Annual Report for Registered Investment Companies (n-cen)
2022年3月16日 - 04:42AM
Edgar (US Regulatory)
schemaVersion:
X0404
The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.
|
schemaVersion:
N-CEN:Part A: General Information
Item A.1. Reporting period covered.
|
a. Report for period ending:
| 2021-12-31 |
|
b. Does this report cover a period of less than 12 months?
| ☐ Yes
☒ No
|
N-CEN:Part B: Information About the Registrant
Item B.1. Background information.
|
a. Full name of Registrant
| Invesco QQQ Trust, Series 1 |
b. Investment Company Act file number
( e.g., 811-)
| 811-08947 |
|
c. CIK
| 0001067839 |
|
d. LEI
| 549300VY6FEJBCIMET58 |
Item B.2. Address and telephone number of Registrant.
|
a. Street 1
| 3500 Lacey Road |
|
Street 2
| Suite 700 |
|
b. City
| Downers Grove |
|
c. State, if applicable
|
ILLINOIS
|
|
d. Foreign country, if applicable
|
UNITED STATES OF AMERICA
|
|
e. Zip code and zip code extension, or foreign postal code
| 60515 |
|
f. Telephone number (including country code if foreign)
| 18009830903 |
|
g. Public Website, if any
| www.invesco.com |
Item B.3. Location of books and records.
| Instruction.
Provide the requested information for each person maintaining
physical possession of each account, book, or other document
required to be maintained by section 31(a) of the Act (15 U.S.C.
80a-30(a)) and the rules under that section.
|
| Location books Record |
Name of person
(e.g., a custodian of records)
| Telephone | Address | Briefly describe books and records kept at this location |
|---|
|
#1 | Invesco Advisers, Inc. | 14048920896 | 1555 Peachtree St NE
Suite 1000
Atlanta,
GEORGIA
30309
UNITED STATES OF AMERICA
| CERTAIN FINANCIAL, PORTFOLIO MANAGEMENT AND CLIENT-RELATED RECORDS. |
Item B.4. Initial of final filings.
| Instruction.
Respond "yes" to Item B.4.b only if the Registrant has filed an application to deregister or will file an application to deregister before its next required filing on this form.
|
|
a. Is this the first filing on this form by the Registrant?
| ☐ Yes
☒ No
|
|
b. Is this the last filing on this form by the Registrant?
| ☐ Yes
☒ No
|
Item B.5. Family of investment companies.
| Instruction.
"Family of investment companies" means, except for insurance company
separate accounts, any two or more registered investment companies
that (i) share the same investment adviser or principal underwriter;
and (ii) hold themselves out to investors as related companies for
purposes of investment and investor services. In responding to this
item, all Registrants in the family of investment companies should
report the name of the family of investment companies identically.
|
|
Insurance company separate accounts that may not hold themselves
out to investors as related companies (products) for
purposes of investment and investor services should consider
themselves part of the same family if the operational or accounting
or control systems under which these entities function are
substantially similar.
|
|
a. Is the Registrant part of a family of investment companies?
| ☒ Yes
☐ No
|
|
i. Full name of family of investment companies
| INVESCOUIT |
Item B.6. Organization.
| Instruction.
For Item B.6.a.i., the Registrant should include all Series that
have been established by the Registrant and have shares outstanding
(other than shares issued in connection with an initial investment
to satisfy section 14(a) of the Act).
|
|
a. Indicate the classification of the Registrant by checking the applicable item
| ☐
a. Open-end management investment company registered under the Act on Form N-1A
☐
b. Closed-end management investment company registered under the Act on Form N-2
☐
c. Separate account offering variable annuity contracts which
is registered under the Act as a management investment company on Form N-3
☐
d. Separate account offering variable annuity contracts which
is registered under the Act as a unit investment trust on Form N-4
☐
e. Small business investment company registered under the Act on Form N-5
☐
f. Separate account offering variable insurance contracts
which is registered under the Act as a unit investment trust on Form N-6
☒
g. Unit investment trust registered under the Act on Form N-8B-2
|
Item B.7. Securities Act registration.
|
a. Is the Registrant the issuer of a class of securities
registered under the Securities Act of 1933 ("Securities Act")?
| ☒ Yes
☐ No
|
Item B.8. Directors.
|
a. Provide the information requested below about each person serving as director of the Registrant (management investment companies only):
| |
| Director Record | Full Name | CRD number, if any | Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-): |
|---|
—
|
—
|
—
|
—
|
—
|
Item B.9. Chief compliance officer.
|
a. Provide the information requested below about each person serving as chief compliance officer (CCO) of the Registrant for purposes of rule 38a-1 (17 CFR 270.38a- 1):
| |
| Chief compliance officer Record | Full Name | CRD Number, if any | Telephone | Address | Has the CCO changed since the last filing? | If the chief compliance officer is compensated or employed by any person other than the Registrant, or an affiliated person of the Registrant, for providing chief compliance officer services, provide: |
|---|
|
#1 | Trisha Hancock | 004373744 | XXXXXX | 11 Greenway Plaza
Suite 1000
Houston,
TEXAS
77046-1173
UNITED STATES OF AMERICA
|
No
| - Name of the person: N/A
IRS Employer Identification Number: N/A
|
Item B.10. Matters for security holder vote.
| Instruction.
Registrants registered on Forms N-3, N-4 or N-6, should respond "yes"
to this Item only if security holder votes were solicited on contract-level matters.
|
|
a. Were any matters submitted by the Registrant for its security holders' vote during the reporting period?
| ☐ Yes
☒ No
|
Item B.11. Legal proceeding.
| Instruction.
For purposes of this Item, the following proceedings should be described: (1) any bankruptcy, receivership or similar proceeding with respect to the Registrant or any of its significant subsidiaries; (2) any proceeding to which any director, officer or other affiliated person of the Registrant is a party adverse to the Registrant or any of its subsidiaries; and (3) any proceeding involving the revocation or suspension of the right of the Registrant to sell securities.
|
|
a. Have there been any material legal proceedings, other
than routine litigation incidental to the business, to which the
Registrant or any of its subsidiaries was a party or of which any of
their property was the subject during the reporting period?
| ☐ Yes
☒ No
|
|
b. Has any proceeding previously reported been terminated?
| ☐ Yes
☒ No
|
Item B.12. Fidelity bond and insurance (management investment companies only).
|
a. Were any claims with respect to the Registrant filed
under a fidelity bond (including, but not limited to, the fidelity
insuring agreement of the bond) during the reporting period?
| ☐ Yes
☒ No
|
|
Item B.13. Directors and officers/errors and omissions insurance (management investment companies only).
|
a. Are the Registrant's officers or directors covered in their capacities
as officers or directors under any directors and officers/errors and
omissions insurance policy owned by the Registrant or anyone else?
| ☒ Yes
☐ No
|
|
i. If yes, were any claims filed under the policy during the reporting period with respect to the Registrant?
| ☐ Yes
☒ No
|
Item B.14. Provision of financial support.
| Instruction.
For purposes of this Item, a provision of financial support includes any (1) capital contribution, (2) purchase of a security from a Money Market Fund in reliance on rule 17a-9 under the Act (17 CFR 270.17a-9), (3) purchase of any defaulted or devalued security at fair value reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio, (4) execution of letter of credit or letter of indemnity, (5) capital support agreement (whether or not the Registrant ultimately received support), (6) performance guarantee, or (7) other similar action reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio. Provision of financial support does not include any (1) routine waiver of fees or reimbursement of Registrant's expenses, (2) routine inter-fund lending, (3) routine inter-fund purchases of Registrant's shares, or (4) action that would qualify as financial support as defined above, that the board of directors has otherwise determined not to be reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio.
|
|
a. Did an affiliated person, promoter, or principal underwriter of the Registrant, or an affiliated person of such a person, provide any form of financial support to the Registrant during the reporting period?
| ☐ Yes
☒ No
|
Item B.15. Exemptive orders.
|
a. During the reporting period, did the Registrant rely on any orders from the Commission granting an exemption from one or more provisions of the Act, Securities Act or Exchange Act?
| ☒ Yes
☐ No
|
|
i. If yes, provide the release number for each order:
| - IC-27753
|
Item B.16. Principal underwriters.
|
a. Provide the information requested below about each principal underwriter:
| |
| Principal underwriter Record | Full Name | SEC file number (e.g., 8-) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor? |
|---|
|
#1 | Invesco Distributors, Inc. | 008-21323 | 000007369 | N/A |
TEXAS
|
UNITED STATES OF AMERICA
|
Yes
|
|
b. Have any principal underwriters been hired or terminated during the reporting period?
| ☐ Yes
☒ No
|
Item B.17. Independent public accountant.
|
a. Provide the following information about each independent public accountant:
| |
| Public accountant Record | Full Name | PCAOB Number | LEI, if any | State, if applicable | Foreign country, if applicable |
|---|
|
#1 | PricewaterhouseCoopers LLP | 238 | 5493002GVO7EO8RNNS37 |
ILLINOIS
|
UNITED STATES OF AMERICA
|
|
b. Has the independent public accountant changed since the last filing?
| ☐ Yes
☒ No
|
Item B.18. Report on internal control (management investment companies only).
| Instruction.
Small business investment companies are not required to respond to this item.
|
|
a. For the reporting period, did an independent public accountant's report on internal control note any material weaknesses?
| ☐ Yes
☐ No
|
Item B.19. Audit opinion.
|
a. For the reporting period, did an independent public accountant issue
an opinion other than an unqualified opinion with respect to its audit
of the Registrant's financial statements?
| ☐ Yes
☒ No
|
Item B.20. Change in valuation methods.
| Instruction.
Responses to this item need not include changes to valuation techniques used for individual securities (e.g., changing from market approach to income approach for a private equity security). In responding to Item B.20.c., provide the applicable "asset type" category specified in Item C.4.a. of Form N-PORT. In responding to Item B.20.d., provide a brief description of the type of investments involved. If the change in valuation methods applies only to certain sub-asset types included in the response to Item B.20.c., please provide the sub-asset types in the response to Item B.20.d. The responses to Item B.20.c. and Item B.20.d. should be identical only if the change in valuation methods applies to all assets within that category.
|
|
a. Have there been material changes in the method of valuation (e.g., change from use of bid price to mid price for fixed income securities or change in trigger threshold for use of fair value factors on international equity securities) of the Registrant's assets during the reporting period?
| ☒ Yes
☐ No
|
|
i. If yes, provide the following:
| |
| Valuation methods change Record | Date of Change | Explanation of the change | Asset type involved (if "other", provide a brief description) | Types of investments involved | Statutory or regulatory basis, if any |
|---|
|
#1 | 2021-10-01 | Change in primary source for CLOs and secondary source for securitized assets | ABS-collateralized bond/debt obligation | Securitized Security Types | N/A |
|
#2 | 2021-10-01 | Change in primary source for CLOs and secondary source for securitized assets | ABS-other | Securitized Security Types | N/A |
|
#3 | 2021-10-01 | Change in primary source for CLOs and secondary source for securitized assets | ABS-mortgage backed security | Securitized Security Types | N/A |
|
#4 | 2021-10-01 | Change in primary source for CLOs and secondary source for securitized assets | ABS-asset backed commercial paper | Securitized Security Types | N/A |
Item B.21. Change in accounting principles and practices.
|
a. Have there been any changes in accounting principles or practices, or any change in the method of applying any such accounting principles or practices, which will materially affect the financial statements filed or to be filed for the current year with the Commission and which has not been previously reported?
| ☐ Yes
☒ No
|
N-CEN:Part E: Additional Questions for Exchange-Traded Funds and Exchange-Traded Managed Funds
Item E.1. Exchange.
| Security Exchange Record | Provide the name of the national securities exchange on which the Fund’s shares are listed | Provide the Fund's ticker symbol |
|---|
|
#1 |
NASDAQ - ALL MARKETS
| QQQ |
Item E.2. Authorized participants.
| Instructions. The term "authorized participant" means a broker-dealer that is
also a member of a clearing agency registered with the Commission, and which has
a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund
or one of its designated service providers that allows it place orders to purchase
or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund.
|
|
a. For each authorized participant of the Fund, provide the following information:
| |
| Authorized Participants Record | Full Name | SEC file number | CRD number | LEI, if any |
The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period
|
The dollar value of the Fund shares the authorized participant redeemed during the reporting period
|
|---|
|
#1 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | 9R7GPTSO7KV3UQJZQ078 | 16,790,762,511.31700000 | 19,132,708,009.33100000 |
|
#2 | Merrill Lynch Professional Clearing Corp. | 8-33359 | 000016139 | 549300PMHS66E71I2D34 | 51,067,101,856.77150000 | 48,175,686,059.87550000 |
|
#3 | Deutsche Bank Securities, Inc. | 8-17822 | 000002525 | 9J6MBOOO7BECTDTUZW19 | 0.00000000 | 0.00000000 |
|
#4 | CIBC WORLD MARKETS CORP. | 8-18333 | 000000630 | 549300445CON3DBMU275 | 944,275,453.87550000 | 189,135,565.17000000 |
|
#5 | VIRTU AMERICAS LLC | 8-68193 | 000149823 | 549300RA02N3BNSWBV74 | 3,884,912,971.28300000 | 3,936,452,350.45650000 |
|
#6 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | MBNUM2BPBDO7JBLYG310 | 4,732,728,885.08850000 | 2,128,747,327.03000000 |
|
#7 | Barclays Capital Inc. | 8-41342 | 000019714 | AC28XWWI3WIBK2824319 | 6,052,236,926.05350000 | 3,588,216,199.70900000 |
|
#8 | RBS Securities Inc. | 8-37135 | 000011707 | ZE2ZWJ5BTIQJ8M0C6K34 | 0.00000000 | 0.00000000 |
|
#9 | NATIONAL BANK OF CANADA FINANCIAL INC. | 8-39947 | 000022698 | 549300K66TF1ST7A3V76 | 0.00000000 | 0.00000000 |
|
#10 | Wedbush Securities Inc. | 8-12987 | 000000877 | 549300CSX55MXZ47EI78 | 131,622,046.29800000 | 445,550,959.47750000 |
|
#11 | BNP Paribas Prime Brokerage Inc | 8-44765 | 000024962 | 7VHWWWW4UJS7NUM3PT30 | 0.00000000 | 0.00000000 |
|
#12 | RBC CAPITAL MARKETS, LLC | 8-45411 | 000031194 | 549300LCO2FLSSVFFR64 | 1,634,829,631.69850000 | 2,670,783,449.29050000 |
|
#13 | Citadel Securities LLC | 8-53574 | 000116797 | 12UUJYTN7D3SW8KCSG25 | 16,611,127,908.73750000 | 15,341,996,440.58700000 |
|
#14 | NATIONAL FINANCIAL SERVICES LLC | 8-26740 | 000013041 | 549300JRHF1MHHWUAW04 | 0.00000000 | 0.00000000 |
|
#15 | Jefferies LLC | 8-15074 | 000002347 | 58PU97L1C0WSRCWADL48 | 0.00000000 | 0.00000000 |
|
#16 | HSBC SECURITIES (USA) INC. | 8-41562 | 000019585 | CYYGQCGNHMHPSMRL3R97 | 0.00000000 | 0.00000000 |
|
#17 | Wells Fargo Securities, LLC | 8-22947 | 000126292 | VYVVCKR63DVZZN70PB21 | 713,365,236.29950000 | 36,520,930.69800000 |
|
#18 | Credit Suisse Securities (USA) LLC | 8-00422 | 000000816 | 1V8Y6QCX6YMJ2OELII46 | 5,434,449,961.80950000 | 545,229,699.82800000 |
|
#19 | Goldman, Sachs & Co. | 8-00129 | 000000361 | FOR8UP27PHTHYVLBNG30 | 50,586,888,898.84900000 | 61,252,912,091.12850000 |
|
#20 | ING FINANCIAL MARKETS LLC | 8-43978 | 000028872 | KBVRJ5K57JZ3E2AVWX40 | 0.00000000 | 0.00000000 |
|
#21 | Natixis Securities Americas LLC | 8-00719 | 000001101 | 549300L8G1E7ZHVEOG75 | 511,466,367.75500000 | 356,227,067.85500000 |
|
#22 | NOMURA SECURITIES INTERNATIONAL, INC. | 8-15255 | 000004297 | OXTKY6Q8X53C9ILVV871 | 0.00000000 | 0.00000000 |
|
#23 | Interactive Brokers LLC | 8-47257 | 000036418 | 50OBSE5T5521O6SMZR28 | 0.00000000 | 0.00000000 |
|
#24 | Mizuho Securities USA LLC | 8-37710 | 000019647 | 7TK5RJIZDFROZCA6XF66 | 987,669,963.99300000 | 97,116,978.14400000 |
|
#25 | COWEN AND CO. | 8-22522 | 000007616 | 549300WR155U7DVMIW58 | 0.00000000 | 0.00000000 |
|
#26 | Cantor Fitzgerald & Co. | 8-00201 | 000000134 | 5493004J7H4GCPG6OB62 | 0.00000000 | 0.00000000 |
|
#27 | HRT Financial LLC | 8-68430 | 000152144 | 21380037YFKONTT23854 | 22,725,660,135.73450000 | 14,934,704,811.03400000 |
|
#28 | Macquarie Capital (USA) Inc. | 8-47198 | 000036368 | 549300670K07JRB5UQ40 | 0.00000000 | 0.00000000 |
|
#29 | J.P. Morgan Securities Inc. | 8-35008 | 000018718 | N/A | 1,402,764,035.07300000 | 2,057,375,524.01850000 |
|
#30 | MUFG SECURITIES AMERICAS INC. | 8-43026 | 000019685 | K5HU16E3LMSVCCJJJ255 | 0.00000000 | 0.00000000 |
|
#31 | VIRTU FINANCIAL CAPITAL MARKETS LLC | 8-51262 | 000045986 | 5493006FX0HRYU3G2R47 | 0.00000000 | 0.00000000 |
|
#32 | BNP Paribas Securities Corp. | 8-32682 | 000015794 | RCNB6OTYUAMMP879YW96 | 6,069,142,572.05200000 | 8,720,734,230.82800000 |
|
#33 | UBS SECURITIES LLC | 8-22651 | 000007654 | T6FIZBDPKLYJKFCRVK44 | 2,960,261,125.91200000 | 3,399,244,740.95200000 |
|
#34 | SCOTIA CAPITAL (USA) INC. | 8-3716 | 000002739 | 549300BLWPABP1VNME36 | 0.00000000 | 0.00000000 |
|
#35 | SG AMERICAS SECURITIES, LLC | 8-66125 | 000128351 | 549300F35UE0BOM1WJ55 | 28,401,908,140.48100000 | 28,706,785,645.00550000 |
|
#36 | ABN AMRO Clearing Chicago LLC | 8-34354 | 000014020 | 549300U16G4LU3V6C598 | 53,365,666,678.36990000 | 34,805,464,351.81550000 |
|
#37 | ABN AMRO SECURITIES (USA) LLC | 8-68398 | 000151796 | 549300FIFV1CB6HD9A14 | 0.00000000 | 0.00000000 |
|
#38 | BMO Capital Markets Corp. | 8-34344 | 000016686 | RUC0QBLBRPRCU4W1NE59 | 299,187,273.76000000 | 2,197,830,172.49000000 |
|
#39 | Electronic Transaction Clearing, Inc. | 8-67790 | 000146122 | N/A | 0.00000000 | 0.00000000 |
|
b. Did the Fund require that an authorized participant post collateral to the Fund or
any of its designated service providers in connection with the purchase or
redemption of Fund shares during the reporting period?
| ☒ Yes
☐ No
|
Item E.3. Creation units.
| Instructions.
The term “creation unit” means a specified number of
Exchange-Traded Fund or Exchange-Traded Managed Fund shares that
the fund will issue to (or redeem from) an authorized participant
in exchange for the deposit (or delivery) of specified securities,
positions, cash, and other assets or positions.
|
|
a. Number of Fund shares required to form a creation
unit as of the last business day of the reporting period:
| 50,000.00000000 |
|
b. Based on the dollar value paid for each creation unit
purchased by authorized participants during the reporting period, provide:
|
|
i. The average percentage of that value composed of cash:
| 0.04859000
%
|
|
ii. The standard deviation of the percentage of value composed of cash:
| 0.04533000
%
|
|
iii. The average percentage of that value composed of
non-cash assets and other positions exchanged on an "in-kind" basis:
| 99.95141000
%
|
|
iv. The standard deviation of the percentage of that value composed
of non-cash assets and other positions exchanged on an "in-kind" basis:
| 0.04533000
%
|
|
c. Based on the dollar value paid for creation units redeemed by
authorized participants during the reporting period, provide:
|
|
i. The average percentage of that value composed of cash:
| 0.05036000
%
|
|
ii. The standard deviation of the percentage of that value composed of cash:
| 0.04362000
%
|
|
iii. The average percentage of that value composed of
non-cash assets and other positions exchanged on an "in-kind" basis:
| 99.94964000
%
|
|
iv. The standard deviation of the percentage of that value composed
of non-cash assets and other positions exchanged on an "in-kind" basis:
| 0.04362000
%
|
|
d. For creation units purchased by authorized participants during
the reporting period, provide:
|
|
i. The average transaction fee charged to an authorized
participant for transacting in the creation units, expressed as:
|
|
1. Dollars per creation unit, if charged on that basis:
| 0.00000000 |
|
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
| 584.61538000 |
|
3. A percentage of the value of each creation unit, if charged on that basis:
| 0.00000000
%
|
|
ii. The average transaction fee charged to an authorized
participant for transacting in those creation units the
consideration for which was fully or partially composed of cash,
expressed as:
|
|
1. Dollars per creation unit, if charged on that basis:
| 0.00000000 |
|
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
| 584.61538000 |
|
3. A percentage of the value of each creation unit, if charged on that basis:
| 0.00000000
%
|
|
e. For creation units redeemed by authorized participants during the reporting period, provide:
|
|
i. The average transaction fee charged to an authorized
participant for transacting in the creation units, expressed as:
|
|
1. Dollars per creation unit, if charged on that basis:
| 0.00000000 |
|
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
| 638.03894000 |
|
3. A percentage of the value of each creation unit, if charged on that basis:
| 0.00000000
%
|
|
ii. The average transaction fee charged to an authorized
participant for transacting in those creation units the
consideration for which was fully or partially composed of cash,
expressed as:
|
|
1. Dollars per creation unit, if charged on that basis:
| 0.00000000 |
|
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
| 638.03894000 |
|
3. A percentage of the value of each creation unit, if charged on that basis:
| 0.00000000
%
|
Item E.4. Benchmark return difference (Unit Invest Trusts only).
|
a. If the Fund is an Index Fund as defined in Item C.3 of this Form, provide the following information:
|
|
i. Is the index whose performance the Fund tracks, constructed:
|
|
1. By an affiliated person of the fund?
| ☐ Yes
☒ No
|
|
2. Exclusively for the fund?
| ☐ Yes
☒ No
|
|
ii. The annualized difference between the Fund’s total return during the reporting period
and the index’s return during the reporting period (i.e., the Fund’s total return less the index’s return):
|
|
1. Before Fund fees and expenses:
| 0.1827226286 |
|
2. After Fund fees and expenses (i.e., net asset value):
| -0.2544283714 |
|
iii. The annualized standard deviation of the daily difference
between the Fund’s total return and the index’s return during the reporting period:
|
|
1. Before Fund fees and expenses:
| 0.2043953324 |
|
2. After Fund fees and expenses (i.e., net asset value):
| 0.2043953324 |
Item E.5. In-Kind ETF.
|
a. Is the Fund an "In-Kind Exchange-Traded Fund" as defined
in rule 22e-4 under the Act (17 CFR 270.22e-4)?
| ☐ Yes
☒ No
|
N-CEN:Part F: Additional Questions for Unit Investment Trusts
Item F.1. Depositor.
|
a. Provide the following information about the depositor:
| |
| Depositor Record | Full name | CRD number, if any | LEI, if any | State, if applicable | Foreign country, if applicable | Full Name of ultimate parent of depositor |
|---|
|
#1 | THE DEPOSITORY TRUST COMPANY | N/A | 549300HBJLRO8YFMI370 |
NEW YORK
|
UNITED STATES OF AMERICA
| THE DEPOSITORY TRUST & CLEARING CORP. |
Item F.2. Third-party administrator.
|
a. Provide the following information about each administrator of the Fund:
| |
| UIT Admin Record | Full name | LEI, if any, or provide and describe other identifying number | State, if applicable | Foreign country, if applicable | Is the administrator an affiliated person of the Fund or depositor? | Is the administrator a sub-administrator? |
|---|
—
|
—
|
—
|
—
|
—
|
—
|
—
|
|
b. Has an administrator been hired or terminated during the reporting period?
| ☐ Yes
☒ No
|
Item F.3. Insurance company separate accounts.
| Instruction.
If the answer to Item F.3 is yes, respond to Item F.12 through Item
F.17. If the answer to Item F.3 is no, respond to Item F.4 through
Item F.11, and Item F.17.
|
|
a. Is the Registrant a separate account of an insurance company?
| ☐ Yes
☒ No
|
Item F.4. Sponsor.
|
a. Provide the following information about each sponsor:
| |
| Sponsor Record | Full name | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable |
|---|
|
#1 | INVESCO CAPITAL MANAGEMENT LLC | 000125601 | EJW8VXOT5RJ3PPMVEB49 |
ILLINOIS
|
UNITED STATES OF AMERICA
|
Item F.5. Trustees.
|
a. Provide the following information about each trustee:
| |
| Trustee Record | Full name | State, if applicable | Foreign country, if applicable |
|---|
|
#1 | THE BANK OF NEW YORK MELLON |
NEW YORK
|
UNITED STATES OF AMERICA
|
Item F.6. Securities Act registration.
|
a. Provide the number of series existing at the end of
the reporting period that had outstanding securities registered under
the Securities Act:
| 1 |
|
b. Provide the CIK for each of these existing series:
|
Series CIK
- 0001067839
|
Item F.7. New Series.
|
a. Number of new series for which registration
statements under the Securities Act became effective during the
reporting period:
| 0 |
|
b. Total aggregate value of the portfolio securities on
the date of deposit for the new series:
| 0.00 |
Item F.8. Series with a current prospectus.
|
a. Number of series for which a current prospectus was in
existence at the end of the reporting period:
| 1 |
Item F.9. Number of existing series for which additional units were registered under the securities Act.
|
a. Number of existing series for which additional units
were registered under the Securities Act during the reporting
period:
| 0 |
|
b. Total value of additional units:
| 0.00 |
Item F.10. Value of units placed in portfolios of subsequent series.
|
a. Total value of units of prior series that were placed
in the portfolios of subsequent series during the reporting period
(the value of these units is to be measured on the date they were
placed in the subsequent series):
| 0.00 |
Item F.11. Assets.
|
a. Provide the total assets of all series of the Registrant combined as of the end of the reporting period:
| 216,131,287,757.02 |
Item F.17. Divestments under section 13(c) of the Act.
Instruction. This item may be used by a unit investment trust that divested
itself of securities in accordance with section 13(c). A unit investment trust is not required to include
disclosure under this item; however, the limitation on civil, criminal, and administrative
actions under section 13(c) does not apply with respect to a divestment that is not disclosed under this item.
If a unit investment trust divests itself of securities in accordance with section 13(c) during the period that
begins on the fifth business day before the date of filing a report on Form N-CEN and ends on the date of filing, the unit
investment trust may disclose the divestment in either the report or an amendment thereto
that is filed not later than five business days after the date of filing the report.
For purposes of determining when a divestment should be reported under this item, if a unit investment trust
divests its holdings in a particular security in a related series of transactions, the unit
investment trust may deem the divestment to occur at the time of the final transaction in the series. In
that case, the unit investment trust should report each transaction in the series on a single
report on Form N-CEN, but should separately state each date on which securities were
divested and the total number of shares or, for debt securities, principal amount divested, on each such date.
Item F.17 shall terminate one year after the first date on which all
statutory provisions that underlie section 13(c) have terminated.
|
|
a. If the Registrant has divested itself of securities in accordance with section 13(c) of the Act (15 U.S.C.
80a-13(c)) since the end of the reporting period immediately prior to the current reporting period and before
filing of the current report, disclose the information requested below for each such divested security:
| |
| Divestment Record | Full name of the issuer | Ticker Symbol | CUSIP number | Total number of shares or, for debt securities, principal amount divested | Date that the securities were divested | Name of the statute that added the provision of section 13(c) in accordance with which the securities were divested |
|---|
—
|
—
|
—
|
—
|
—
|
—
|
—
|
|
b. If the Registrant holds any securities of the issuer on the date of
the filing, provide the information requested below:
| |
| Registrant held security Record | Ticker Symbol | CUSIP number | Total number of shares or, for debt securities, principal amount held on the date of the filing |
|---|
—
|
—
|
—
|
—
|
Item F.18. Reliance on rule 12d1-4.
|
Did the Registrant rely on rule 12d1-4 under
the Act (17 CFR 270.12d1-2) during the reporting period?
| ☐ Yes
☒ No
|
Item F.19. Reliance on section 12(d)(1)(G).
|
Did the Registrant rely on the statutory exception in
section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) during the reporting period?
| ☐ Yes
☒ No
|
N-CEN:Part G: Attachments
Item G.1a. Attachments.
|
a. Attachments applicable to all Registrants. All
Registrants shall file the following attachments, as applicable,
with the current report. Indicate the attachments filed with the
current report by checking the applicable items below:
| ☐
i. Legal proceedings
☐
ii. Provision of financial support
☐
iii. Independent public accountant's report on internal
control (management investment companies other than small business
investment companies only)
☐
iv. Change in accounting principles and practices
☐
v. Information required to be filed pursuant to
exemptive orders
☐
vi. Other information required to be included
as an attachment pursuant to Commission rules and regulations
|
Instructions.
1. Item G.1.a.i. Legal proceedings.
(a) If the Registrant responded "YES" to Item B.11.a., provide a
brief description of the proceedings. As part of the description,
provide the case or docket number (if any), and the full names of
the principal parties to the proceeding.
(b) If the Registrant responded "YES" to Item B.11.b., identify the
proceeding and give its date of termination.
2. Item G.1.a.ii. Provision of financial support. If the Registrant
responded "YES" to Item B.14., provide the following information
(unless the Registrant is a Money Market Fund):
(a) Description of nature of support.
(b) Person providing support.
(c) Brief description of relationship between the person providing
support and the Registrant.
(d) Date support provided.
(e) Amount of support.
(f) Security supported (if applicable). Disclose the full name of
the issuer, the title of the issue (including coupon or yield, if
applicable) and at least two identifiers, if available (e.g., CIK,
CUSIP, ISIN, LEI).
(g) Value of security supported on date support was initiated (if
applicable).
(h) Brief description of reason for support.
(i) Term of support.
(j) Brief description of any contractual restrictions relating to
support.
3. Item G.1.a.iii. Independent public accountant's report on
internal control (management investment companies other than small
business investment companies only). Each management investment
company shall furnish a report of its independent public accountant
on the company's system of internal accounting controls. The
accountant's report shall be based on the review, study and
evaluation of the accounting system, internal accounting controls,
and procedures for safeguarding securities made during the audit of
the financial statements for the reporting period. The report
should disclose any material weaknesses in: (a) the accounting
system; (b) system of internal accounting control; or (c)
procedures for safeguarding securities which exist as of the end of
the Registrant's fiscal year.
The accountant's report shall be furnished as an exhibit to the
form and shall: (1) be addressed to the Registrant's shareholders
and board of directors; (2) be dated; (3) be signed manually; and
(4) indicate the city and state where issued.
Attachments that include a report that discloses a material
weakness should include an indication by the Registrant of any
corrective action taken or proposed.
The fact that an accountant's report is attached to this form shall
not be regarded as acknowledging any review of this form by the
independent public accountant.
4. Item G.1.a.iv. Change in accounting principles and practices. If
the Registrant responded "YES" to Item B.21, provide an attachment
that describes the change in accounting principles or practices, or
the change in the method of applying any such accounting principles
or practices. State the date of the change and the reasons
therefor. A letter from the Registrant's independent accountants,
approving or otherwise commenting on the change, shall accompany
the description.
5. Item G.1.a.v. Information required to be filed pursuant to
exemptive orders. File as an attachment any information required to
be reported on Form N-CEN or any predecessor form to Form N-CEN
(e.g., Form N-SAR) pursuant to exemptive orders issued by the
Commission and relied on by the Registrant.
6. Item G.1.a.vi. Other information required to be included as an
attachment pursuant to Commission rules and regulations. File as an
attachment any other information required to be included as an
attachment pursuant to Commission rules and regulations.
|
N-CEN: Signature
|
Pursuant to the requirements of the Investment Company Act of 1940, the
Registrant has duly caused this report to be signed on its behalf
by the undersigned hereunto duly authorized.
|
|
Registrant
| Invesco QQQ Trust, Series 1 |
|
Date
| 2022-03-11 |
|
Signature
| Kelli Gallegos |
|
Title
| Principal Financial and Accounting Officer |
Invesco QQQ Trust Series 1 (NASDAQ:QQQ)
過去 株価チャート
から 11 2023 まで 12 2023
Invesco QQQ Trust Series 1 (NASDAQ:QQQ)
過去 株価チャート
から 12 2022 まで 12 2023
