||||||||||||
Global X S&P 500® Covered Call ETF | 50,000 | 2,000 | 2,122,500 | 2,000 | ||||||||||||
Global X Russell 2000® Covered Call ETF | 50,000 | 250 | 1,022,500 | 250 | ||||||||||||
Global X Nasdaq 100 Covered Call & Growth ETF | 50,000 | 500 | 1,313,500 | 500 | ||||||||||||
Global X S&P 500 Covered Call & Growth ETF | 50,000 | 2,000 | 1,234,500 | 2,000 | ||||||||||||
Global X SuperIncome™ Preferred ETF | 50,000 | 300 | 556,000 | 300 | ||||||||||||
Global X YieldCo & Renewable Energy Income ETF | 50,000 | 500 | 743,500 | 500 | ||||||||||||
Global X S&P 500® Catholic Values ETF | 50,000 | 1,300 | 2,016,000 | 1,300 | ||||||||||||
Global X S&P Catholic Values Developed ex-U.S. ETF | 50,000 | 8,900 | 1,249,000 | 8,900 | ||||||||||||
Global X Guru® Index ETF | 50,000 | 250 | 1,865,500 | 250 |
Notes to Financial Statements (CONTINUED) October 31, 2020 |
Supervision and | ||||
Administration Fee | ||||
Global X Social Media ETF | 0.65% | |||
Global X Lithium & Battery Tech ETF | 0.75% | |||
Global X E-commerce ETF* | 0.50% | |||
Global X SuperDividend® ETF | 0.58% | |||
Global X SuperDividend® U.S. ETF | 0.45% |
Notes to Financial Statements (CONTINUED) October 31, 2020 |
Supervision and | ||||
Administration Fee | ||||
Global X MSCI SuperDividend® EAFE ETF | 0.55% | |||
Global X MSCI SuperDividend® Emerging Markets ETF | 0.65% | |||
Global X SuperDividend® REIT ETF | 0.58% | |||
Global X NASDAQ 100® Covered Call ETF** | 0.60% | |||
Global X S&P 500® Covered Call ETF***,**** | 0.60% | |||
Global X Russell 2000® Covered Call ETF***** | 0.60% | |||
Global X Nasdaq 100 Covered Call & Growth ETF | 0.60% | |||
Global X S&P 500 Covered Call & Growth ETF | 0.60% | |||
Global X SuperIncomeTM Preferred ETF | 0.58% | |||
Global X YieldCo & Renewable Energy Income ETF | 0.65% | |||
Global X S&P 500® Catholic Values ETF****** | 0.29% | |||
Global X S&P Catholic Values Developed ex-U.S. ETF | 0.35% | |||
Global X Guru® Index ETF | 0.75% |
Notes to Financial Statements (CONTINUED) October 31, 2020 |
Notes to Financial Statements (CONTINUED) October 31, 2020 |
Purchases | Sales and Maturities | |||||||
Global X Social Media ETF | $ | 37,436,925 | $ | 28,985,604 | ||||
Global X Lithium & Battery Tech ETF | 447,998,198 | 373,743,354 | ||||||
Global X E-commerce ETF | 14,024,158 | 13,723,564 | ||||||
Global X SuperDividend® ETF | 902,657,543 | 898,828,974 | ||||||
Global X SuperDividend® U.S. ETF | 429,090,172 | 454,474,323 | ||||||
Global X MSCI SuperDividend® EAFE ETF | 6,237,058 | 6,389,700 | ||||||
Global X MSCI SuperDividend® Emerging Markets ETF | 21,364,841 | 16,992,225 | ||||||
Global X SuperDividend® REIT ETF | 379,581,084 | 388,219,228 | ||||||
Global X NASDAQ 100® Covered Call ETF | 297,446,610 | 794,961,628 | ||||||
Global X S&P 500® Covered Call ETF | 8,987,383 | 36,809,320 |
Notes to Financial Statements (CONTINUED) October 31, 2020 |
Purchases | Sales and Maturities | |||||||
Global X Russell 2000® Covered Call ETF | 1,610,054 | 4,996,962 | ||||||
Global X Nasdaq 100 Covered Call & Growth ETF | 88,846 | 162,737 | ||||||
Global X S&P 500 Covered Call & Growth ETF | 28,352 | 63,449 | ||||||
Global X SuperIncome™ Preferred ETF | 125,346,864 | 125,817,792 | ||||||
Global X YieldCo & Renewable Energy Income ETF | 21,362,262 | 13,012,039 | ||||||
Global X S&P 500® Catholic Values ETF | 18,800,560 | 18,158,127 | ||||||
Global X S&P Catholic Values Developed ex-U.S. ETF | 114,671 | 102,889 | ||||||
Global X Guru® Index ETF | 68,562,514 | 68,595,889 |
Purchases | Sales and Maturities | Realized Gain/(Loss) | ||||||||||
Global X Social Media ETF | $ | 33,340,357 | $ | 10,559,714 | $ | 1,966,522 | ||||||
Global X Lithium & Battery Tech ETF | 104,208,945 | 62,679,799 | 3,955,066 | |||||||||
Global X E-commerce ETF | 92,096,000 | 12,844,433 | 4,549,847 | |||||||||
Global X SuperDividend® ETF | 90,730,215 | 27,787,216 | (9,224,904 | ) | ||||||||
Global X SuperDividend® U.S. ETF | 126,117,688 | 34,059,155 | 2,165,771 | |||||||||
Global X MSCI SuperDividend® EAFE ETF | 1,217,335 | 7,923,306 | (707,578 | ) | ||||||||
Global X MSCI SuperDividend® Emerging Markets ETF | 3,714,194 | - | - | |||||||||
Global X SuperDividend® REIT ETF | 353,613,219 | 118,682,903 | 19,269,208 | |||||||||
Global X NASDAQ 100® Covered Call ETF | 778,575,756 | 66,199,151 | 29,752,498 | |||||||||
Global X S&P 500® Covered Call ETF | 60,812,072 | 66,922,435 | 17,587,784 | |||||||||
Global X Russell 2000® Covered Call ETF | 16,843,643 | 1,088,385 | 335,463 | |||||||||
Global X Nasdaq 100 Covered Call & Growth ETF | 6,753,905 | - | - | |||||||||
Global X S&P 500 Covered Call & Growth ETF | 3,799,913 | - | - | |||||||||
Global X SuperIncome™ Preferred ETF | 24,579,689 | 28,420,360 | (2,327,435 | ) | ||||||||
Global X YieldCo & Renewable Energy Income ETF | 35,307,456 | 5,003,213 | 1,265,475 | |||||||||
Global X S&P 500® Catholic Values ETF | 117,889,845 | 45,730,969 | 17,772,932 | |||||||||
Global X S&P Catholic Values Developed ex-U.S. ETF | 2,501,921 | - | - | |||||||||
Global X Guru® Index ETF | - | 4,796,655 | 428,411 |
Notes to Financial Statements (CONTINUED) October 31, 2020 |
Purchases | Sales and Maturities | Realized Gain/(Loss) | ||||||||||
Global X Social Media ETF | $ | 5,555,728 | $ | 23,964,734 | $ | 4,282,069 | ||||||
Global X Lithium & Battery Tech ETF | 14,347,370 | 156,294,703 | (13,951,610 | ) | ||||||||
Global X E-commerce ETF | 4,222,945 | 915,083 | 310,512 | |||||||||
Global X SuperDividend® ETF | 159,532,230 | 51,670,555 | 3,130,258 | |||||||||
Global X SuperDividend® U.S. ETF | 162,330,008 | 10,936,835 | 1,467,887 | |||||||||
Global X MSCI SuperDividend® EAFE ETF | 16,543,011 | 3,918,835 | 297,261 | |||||||||
Global X MSCI SuperDividend® Emerging Markets ETF | 4,785,344 | 1,348,969 | 204,853 | |||||||||
Global X SuperDividend® REIT ETF | 232,009,138 | - | 2,340,737 | |||||||||
Global X NASDAQ 100® Covered Call ETF | 400,390,591 | 19,208,117 | 7,515,508 | |||||||||
Global X S&P 500® Covered Call ETF | 64,563,871 | 11,666,563 | 4,316,460 | |||||||||
Global X Russell 2000® Covered Call ETF | 6,972,490 | - | - | |||||||||
Global X SuperIncome™ Preferred ETF | 35,254,234 | 23,945,663 | 421,606 | |||||||||
Global X YieldCo & Renewable Energy Income ETF | 7,668,802 | 1,112,529 | 86,352 | |||||||||
Global X S&P 500® Catholic Values ETF | 125,994,006 | 25,909,462 | 7,602,498 | |||||||||
Global X Guru® Index ETF | 1,570,297 | 9,615,875 | 1,456,153 |
Notes to Financial Statements (CONTINUED) October 31, 2020 |
Notes to Financial Statements (CONTINUED) October 31, 2020 |
Global X Funds | Paid-in Capital | Distributable Earnings (Loss) | ||||||
Global X Social Media ETF | $ | 1,884,036 | $ | (1,884,036 | ) | |||
Global X Lithium & Battery Tech ETF | 2,896,725 | (2,896,725 | ) | |||||
Global X E-commerce ETF | 4,523,090 | (4,523,090 | ) | |||||
Global X SuperDividend® ETF | (19,955,384 | ) | 19,955,384 | |||||
Global X SuperDividend® U.S. ETF | (4,580,848 | ) | 4,580,848 | |||||
Global X MSCI SuperDividend® EAFE ETF | (725,604 | ) | 725,604 | |||||
Global X NASDAQ 100® Covered Call ETF | 29,752,498 | (29,752,498 | ) | |||||
Global X S&P 500® Covered Call ETF | 17,598,470 | (17,598,470 | ) | |||||
Global X Russell 2000 Covered Call ETF | 335,454 | (335,454 | ) | |||||
Global X SuperIncome™ Preferred ETF | (2,400,869 | ) | 2,400,869 | |||||
Global X YieldCo & Renewable Energy Income ETF | 1,260,831 | (1,260,831 | ) | |||||
Global X S&P 500® Catholic Values ETF | 17,570,581 | (17,570,581 | ) | |||||
Global X Guru® Index ETF | 456,580 | (456,580 | ) | |||||
Global X Funds | Ordinary Income | Long-Term Capital Gain | Return of Capital | Totals | ||||||||||||
Global X Social Media ETF | ||||||||||||||||
2020 | $ | – | $ | – | $ | – | $ | – | ||||||||
2019 | – | – | – | – | ||||||||||||
Global X Lithium & Battery Tech ETF | ||||||||||||||||
2020 | $ | 7,964,116 | $ | – | $ | – | $ | 7,964,116 | ||||||||
2019 | 19,555,528 | – | – | 19,555,528 | ||||||||||||
Global X E-commerce ETF | ||||||||||||||||
2020 | $ | 11,908 | $ | – | $ | – | $ | 11,908 | ||||||||
2019 | – | – | – | – |
Notes to Financial Statements (CONTINUED) October 31, 2020 |
Global X Funds | Ordinary Income | Long-Term Capital Gain | Return of Capital | Totals | ||||||||||||
Global X SuperDividend® ETF | ||||||||||||||||
2020 | $ | 57,676,007 | $ | – | $ | 6,836,903 | $ | 64,512,910 | ||||||||
2019 | 71,080,700 | – | 10,387,010 | 81,467,710 | ||||||||||||
Global X SuperDividend® U.S. ETF | ||||||||||||||||
2020 | $ | 28,896,892 | $ | – | $ | 9,790,983 | $ | 38,687,875 | ||||||||
2019 | 29,513,428 | – | 5,156,842 | 34,670,270 | ||||||||||||
Global X MSCI SuperDividend® EAFE ETF | ||||||||||||||||
2020 | $ | 454,057 | $ | – | $ | 119,148 | $ | 573,205 | ||||||||
2019 | 547,298 | – | – | 547,298 | ||||||||||||
Global X MSCI SuperDividend® Emerging Markets ETF | ||||||||||||||||
2020 | $ | 1,074,084 | $ | – | $ | 222,316 | $ | 1,296,400 | ||||||||
2019 | 1,146,140 | – | – | 1,146,140 | ||||||||||||
Global X SuperDividend® REIT ETF | ||||||||||||||||
2020 | $ | 17,057,314 | $ | 482,944 | $ | 2,127,168 | $ | 19,667,426 | ||||||||
2019 | 7,369,085 | – | – | 7,369,085 | ||||||||||||
Global X NASDAQ 100® Covered Call ETF | ||||||||||||||||
2020 | $ | 2,834,579 | $ | – | $ | 117,268,361 | $ | 120,102,940 | ||||||||
2019 | 40,380,150 | 2,101,875 | 12,331,150 | 54,813,715 | ||||||||||||
Global X S&P 500® Covered Call ETF | ||||||||||||||||
2020 | $ | 1,539,799 | $ | – | $ | 7,321,411 | $ | 8,861,210 | ||||||||
2019 | 4,867,892 | 582,508 | 780,262 | 6,230,662 | ||||||||||||
Global X Russell 2000 Covered Call ETF | ||||||||||||||||
2020 | $ | 82,683 | $ | 74,655 | $ | 1,449,526 | $ | 1,606,864 | ||||||||
2019 | 158,257 | 99,323 | – | 257,580 | ||||||||||||
Global X Nasdaq 100 Covered Call & Growth ETF | ||||||||||||||||
2020 | $ | – | $ | – | $ | 20,955 | $ | 20,955 | ||||||||
Global X S&P 500 Covered Call & Growth ETF | ||||||||||||||||
2020 | $ | 2,931 | $ | – | $ | 16,682 | $ | 19,613 | ||||||||
Global X SuperIncome™ Preferred ETF | ||||||||||||||||
2020 | $ | 10,818,268 | $ | – | $ | 549,532 | $ | 11,367,800 | ||||||||
2019 | 11,905,843 | – | 83,858 | 11,821,985 | ||||||||||||
Global X YieldCo & Renewable Energy Income ETF | ||||||||||||||||
2020 | $ | 1,352,385 | $ | – | $ | – | $ | 1,352,385 | ||||||||
2019 | 644,590 | – | – | 644,590 | ||||||||||||
Global X S&P 500® Catholic Values ETF | ||||||||||||||||
2020 | $ | 4,513,893 | $ | 128,757 | $ | – | $ | 4,642,650 | ||||||||
2019 | 4,530,407 | 187,691 | – | 4,718,098 | ||||||||||||
Global X S&P Catholic Values Developed ex-U.S. ETF | ||||||||||||||||
2020 | $ | – | $ | – | $ | – | $ | – | ||||||||
Global X Guru® Index ETF | ||||||||||||||||
2020 | $ | 538,248 | $ | – | $ | 28,732 | $ | 566,980 | ||||||||
2019 | 310,767 | – | 82,434 | 393,201 |
Notes to Financial Statements (CONTINUED) October 31, 2020 |
Global X Funds | ||||||||||||||||
Global X Social Media ETF | Global X Lithium & Battery Tech ETF | Global X E- commerce ETF | Global X SuperDividend® ETF | |||||||||||||
Undistributed Ordinary Income | $ | – | $ | 1,972,573 | $ | 775,965 | $ | – | ||||||||
Capital Loss Carryforwards | (29,959,090 | ) | (154,643,834 | ) | – | (605,281,502 | ) | |||||||||
Unrealized Appreciation (Depreciation) on Investments and Foreign Currency | 71,760,681 | 158,192,435 | 2,673,286 | (72,895,790 | ) | |||||||||||
Late Year Loss Deferral | (384,418 | ) | – | – | – | |||||||||||
Other Temporary Differences | – | (5 | ) | 1 | (17 | ) | ||||||||||
Total Distributable Earnings (Accumulated Losses) | $ | 41,417,173 | $ | 5,521,169 | $ | 3,449,252 | $ | (678,177,309 | ) |
Global X Funds | ||||||||||||||||
Global X SuperDividend® U.S. ETF | Global X MSCI SuperDividend® EAFE ETF | Global X MSCI SuperDividend® Emerging Markets ETF | Global X SuperDividend® REIT ETF(1) | |||||||||||||
Capital Loss Carryforwards | (223,775,721 | ) | (2,560,856 | ) | (7,800,767 | ) | – | |||||||||
Unrealized Appreciation (Depreciation) on Investments and Foreign Currency | (28,565,675 | ) | (928,720 | ) | (1,461,950 | ) | 15,417,641 | |||||||||
Other Temporary Differences | 8 | (1 | ) | – | (2,927,460 | ) | ||||||||||
Total Accumulated Losses | $ | (252,341,387 | ) | $ | (3,489,577 | ) | $ | (9,262,717 | ) | $ | 12,490,181 |
(1) | The Global X SuperDividend® REIT ETF has a tax year that ends on December 31. |
Global X Funds | ||||||||||||||||
Global X NASDAQ 100® Covered Call ETF | Global X S&P 500® Covered Call ETF | Global X Russell 2000 Covered Call ETF | Global X Nasdaq 100 Covered Call & Growth ETF | |||||||||||||
Capital Loss Carryforwards | (41,064,020 | ) | (33,094,168 | ) | (1,368,001 | ) | (114,135 | ) | ||||||||
Unrealized Appreciation on Investments and Foreign Currency | – | – | – | – | ||||||||||||
Late Year Loss Deferral | – | – | – | (468 | ) | |||||||||||
Other Temporary Differences | 7 | 5,383 | 8 | – | ||||||||||||
Total Accumulated Losses | $ | (41,064,012 | ) | $ | (33,088,785 | ) | $ | (1,367,993 | ) | $ | (114,603 | ) |
Notes to Financial Statements (CONTINUED) October 31, 2020 |
Global X Funds | ||||||||||||||||
Global X S&P 500® Covered Call & Growth ETF | Global X SuperIncome™ Preferred ETF | Global X YieldCo & Renewable Energy Income ETF | Global X S&P 500® Catholic Values ETF | |||||||||||||
Undistributed Ordinary Income | $ | – | $ | – | $ | 351,607 | $ | 1,994,632 | ||||||||
Undistributed Long-Term Capital Gain | – | – | 132,994 | – | ||||||||||||
Capital Loss Carryforwards | (70,250 | ) | (64,726,594 | ) | – | (276,628 | ) | |||||||||
Unrealized Appreciation (Depreciation) on Investments and Foreign Currency | – | (1,467,791 | ) | 1,383,810 | 47,769,089 | |||||||||||
Other Temporary Differences | – | (24,728 | ) | – | 3 | |||||||||||
Total Distributable Earnings (Accumulated Losses) | $ | (70,250 | ) | $ | (66,219,113 | ) | $ | 1,868,411 | $ | 49,487,096 |
Global X Funds | ||||||||
Global X S&P Catholic Values Developed ex- U.S. ETF | Global X Guru® Index ETF | |||||||
Undistributed Ordinary Income | $ | 21,138 | $ | – | ||||
Capital Loss Carryforwards | (3,244 | ) | (16,828,294 | ) | ||||
Unrealized Appreciation (Depreciation) on Investments and Foreign Currency | (25,314 | ) | 4,692,123 | |||||
Other Temporary Differences | (70 | ) | (3 | ) | ||||
Total Accumulated Losses | $ | (7,490 | ) | $ | (12,136,175 | ) |
Short-Term Loss | Long-Term Loss | Total | ||||||||||
Global X Social Media ETF | $ | 9,425,030 | $ | 20,534,060 | $ | 29,959,090 | ||||||
Global X Lithium & Battery Tech ETF | 26,035,130 | 128,608,704 | 154,643,834 | |||||||||
Global X SuperDividend® ETF | 246,119,326 | 359,162,176 | 605,281,502 | |||||||||
Global X SuperDividend® U.S. ETF | 169,742,093 | 54,033,628 | 223,775,721 | |||||||||
Global X MSCI SuperDividend® EAFE ETF | 817,164 | 1,743,692 | 2,560,856 | |||||||||
Global X MSCI SuperDividend® Emerging Markets ETF | 4,271,755 | 3,529,012 | 7,800,767 |
Notes to Financial Statements (CONTINUED) October 31, 2020 |
Short-Term Loss | Long-Term Loss | Total | ||||||||||
Global X NASDAQ 100® Covered Call ETF | $ | 16,425,608 | $ | 24,638,412 | $ | 41,064,020 | ||||||
Global X S&P 500® Covered Call ETF | 13,230,874 | 19,863,293 | 33,094,168 | |||||||||
Global X Russell 2000 Covered Call ETF | 566,196 | 801,805 | 1,368,001 | |||||||||
Global X Nasdaq 100 Covered Call & Growth ETF | 45,654 | 68,481 | 114,135 | |||||||||
Global X S&P 500 Covered Call & Growth ETF | 28,100 | 42,150 | 70,250 | |||||||||
Global X SuperIncome™ Preferred ETF | 18,332,399 | 46,394,195 | 64,726,594 | |||||||||
Global X S&P 500® Catholic Values ETF | – | 276,628 | 276,628 | |||||||||
Global X S&P Catholic Values Developed ex-U.S. ETF | 3,244 | – | 3,244 | |||||||||
Global X Guru® Index ETF | 16,828,294 | – | 16,828,294 |
Short-Term Loss | Long-Term Loss | Total | ||||||||||
Global X Social Media ETF | $ | 479,691 | $ | 41,962 | $ | 521,653 | ||||||
Global X Lithium & Battery Tech ETF | 125,159 | – | 125,159 | |||||||||
Global X E-commerce ETF | 956 | – | 956 | |||||||||
Global X YieldCo & Renewable Energy Income ETF | 157,958 | 691,145 | 849,103 | |||||||||
Global X Guru® Index ETF | 5,401,794 | – | 5,401,794 |
Global X Funds | Federal Tax Cost | Aggregated Gross Unrealized Appreciation | Aggregated Gross Unrealized Depreciation | Net Unrealized Appreciation (Depreciation) | ||||||||||||
Global X Social Media ETF | $ | 156,975,936 | $ | 82,688,911 | $ | (10,928,230 | ) | $ | 71,760,681 | |||||||
Global X Lithium & Battery Tech ETF | 750,422,246 | 235,579,782 | (77,387,347 | ) | 158,192,435 | |||||||||||
Global X E-commerce ETF | 88,689,271 | 5,306,832 | (2,633,546 | ) | 2,673,286 | |||||||||||
Global X SuperDividend® ETF | 734,701,611 | 28,126,735 | (101,022,525 | ) | (72,895,790 | ) | ||||||||||
Global X SuperDividend® U.S. ETF | 469,142,718 | 33,590,726 | (62,156,400 | ) | (28,565,675 | ) | ||||||||||
Global X MSCI SuperDividend® EAFE ETF | 8,363,185 | 266,143 | (1,194,863 | ) | (928,720 | ) | ||||||||||
Global X MSCI SuperDividend® Emerging Markets ETF | 21,462,994 | 1,166,597 | (2,628,547 | ) | (1,461,950 | ) | ||||||||||
Global X SuperDividend® REIT ETF | 418,177,386 | 7,231,611 | (92,642,381 | ) | (85,410,770 | ) | ||||||||||
Global X NASDAQ 100® Covered Call ETF | 1,321,718,264 | 431,752,556 | (431,752,556 | ) | – | |||||||||||
Global X S&P 500® Covered Call ETF | 103,632,249 | 18,353,201 | (18,353,201 | ) | – | |||||||||||
Global X Russell 2000 Covered Call ETF | 21,429,473 | 660,176 | (660,176 | ) | – | |||||||||||
Global X Nasdaq 100 Covered Call & Growth ETF | 6,557,305 | 66,606 | (66,606 | ) | – | |||||||||||
Global X S&P 500 Covered Call & Growth ETF | 3,698,264 | 64,254 | (64,254 | ) | – | |||||||||||
Global X SuperIncome™ Preferred ETF | 186,024,753 | 4,900,173 | (6,367,964 | ) | (1,467,791 | ) | ||||||||||
Global X YieldCo & Renewable Energy Income ETF | 64,628,089 | 7,491,246 | (6,107,436 | ) | 1,383,810 | |||||||||||
Global X S&P 500® Catholic Values ETF | 330,634,976 | 76,659,708 | (28,890,619 | ) | 47,769,089 | |||||||||||
Global X S&P Catholic Values Developed ex-U.S. ETF | 2,512,667 | 125,800 | (151,114 | ) | (25,314 | ) | ||||||||||
Global X Guru® Index ETF | 51,154,580 | 7,866,751 | (3,174,628 | ) | 4,692,123 |
Notes to Financial Statements (CONTINUED) October 31, 2020 |
Notes to Financial Statements (CONTINUED) October 31, 2020 |
Notes to Financial Statements (CONTINUED) October 31, 2020 |
Market Value | Cash Collateral | |||||||
Global X Social Media ETF | ||||||||
Citigroup | $ | 1,532,845 | $ | 1,877,880 | ||||
JPMorgan | 2,218 | 2,228 | ||||||
UBS Securities LLC | 13,440 | 13,470 | ||||||
Global X Lithium & Battery Tech ETF | ||||||||
Barclays Capital | $ | 1,208,543 | $ | 1,265,997 | ||||
BofA Securities, Inc. | 833,206 | 886,267 | ||||||
Citigroup | 818,335 | 1,068,935 | ||||||
Credit Suisse | 68,341 | 89,864 | ||||||
Goldman Sachs & Co. | 7,920,827 | 8,372,597 | ||||||
JPMorgan | 2,346,342 | 2,484,133 | ||||||
Morgan Stanley | 19,185,313 | 19,947,780 | ||||||
National Financial Services | 124,210 | 128,979 | ||||||
Scotia Capital | 2,928,836 | 3,210,685 | ||||||
UBS Securities LLC | 86,768 | 105,190 | ||||||
Global X E-commerce ETF | ||||||||
Citigroup | $ | 368,016 | $ | 434,190 | ||||
Global X SuperDividend® ETF | ||||||||
Barclays Capital | $ | 2,808,422 | $ | 2,829,273 | ||||
BofA Securities, Inc. | 137,003 | 137,563 | ||||||
Citigroup | 3,085,583 | 3,194,810 | ||||||
Goldman Sachs & Co. | 5,582,055 | 5,932,942 | ||||||
JPMorgan | 10,310 | 10,835 | ||||||
Morgan Stanley | 14,596,321 | 15,333,403 | ||||||
National Financial Services | 4,167,264 | 4,314,749 | ||||||
NSI Stock Lending | 4,101,728 | 4,494,563 | ||||||
Scotia Capital | 134,509 | 143,050 | ||||||
UBS Securities LLC | 173,834 | 182,700 | ||||||
Global X SuperDividend® U.S. ETF | ||||||||
Citigroup | $ | 1,133,840 | $ | 1,173,970 | ||||
Goldman Sachs & Co. | 8,614,268 | 8,915,188 | ||||||
JPMorgan | 1,947,000 | 2,046,000 | ||||||
Morgan Stanley | 15,743,940 | 16,301,210 | ||||||
National Financial Services | 1,609,536 | 1,666,500 | ||||||
Scotia Capital | 339,250 | 351,900 |
Notes to Financial Statements (CONTINUED) October 31, 2020 |
Market Value | Cash Collateral | |||||||
Global X SuperDividend® REIT ETF | ||||||||
Barclays Capital | $ | 2,924,733 | $ | 3,073,449 | ||||
BofA Securities, Inc. | 5,330,650 | 5,601,700 | ||||||
Credit Suisse | 2,858,307 | 3,022,468 | ||||||
Goldman Sachs & Co. | 2,464,884 | 2,554,555 | ||||||
JPMorgan | 1,004,815 | 1,055,907 | ||||||
Scotia Capital | 4,744,025 | 4,985,145 | ||||||
UBS Securities LLC | 2,754,830 | 2,890,878 | ||||||
Global X SuperIncome™ Preferred ETF | ||||||||
JPMorgan | $ | 613,938 | $ | 624,325 | ||||
Wells Fargo Securities, LLC | 330,333 | 338,975 |
Current Disclosure | New Disclosure as of February 1, 2021 | |||
Fund Ticker Symbol | YLCO | RNRG | ||
Fund Name | Global X YieldCo & Renewable Energy Income ETF | Global X Renewable Energy Producers ETF | ||
Index Name | Indxx YieldCo & Renewable Energy Income Index | Indxx Renewable Energy Producers Index |
Global X SuperDividend® ETF (1) | Global X MSCI SuperDividend® EAFE ETF (1) | ||
Global X SuperDividend® U.S. ETF (1) | Global X S&P 500® Catholic Values ETF (1) | ||
Global X Guru® Index ETF (1) | Global X E-commerce ETF (2) | ||
Global X MSCI SuperDividend® Emerging Markets ETF (1) | Global X Russell 2000 Covered Call ETF (3) | ||
Global X SuperDividend® REIT ETF (1) | Global X S&P 500 Covered Call ETF (1) | ||
Global X SuperIncome™ Preferred ETF (1) | Global X NASDAQ 100® Covered Call ETF (1) | ||
Global X Social Media ETF (1) | Global X S&P Catholic Values Developed ex-U.S. ETF (4) | ||
Global X YieldCo & Renewable Energy Income ETF (1) | Global X S&P 500® Covered Call & Growth ETF (5) | ||
Global X Lithium and Battery Tech ETF (1) | Global X Nasdaq 100® Covered Call & Growth ETF (5) |
(1) The related statements of operations for the year ended October 31, 2020 and statements of changes in net assets for each of the two years in the period ended October 31, 2020 (2) The related statement of operations for the year ended October 31, 2020 and statements of changes in net assets for the year ended October 31, 2020 and the period November 27, 2018 (date of commencement) through October 31, 2019 (3) The related statement of operations for the year ended October 31, 2020 and the statements of changes in net assets for the year ended October 31, 2020 and the period April 17, 2019 (date of commencement) through October 31, 2019 (4) The related statements of operations and changes in net assets for the period June 22, 2020 (date of commencement) through October 31, 2020 (5) The related statements of operations and changes in net assets for the period September 18, 2020 (date of commencement) through October 31, 2020 |
Global X Nasdaq 100 Covered Call ETF | Global X S&P 500 Covered Call ETF |
Beginning Account Value 5/1/2020 | Ending Account Value 10/31/2020 | Annualized Expense Ratios | Expenses Paid During Period(1) | |||||||||||||
Global X Social Media ETF | ||||||||||||||||
Actual Fund Return | $ | 1,000.00 | $ | 1,511.80 | 0.65 | % | $ | 4.10 | ||||||||
Hypothetical 5% Return | 1,000.00 | 1,021.87 | 0.65 | 3.30 | ||||||||||||
Global X Lithium & Battery Tech ETF | ||||||||||||||||
Actual Fund Return | $ | 1,000.00 | $ | 1,691.60 | 0.75 | % | $ | 5.07 | ||||||||
Hypothetical 5% Return | 1,000.00 | 1,021.37 | 0.75 | 3.81 | ||||||||||||
Global X E-commerce ETF | ||||||||||||||||
Actual Fund Return | $ | 1,000.00 | $ | 1,431.10 | 0.50 | % | $ | 3.06 | ||||||||
Hypothetical 5% Return | 1,000.00 | 1,022.62 | 0.50 | 2.54 | ||||||||||||
Global X SuperDividend® ETF | ||||||||||||||||
Actual Fund Return | $ | 1,000.00 | $ | 1,065.80 | 0.59 | % | $ | 3.06 | ||||||||
Hypothetical 5% Return | 1,000.00 | 1,022.17 | 0.59 | 3.00 | ||||||||||||
Global X SuperDividend® U.S. ETF | ||||||||||||||||
Actual Fund Return | $ | 1,000.00 | $ | 1,035.00 | 0.45 | % | $ | 2.30 | ||||||||
Hypothetical 5% Return | 1,000.00 | 1,022.87 | 0.45 | 2.29 | ||||||||||||
Global X MSCI SuperDividend® EAFE ETF | ||||||||||||||||
Actual Fund Return | $ | 1,000.00 | $ | 1,013.90 | 0.55 | % | $ | 2.78 | ||||||||
Hypothetical 5% Return | 1,000.00 | 1,022.37 | 0.55 | 2.80 | ||||||||||||
Global X MSCI SuperDividend® Emerging Markets ETF | ||||||||||||||||
Actual Fund Return | $ | 1,000.00 | $ | 1,013.70 | 0.66 | % | $ | 3.34 | ||||||||
Hypothetical 5% Return | 1,000.00 | 1,021.82 | 0.66 | 3.35 | ||||||||||||
Global X SuperDividend® REIT ETF | ||||||||||||||||
Actual Fund Return | $ | 1,000.00 | $ | 1,088.70 | 0.58 | % | $ | 3.05 | ||||||||
Hypothetical 5% Return | 1,000.00 | 1,022.22 | 0.58 | 2.95 | ||||||||||||
Global X NASDAQ 100® Covered Call ETF | ||||||||||||||||
Actual Fund Return | $ | 1,000.00 | $ | 1,092.60 | 0.61 | % | $ | 3.21 | ||||||||
Hypothetical 5% Return | 1,000.00 | 1,022.07 | 0.61 | 3.10 | ||||||||||||
Global X S&P 500® Covered Call ETF | ||||||||||||||||
Actual Fund Return | $ | 1,000.00 | $ | 1,077.90 | 0.63 | % | $ | 3.29 | ||||||||
Hypothetical 5% Return | 1,000.00 | 1,021.97 | 0.63 | 3.20 | ||||||||||||
Global X Russell 2000 Covered Call ETF | ||||||||||||||||
Actual Fund Return | $ | 1,000.00 | $ | 1,195.90 | 0.50 | % | $ | 2.76 | ||||||||
Hypothetical 5% Return | 1,000.00 | 1,022.62 | 0.50 | 2.54 |
Beginning Account Value 5/1/2020 | Ending Account Value 10/31/2020 | Annualized Expense Ratios | Expenses Paid During Period(1) | |||||||||||||
Global X Nasdaq 100 Covered Call & Growth ETF(2) | ||||||||||||||||
Actual Fund Return | $ | 1,000.00 | $ | 1,000.00 | 0.60 | % | $ | 0.70 | ||||||||
Hypothetical 5% Return | 1,000.00 | 1,005.17 | 0.60 | 0.71 | ||||||||||||
Global X S&P 500 Covered Call & Growth ETF(2) | ||||||||||||||||
Actual Fund Return | $ | 1,000.00 | $ | 1,000.00 | 0.60 | % | $ | 0.70 | ||||||||
Hypothetical 5% Return | 1,000.00 | 1,005.17 | 0.60 | 0.71 | ||||||||||||
Global X SuperIncome™ Preferred ETF | ||||||||||||||||
Actual Fund Return | $ | 1,000.00 | $ | 1,081.30 | 0.58 | % | $ | 3.03 | ||||||||
Hypothetical 5% Return | 1,000.00 | 1,022.22 | 0.58 | 2.95 | ||||||||||||
Global X YieldCo & Renewable Energy Income ETF | ||||||||||||||||
Actual Fund Return | $ | 1,000.00 | $ | 1,150.30 | 0.65 | % | $ | 3.51 | ||||||||
Hypothetical 5% Return | 1,000.00 | 1,021.87 | 0.65 | 3.30 | ||||||||||||
Global X S&P 500® Catholic Values ETF | ||||||||||||||||
Actual Fund Return | $ | 1,000.00 | $ | 1,135.40 | 0.29 | % | $ | 1.56 | ||||||||
Hypothetical 5% Return | 1,000.00 | 1,023.68 | 0.29 | 1.48 | ||||||||||||
Global X S&P Catholic Values Developed ex-U.S. ETF(3) | ||||||||||||||||
Actual Fund Return | $ | 1,000.00 | $ | 1,000.00 | 0.36 | % | $ | 1.29 | ||||||||
Hypothetical 5% Return | 1,000.00 | 1,016.61 | 0.36 | 1.30 | ||||||||||||
Global X Guru® Index ETF | ||||||||||||||||
Actual Fund Return | $ | 1,000.00 | $ | 1,195.80 | 0.75 | % | $ | 4.14 | ||||||||
Hypothetical 5% Return | 1,000.00 | 1,021.37 | 0.75 | 3.81 |
(1) | Expenses are equal to the Fund’s annualized expense ratio multiplied by the average account value over the period, multiplied 184/366 (to reflect the one-half year period), unless otherwise noted. |
(2) | Expenses are equal to the Fund’s annualized expense ratio multiplied by the average account value over the period, multiplied 43/366 (to reflect the one-half year period), unless otherwise note. |
(3) | Expenses are equal to the Fund’s annualized expense ratio multiplied by the average account value over the period, multiplied 131/366 (to reflect the one-half year period), unless otherwise noted. |
Name, Address (Year of Birth) | Position(s) Held with Trust | Principal Occupation(s) During the Past 5 Years | Number of Funds in Trust Overseen by Trustee | Other Directorships Held by Trustees | ||||
Independent Trustees1 | ||||||||
Charles A. Baker 605 Third Avenue, 43rd Floor New York, NY 10158 (1953) | Trustee (since 07/2018) | Chief Executive Officer of Investment Innovations LLC (investment consulting) (since 2013); Managing Director of NYSE Euronext (2003 to 2012) | 772 | Trustee of OSI ETF Trust (since 2016) | ||||
Susan M. Ciccarone 605 Third Avenue, 43rd Floor New York, NY 10158 (1973) | Trustee (since 9/30/2019) | Partner, Further Global Capital Management (private equity) (since 2017); formerly Chief Operating Officer (2014-2016) and Chief Financial Officer (2012-2016), Emerging Global Advisors, LLC (ETF issuer) | 772 | Chairman, Payment Alliance International, Inc. (since 2019); Director, Casa Holdco LP, parent of Celink (since 2018) | ||||
Clifford J. Weber (1963) 605 Third Avenue, 43rd Floor New York, NY 10158 | Trustee (since 07/2018) | Owner, Financial Products Consulting Group LLC (consulting services to financial institutions) (since 2015); Formerly, Executive Vice President of Global Index and Exchange-Traded Products, NYSE Market, Inc., a subsidiary of Intercontinental Exchange (ETF/ETP listing exchange) (2013-2015) | 772 | Chairman (since 2017) and Trustee (since 2015) of Clough Funds Trust; Chairman and Trustee of Clayton Street Trust (since 2016); Chairman and Trustee of Janus Detroit Street Trust (since 2016); Chairman and Trustee of Elevation ETF Trust (2016-2018); Trustee of Clough Global Equity Fund (since 2017); Trustee of Clough Global Dividend and Income Fund (since 2017); and Trustee of Clough Global Opportunities Fund (since 2017) |
Name, Address (Year of Birth) | Position(s) Held with Funds | Principal Occupation(s) During the Past 5 Years | Number of Operational Funds in Trust Overseen by Trustee | Other Directorships Held by Trustees | |||
Interested Trustee / Officers1 | |||||||
Luis Berruga 605 Third Avenue, 43rd Floor New York, NY 10158 (1977) | Trustee (since 07/2018); President (since 2018) | Chief Executive Officer, GXMC (since 07/2018), Chief Financial Officer (since 2/2014) and Chief Operating Officer (9/2015 - 7/2018); Investment Banker, Jefferies (2012-2014) | 772 | None | |||
Chang Kim 605 Third Avenue, 43rd Floor New York, NY 10158 (1984) | Chief Operating Officer; Treasurer, Principal Accounting Officer; and Chief Financial Officer (since 7/2018) | Chief Operating Officer, GXMC (since 7/2018), Head of Portfolio Management & Portfolio Administration (1/2017-7/2018); and Portfolio Manager (since 9/2009) | N/A | N/A | |||
Susan Lively 605 Third Avenue, 43rd Floor New York, NY 10158 (1981) | Secretary (since 9/2020) | General Counsel, GXMC (since 9/2020); Senior Corporate Counsel at Franklin Templeton (previously, Managing Director and Associate General Counsel at Legg Mason & Co., LLC) (2014-2020) | N/A | N/A | |||
Eric Griffith3 One Freedom Valley Drive Oaks, PA 19456 (1969) | Assistant Secretary (since 2/2020) | Counsel, SEI Investments (since 10/2019); Vice President and Assistant General Counsel, JPMorgan Chase & Co. (2012-2018) | N/A | N/A | |||
Joe Costello 605 Third Avenue, 43rd Floor New York, NY 10158 (1974) | Chief Compliance Officer (since 9/2016) | Chief Compliance Officer, FlexShares Funds (2011-2015); Vice President, Northern Trust Investments (2003 - 2015) | N/A | N/A |
1 | Each Trustee serves until his successor is duly elected or appointed and qualified. |
2 | As of October 31, 2020, the Trust had eighty-seven investment portfolios, seventy-seven of which were operational. |
3 | This officer of the Trust also serves as an officer of one or more funds for which SEI Investments Company or an affiliate acts as investment manager, administrator or distributor. |
Return of Capital | Long-Term Capital Gain Distributions | Ordinary Income Distributions | Total Distributions | Qualifying for Corporate Dividends Received Deduction(1) | Qualifying Dividend Income(2) | |||||
Global X Social Media ETF | ||||||||||
0.00% | 0.00% | 0.00% | 0.00% | 0.00% | 0.00% | |||||
Global Global X Lithium & Battery Tech ETF | ||||||||||
0.00% | 0.00% | 100.00% | 100.00% | 11.31% | 64.70% | |||||
Global X E-Commerce ETF | ||||||||||
0.00% | 0.00% | 100.00% | 100.00% | 46.95% | 48.29% | |||||
Global X SuperDividend® ETF | ||||||||||
11.85% | 0.00% | 88.15% | 100.00% | 3.49% | 48.78% | |||||
Global X SuperDividend® U.S. ETF | ||||||||||
33.88% | 0.00% | 64.12% | 100.00% | 41.39% | 44.58% | |||||
Global X MSCI SuperDividend® EAFE ETF | ||||||||||
26.24% | 0.00% | 73.76% | 100.00% | 0.00% | 99.52% | |||||
Global X MSCI SuperDividend® Emerging Markets ETF | ||||||||||
20.70% | 0.00% | 79.30% | 100.00% | 0.00% | 72.14% | |||||
Global X SuperDividend® REIT ETF | ||||||||||
0.00% | 0.00% | 0.00% | 0.00% | 0.00% | 0.00% | |||||
Global X NASDAQ 100® Covered Call ETF | ||||||||||
97.64% | 0.00% | 2.36% | 100.00% | 0.00% | 0.00% | |||||
Global X S&P 500® Covered Call ETF | ||||||||||
82.62% | 0.00% | 17.38% | 100.00% | 0.00% | 0.00% | |||||
Global X Russell 2000 Covered Call ETF | ||||||||||
90.21% | 4.65% | 5.15% | 100.00% | 0.00% | 0.00% | |||||
Global X NASDAQ 100® Covered Call & Growth ETF | ||||||||||
100.00% | 0.00% | 0.00% | 100.00% | 0.00% | 0.00% | |||||
Global X S&P 500® Covered Call & Growth ETF | ||||||||||
85.06% | 0.00% | 14.94% | 100.00% | 0.00% | 0.00% | |||||
Global X SuperIncome™ Preferred ETF | ||||||||||
7.25% | 0.00% | 92.75% | 100.00% | 69.06% | 75.93% | |||||
Global X YieldCo & Renewable Energy Income ETF | ||||||||||
0.00% | 0.00% | 100.00% | 100.00% | 12.35% | 68.95% | |||||
Global X S&P 500® Catholic Values ETF | ||||||||||
0.00% | 2.77% | 97.23% | 100.00% | 100.00% | 100.00% | |||||
Global X S&P Catholic Values Developed ex-U.S. ETF | ||||||||||
0.00% | 0.00% | 0.00% | 0.00% | 0.00% | 0.00% | |||||
Global X Guru® Index ETF | ||||||||||
5.34% | 0.00% | 94.66% | 100.00% | 0.00% | 0.00% |
U.S. Government Interest(3) | Interest Related Dividends(4) | Short Term Capital Gain Dividends(5) | Qualifying Business Income(6) | Foreign Tax Credit | |||||
Global X Social Media ETF | |||||||||
0.00% | 0.00% | 0.00% | 0.00% | 0.00% | |||||
Global X Lithium & Battery Tech ETF | |||||||||
0.00% | 0.08% | 0.00% | 0.00% | 6.93% | |||||
Global X E-Commerce ETF | |||||||||
0.00% | 0.00% | 0.00% | 0.00% | 0.00% | |||||
Global X SuperDividend® ETF | |||||||||
0.00% | 0.01% | 0.00% | 24.77% | 0.00% | |||||
Global X SuperDividend® U.S. ETF | |||||||||
0.00% | 4.39% | 0.00% | 24.31% | 0.00% | |||||
Global X MSCI SuperDividend® EAFE ETF | |||||||||
0.00% | 0.01% | 0.00% | 0.00% | 0.00% | |||||
Global X MSCI SuperDividend® Emerging Markets ETF | |||||||||
0.00% | 0.01% | 0.00% | 0.00% | 0.00% | |||||
Global X SuperDividend® REIT ETF | |||||||||
0.00% | 0.00% | 0.00% | 0.00% | 0.00% | |||||
Global X NASDAQ 100® Covered Call ETF | |||||||||
0.00% | 0.00% | 0.00% | 0.00% | 0.00% | |||||
Global X S&P 500® Covered Call ETF | |||||||||
0.00% | 0.00% | 0.00% | 0.00% | 0.00% | |||||
Global X Russell 2000 Covered Call ETF | |||||||||
0.00% | 0.00% | 0.00% | 0.00% | 0.00% | |||||
Global X NASDAQ 100® Covered Call & Growth ETF | |||||||||
0.00% | 0.00% | 0.00% | 0.00% | 0.00% | |||||
Global X S&P 500® Covered Call & Growth ETF | |||||||||
0.00% | 0.00% | 0.00% | 0.00% | 0.00% | |||||
Global X SuperIncome™ Preferred ETF | |||||||||
0.00% | 0.00% | 0.00% | 2.90% | 0.00% | |||||
Global X YieldCo & Renewable Energy Income ETF | |||||||||
0.00% | 0.01% | 0.00% | 0.06% | 16.20% | |||||
Global X S&P 500® Catholic Values ETF | |||||||||
0.00% | 0.08% | 100.00% | 0.00% | 0.00% | |||||
Global X S&P Catholic Values Developed ex-U.S. ETF | |||||||||
0.00% | 0.00% | 0.00% | 0.00% | 0.00% | |||||
Global X Guru® Index ETF | |||||||||
0.00% | 0.05% | 0.00% | 3.23% | 0.00% |
Global X Funds | Foreign Source Income | Foreign Tax Credit Pass through | ||||||
Global X Lithium & Battery Tech ETF | $ | 4,338,057 | $ | 593,384 | ||||
Global X YieldCo & Renewable Energy Income ETF | 1,484,683 | 261,344 |
2020 | 2019 | ||||||
All fees and services to the Trust that were pre-approved | All fees and services to service affiliates that were pre-approved | All other fees and services to service affiliates that did not require pre-approval | All fees and services to the Trust that were pre-approved | All fees and services to service affiliates that were pre-approved | All other fees and services to service affiliates that did not require pre-approval | ||
(a) | Audit Fees | $1,056,304 | $0 | $0 | $915,763 | $0 | $0 |
(b) | Audit-Related Fees | $0 | $0 | $0 | $0 | $0 | $0 |
(c) | Tax Fees | $330,942 | $0 | $0 | $285,396 | $0 | $0 |
(d) | All Other Fees | $0 | $0 | $0 | $0 | $0 | $0 |