Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company (n-q)
2013年4月2日 - 12:20AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington, D.C. 20549
________
FORM N-Q
________
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS
OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number 811-22263
Exchange
Traded Concepts Trust
(Exact name of Registrant as specified in
charter)
________
2545 S. Kelly Avenue, Suite C
Edmond, OK 73013
(Address of principal executive offices)
(Zip code)
J. Garrett Stevens
Exchnage Traded Concepts Trust
2545 South Kelly Avenue
Suite C
Edmond, Oklahoma 73013
(Name and address of
agent for service)
Copy to:
W. John McGuire
Bingham McCutchen LLP
2020 K Street NW
Washington, DC 20006
Registrant’s telephone number,
including area code: 1-405-778-8377
Date of fiscal year end: April 30, 2013
Date of reporting period: January 31,
2013
Item 1. Schedule of Investments
Exchange
Traded Concepts
Schedule of Investments
Sustainable North American Oil Sands ETF
January 31,
2013
Description
|
|
Shares
|
|
|
Market Value
|
|
|
|
|
|
|
|
|
COMMON STOCK — 99.8%
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Canada — 38.6%
|
|
|
|
|
|
|
|
|
Athabasca Oil*
|
|
|
2,845
|
|
|
$
|
30,207
|
|
Baytex Energy
|
|
|
682
|
|
|
|
31,358
|
|
Canadian Natural Resources
|
|
|
1,050
|
|
|
|
31,709
|
|
Canadian Oil Sands
|
|
|
1,500
|
|
|
|
31,567
|
|
Cenovus Energy
|
|
|
906
|
|
|
|
30,076
|
|
Enbridge
|
|
|
43
|
|
|
|
1,881
|
|
Enbridge(A)
|
|
|
643
|
|
|
|
28,269
|
|
Finning International
|
|
|
1,213
|
|
|
|
31,061
|
|
Husky Energy
|
|
|
1,005
|
|
|
|
31,337
|
|
Imperial Oil
|
|
|
689
|
|
|
|
30,257
|
|
Keyera
|
|
|
607
|
|
|
|
31,585
|
|
MEG Energy*
|
|
|
919
|
|
|
|
31,410
|
|
Nexen
|
|
|
1,106
|
|
|
|
29,585
|
|
Pembina Pipeline
|
|
|
1,019
|
|
|
|
29,567
|
|
Suncor Energy
|
|
|
909
|
|
|
|
30,895
|
|
TransCanada
|
|
|
642
|
|
|
|
30,388
|
|
|
|
|
|
|
|
|
461,152
|
|
China — 5.1%
|
|
|
|
|
|
|
|
|
China Petroleum & Chemical ADR
|
|
|
257
|
|
|
|
31,213
|
|
PetroChina ADR
|
|
|
206
|
|
|
|
29,293
|
|
|
|
|
|
|
|
|
60,506
|
|
France — 2.6%
|
|
|
|
|
|
|
|
|
Total ADR
|
|
|
567
|
|
|
|
30,782
|
|
|
|
|
|
|
|
|
|
|
Hong Kong — 2.3%
|
|
|
|
|
|
|
|
|
CNOOC ADR
|
|
|
133
|
|
|
|
27,309
|
|
|
|
|
|
|
|
|
|
|
Netherlands — 2.9%
|
|
|
|
|
|
|
|
|
Chicago Bridge & Iron
|
|
|
690
|
|
|
|
35,059
|
|
|
|
|
|
|
|
|
|
|
Norway — 2.6%
|
|
|
|
|
|
|
|
|
Statoil ADR
|
|
|
1,173
|
|
|
|
31,120
|
|
|
|
|
|
|
|
|
|
|
United Kingdom — 5.1%
|
|
|
|
|
|
|
|
|
BP ADR
|
|
|
696
|
|
|
|
30,986
|
|
Royal Dutch Shell ADR, Cl A
|
|
|
420
|
|
|
|
29,618
|
|
|
|
|
|
|
|
|
60,604
|
|
United States — 40.6%
|
|
|
|
|
|
|
|
|
Chevron
|
|
|
267
|
|
|
|
30,745
|
|
ConocoPhillips
|
|
|
500
|
|
|
|
29,000
|
|
Devon Energy
|
|
|
555
|
|
|
|
31,741
|
|
Enterprise Products Partners
|
|
|
591
|
|
|
|
33,492
|
|
Exxon Mobil
|
|
|
328
|
|
|
|
29,510
|
|
Fluor
|
|
|
505
|
|
|
|
32,739
|
|
HollyFrontier
|
|
|
619
|
|
|
|
32,324
|
|
Jacobs Engineering Group*
|
|
|
707
|
|
|
|
34,014
|
|
Kinder Morgan Energy Partners
|
|
|
367
|
|
|
|
32,626
|
|
Marathon Oil
|
|
|
935
|
|
|
|
31,425
|
|
Marathon Petroleum
|
|
|
459
|
|
|
|
34,062
|
|
Murphy Oil
|
|
|
486
|
|
|
|
28,927
|
|
Exchange Traded Concepts
Schedule of Investments
Sustainable North American Oil Sands ETF
January 31, 2013
Description
|
|
Shares
|
|
|
Market Value
|
|
|
|
|
|
|
|
|
Oil States International*
|
|
|
433
|
|
|
$
|
33,592
|
|
Phillips 66
|
|
|
539
|
|
|
|
32,647
|
|
Valero Energy
|
|
|
864
|
|
|
|
37,783
|
|
|
|
|
|
|
|
|
484,627
|
|
Total Common Stock
|
|
|
|
|
|
|
|
|
(Cost $1,000,403)
|
|
|
|
|
|
|
1,191,159
|
|
|
|
|
|
|
|
|
|
|
Total Investments - 99.8%
|
|
|
|
|
|
|
|
|
(Cost $1,000,403)†
|
|
|
|
|
|
$
|
1,191,159
|
|
Percentages are based on Net Assets of $1,193,736.
ADR — American Depositary Receipt
Cl — Class
As of January 31, 2013, all of the Fund's investments
were considered Level 1, in accordance with ASC-820.
There have been no transfers between Level 1 &
Level 2 assets and liabilities. It is the Fund’s policy to recognize transfers into and out of Level 1 and Level 2 at the
end of the reporting period.
† At January 31, 2013, the tax basis cost
of the Fund’s investments was $1,000,403, and the unrealized appreciation and depreciation were $193,018, respectively.
* Non-income producing
For information on the Fund’s policy regarding
valuation of investments and other significant accounting policies, please refer to the Fund’s most recent semi-annual financial
statements.
SWM-QH-001-02
Item 2. Controls and Procedures
(a) The Registrant’s principal executive and
principal financial officers, or persons performing similar functions, have concluded that the Registrant’s disclosure
controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940, as amended (the “1940
Act”)(17 CFR 270.30a-3(c)) are effective, based on the evaluation of these controls and procedures required by Rule
30a-3(b) under the 1940 Act (17 CFR 270.30a-3(b)) and Rule 13a-15(b) or 15d-15(b) under the Securities Exchange Act of 1934
(17 CFR 240.13a-15(b) or 240.15d-15(b))as of a date within 90 days of the filing date of this report.
(b) There were no significant changes in the Registrant’s
internal control over financial reporting (as defined in Rule 30a-3(d) under the 1940 Act) that occurred during the Registrant’s
last fiscal quarter that have materially affected, or are reasonably likely to materially affect, the Registrant’s internal
control over financial reporting.
Item 3. Exhibits.
(a) A separate certification for the principal executive officer
and the principal financial officer of the Registrant as required by Rule 30a-2(a) under the 1940 Act, as
amended (17 CFR 270.30a-2(a)), are filed herewith.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act
of 1934 and the Investment Company Act of 1940, the Registrant has duly caused this report to be signed on its behalf by the undersigned,
thereunto duly authorized.
(Registrant)
|
Exchange Traded Concepts Trust
|
|
|
By (Signature and Title)
|
/s/ J. Garrett Stevens
|
|
J. Garrett Stevens, President
|
Date: March 29, 2013
Pursuant to the requirements of the Securities Exchange Act
of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the Registrant
and in the capacities and on the dates indicated.
By (Signature and Title)
|
/s/ J. Garrett Stevens
|
|
J. Garrett Stevens, President
|
Date: March 29, 2013
By (Signature and Title)
|
/s/ Richard Hogan
|
|
Richard Hogan, Treasurer
|
Date: March 29, 2013
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