Form N-Q Global X Funds For: Feb 28
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 811-22209
Global X Funds
(Exact name of registrant as specified in charter)
________
600 Lexington Avenue, 20th Floor
New York, NY 10022
(Address of principal executive offices) (Zip code)
Luis Berruga
Global X Management Company LLC
600 Lexington Ave, 20th Floor
New York, NY 10022
(Name and address of agent for service)
With a copy to:
Daphne Tippens Chisolm, Esq. | Eric S. Purple, Esq. |
Global X Management Company LLC | Stradley Ronon Stevens & Young, LLP |
600 Lexington Ave, 20th Floor | 1250 Connecticut Avenue, N.W., |
New York, NY 10022 | Washington, DC 20036-2652 |
Registrant’s telephone number, including area code: (212) 644-6440
Date of fiscal year end: November 30, 2018
Date of reporting period: February 28, 2018
Item 1. Schedule of Investments
The registrant’s schedules as of the close of the reporting period, as set forth in §§ 210.12-12 through 210.12-14 of Regulation S-X [17 CFR §§ 210-12.12-12.14], are attached hereto.
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X MLP ETF
Shares | Value | |||||||
MASTER LIMITED PARTNERSHIPS — 99.4% | ||||||||
UNITED STATES— 99.4% | ||||||||
Oil & Gas — 99.4% | ||||||||
Andeavor Logistics | 866,526 | $ | 40,276,128 | |||||
Antero Midstream Partners | 1,024,871 | 26,759,382 | ||||||
Buckeye Partners | 851,519 | 38,148,051 | ||||||
DCP Midstream Partners | 1,061,142 | 38,031,329 | ||||||
Enbridge Energy Partners | 2,535,956 | 31,724,810 | ||||||
Energy Transfer Partners | 4,314,278 | 78,563,002 | ||||||
EnLink Midstream Partners | 1,931,077 | 28,193,724 | ||||||
Enterprise Products Partners | 3,364,017 | 85,513,312 | ||||||
Equities Midstream Partners | 641,586 | 39,470,371 | ||||||
Genesis Energy | 1,259,679 | 25,143,193 | ||||||
Magellan Midstream Partners | 1,077,487 | 67,299,838 | ||||||
MPLX | 1,749,589 | 60,413,308 | ||||||
NuStar Energy | 926,592 | 20,329,428 | ||||||
Phillips 66 Partners | 605,728 | 29,765,474 | ||||||
Plains All American Pipeline | 2,000,486 | 42,210,255 | ||||||
Shell Midstream Partners | 1,307,061 | 31,434,817 | ||||||
Spectra Energy Partners | 892,048 | 35,048,566 | ||||||
Tallgrass Energy Partners | 169,660 | 6,506,461 | ||||||
TC PipeLines | 620,860 | 30,502,852 | ||||||
Western Gas Partners | 877,803 | 40,861,730 | ||||||
Williams Partners | 1,351,696 | 48,985,463 | ||||||
TOTAL MASTER LIMITED PARTNERSHIPS | ||||||||
(Cost $856,521,721) | 845,181,494 | |||||||
TOTAL INVESTMENTS — 99.4% | ||||||||
(Cost $856,521,721) | $ | 845,181,494 |
Percentages are based on Net Assets of $850,204,451.
As of February 28, 2018, all of the Fund's investments were considered Level 1, in accordance with authoritative guidance on fair value measurements and disclosure under U.S. GAAP.
For the period ended February 28, 2018, there have been no transfers between Level 1, Level 2 and Level 3 investments.
For information on the Fund’s policy regarding valuation of investments and other significant accounting policies, please refer to the Fund’s most recent annual or semi-annual financial statements.
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X MLP & Energy Infrastructure ETF
Shares | Value | |||||||
COMMON STOCK — 74.7% | ||||||||
Oil & Gas — 74.7% | ||||||||
Antero Midstream GP | 712,928 | $ | 13,189,168 | |||||
Cheniere Energy * | 470,902 | 24,731,773 | ||||||
Cheniere Energy Partners Holdings | 394,426 | 10,606,115 | ||||||
Enbridge^ | 1,106,092 | 35,195,847 | ||||||
Enbridge Energy Management * | 841,836 | 9,916,829 | ||||||
EnLink Midstream | 610,270 | 8,970,969 | ||||||
Kinder Morgan | 2,174,150 | 35,221,230 | ||||||
ONEOK | 513,415 | 28,920,667 | ||||||
Plains GP Holdings, Cl A | 832,845 | 17,323,176 | ||||||
SemGroup, Cl A | 701,028 | 15,562,822 | ||||||
Tallgrass Energy GP, Cl A | 609,301 | 12,277,415 | ||||||
Targa Resources | 261,135 | 11,659,678 | ||||||
TransCanada^ | 883,965 | 38,204,967 | ||||||
Williams | 1,124,822 | 31,225,059 | ||||||
TOTAL COMMON STOCK | ||||||||
(Cost $319,666,789) | 293,005,715 | |||||||
MASTER LIMITED PARTNERSHIPS — 24.0% | ||||||||
Oil & Gas — 24.0% | ||||||||
Andeavor Logistics | 59,452 | 2,763,329 | ||||||
Antero Midstream Partners | 58,275 | 1,521,560 | ||||||
Boardwalk Pipeline Partners | 84,767 | 955,324 | ||||||
Buckeye Partners | 98,738 | 4,423,462 | ||||||
DCP Midstream Partners | 60,186 | 2,157,066 | ||||||
Dominion Midstream Partners | 32,337 | 814,892 | ||||||
Enable Midstream Partners | 58,470 | 810,394 | ||||||
Energy Transfer Partners | 761,592 | 13,868,590 | ||||||
EnLink Midstream Partners | 111,750 | 1,631,550 | ||||||
Enterprise Products Partners | 700,035 | 17,794,890 | ||||||
Equities Midstream Partners | 39,183 | 2,410,538 | ||||||
Genesis Energy | 73,577 | 1,468,597 | ||||||
Holly Energy Partners | 27,680 | 813,792 | ||||||
Magellan Midstream Partners | 154,161 | 9,628,896 | ||||||
MPLX | 194,688 | 6,722,577 | ||||||
NuStar Energy | 53,110 | 1,165,233 | ||||||
Phillips 66 Partners | 35,311 | 1,735,183 | ||||||
Plains All American Pipeline | 295,406 | 6,233,067 | ||||||
Shell Midstream Partners | 91,092 | 2,190,763 | ||||||
Spectra Energy Partners | 54,298 | 2,133,369 | ||||||
Tallgrass Energy Partners | 31,831 | 1,220,719 | ||||||
TC PipeLines | 35,884 | 1,762,981 | ||||||
Valero Energy Partners | 15,008 | 578,258 | ||||||
Western Gas Partners | 67,938 | 3,162,514 |
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X MLP & Energy Infrastructure ETF
Shares | Value | |||||||
MASTER LIMITED PARTNERSHIPS — continued | ||||||||
Oil & Gas — continued | ||||||||
Williams Partners | 172,075 | $ | 6,235,998 | |||||
TOTAL MASTER LIMITED PARTNERSHIPS | ||||||||
(Cost $98,583,377) | 94,203,542 | |||||||
TOTAL INVESTMENTS — 98.7% | ||||||||
(Cost $418,250,166) | $ | 387,209,257 |
Percentages are based on Net Assets of $392,231,042.
^ | Canadian security listed on New York Stock Exchange and Toronto Stock Exchange. |
* | Non-income producing security. |
Cl — Class
As of February 28, 2018, all of the Fund's investments were considered Level 1, in accordance with authoritative guidance on fair value measurements and disclosure under U.S. GAAP.
For the period ended February 28, 2018, there have been no transfers between Level 1, Level 2 and Level 3 investments.
For information on the Fund’s policy regarding valuation of investments and other significant accounting policies, please refer to the Fund’s most recent annual or semi-annual financial statements.
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X SuperDividend® Alternatives ETF
Shares | Value | |||||||
CLOSED-END FUNDS — 35.0% | ||||||||
AllianzGI NFJ Dividend Interest & Premium Strategy Fund | 25,084 | $ | 329,353 | |||||
BlackRock Income Trust | 53,989 | 319,075 | ||||||
Brookfield Real Assets Income Fund | 14,252 | 313,972 | ||||||
Eaton Vance Risk-Managed Diversified Equity Income Fund | 35,940 | 327,773 | ||||||
Eaton Vance Tax Managed Global Buy Write Opportunities Fund | 28,612 | 336,477 | ||||||
Eaton Vance Tax-Managed Buy-Write Opportunities Fund | 22,128 | 339,886 | ||||||
Morgan Stanley Emerging Markets Domestic Debt Fund | 41,599 | 328,632 | ||||||
Nuveen Mortgage Opportunity Term Fund | 14,300 | 339,625 | ||||||
Stone Harbor Emerging Markets Income Fund | 20,596 | 329,124 | ||||||
Templeton Emerging Markets Income Fund | 29,370 | 345,097 | ||||||
Voya Global Equity Dividend and Premium Opportunity Fund | 42,018 | 317,656 | ||||||
Western Asset Emerging Markets Debt Fund | 21,613 | 317,279 | ||||||
Western Asset Mortgage Defined Opportunity Fund | 13,582 | 330,722 | ||||||
TOTAL CLOSED-END FUNDS | ||||||||
(Cost $4,228,172) | 4,274,671 | |||||||
COMMON STOCK — 33.0% | ||||||||
Financials — 23.8% | ||||||||
Apollo Investment | 41,014 | 214,913 | ||||||
Ares Capital | 15,176 | 239,629 | ||||||
BlackRock Capital Investment | 33,331 | 183,654 | ||||||
Hercules Capital | 19,224 | 231,649 | ||||||
Main Street Capital | 6,301 | 224,253 | ||||||
New Mountain Finance | 17,454 | 220,793 | ||||||
PennantPark Floating Rate Capital | 17,364 | 216,703 | ||||||
PennantPark Investment | 33,349 | 231,776 | ||||||
Prospect Capital | 37,542 | 249,278 | ||||||
Solar Capital | 11,492 | 233,288 | ||||||
TCP Capital | 15,189 | 216,595 | ||||||
TPG Specialty Lending | 11,979 | 216,101 | ||||||
2,678,632 | ||||||||
Industrials — 0.7% | ||||||||
Macquarie Infrastructure | 2,223 | 90,032 | ||||||
Utilities — 8.5% | ||||||||
Avangrid | 3,281 | 159,194 | ||||||
CenterPoint Energy | 5,480 | 148,234 | ||||||
Duke Energy | 1,906 | 143,598 | ||||||
Entergy | 2,095 | 158,843 | ||||||
FirstEnergy | 5,121 | 165,563 | ||||||
PPL | 4,196 | 120,215 | ||||||
Southern | 3,255 | 140,160 | ||||||
1,035,807 |
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X SuperDividend® Alternatives ETF
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
TOTAL COMMON STOCK | ||||||||
(Cost $4,208,443) | $ | 3,804,471 | ||||||
EXCHANGE TRADED FUND — 18.9% | ||||||||
Global X SuperDividend® REIT ETF (A) | ||||||||
(Cost $2,436,392) | 165,598 | 2,313,404 | ||||||
MASTER LIMITED PARTNERSHIPS — 9.2% | ||||||||
Industrials — 1.3% | ||||||||
Icahn Enterprises | 2,918 | 159,264 | ||||||
Oil & Gas — 6.7% | ||||||||
DCP Midstream Partners | 4,660 | 167,015 | ||||||
Enable Midstream Partners | 10,055 | 139,362 | ||||||
Energy Transfer Partners | 9,017 | 164,200 | ||||||
EnLink Midstream Partners | 9,662 | 141,065 | ||||||
Genesis Energy | 6,103 | 121,816 | ||||||
NuStar Energy | 4,068 | 89,252 | ||||||
822,710 | ||||||||
Utilities — 1.2% | ||||||||
Suburban Propane Partners | 6,200 | 143,220 | ||||||
TOTAL MASTER LIMITED PARTNERSHIPS | ||||||||
(Cost $1,263,069) | 1,125,194 | |||||||
BUSINESS DEVELOPMENT COMPANIES — 3.7% | ||||||||
Goldman Sachs BDC | 10,897 | 209,658 | ||||||
Golub Capital BDC | 13,324 | 238,766 | ||||||
TCG BDC | 13,316 | 229,967 | ||||||
TOTAL BUSINESS DEVELOPMENT COMPANIES | ||||||||
(Cost $745,595) | 678,391 | |||||||
TOTAL INVESTMENTS — 99.8% | ||||||||
(Cost $12,881,671) | $ | 12,196,131 |
Percentages are based on Net Assets of $12,225,852.
(A) | Affiliated investment. |
ETF — Exchange Traded Fund
REIT — Real Estate Investment Trust
As of February 28, 2018, all of the Fund's investments were considered Level 1, in accordance with authoritative guidance on fair value measurements and disclosure under U.S. GAAP.
For the period ended February 28, 2018, there have been no transfers between Level 1, Level 2 and Level 3 investments.
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X SuperDividend® Alternatives ETF
The following is a summary of the transactions with affiliates for the period ended February 28, 2018:
Changes in | ||||||||||||||||||||||||||
Value at | Purchases at | Proceeds from | Unrealized | Realized | Value at | Dividend | ||||||||||||||||||||
11/30/2017 | Cost | Sales | Appreciation | Loss | 2/28/2018 | Income | ||||||||||||||||||||
Global X SuperDividend® REIT ETF | ||||||||||||||||||||||||||
$ | 2,253,799 | $ | 314,340 | $ | - | ($ | 254,735 | ) | $ | - | $ | 2,313,404 | $ | 69,491 |
For information on the Fund’s policy regarding valuation of investments and other significant accounting policies, please refer to the Fund’s most recent annual financial statements.
Amounts designated as “—” are $0 or have been rounded to $0.
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X U.S. Preferred ETF
Shares | Value | |||||||
PREFERRED STOCK — 100.3% | ||||||||
BERMUDA— 1.0% | ||||||||
Financials — 1.0% | ||||||||
Aspen Insurance Holdings, 5.950%, VAR ICE LIBOR USD 3 Month+4.060% | 3,894 | $ | 100,034 | |||||
Axis Capital Holdings, 5.500% | 4,389 | 106,741 | ||||||
PartnerRe, 7.250% | 3,520 | 95,095 | ||||||
TOTAL BERMUDA | 301,870 | |||||||
GERMANY— 1.6% | ||||||||
Financials — 1.6% | ||||||||
Deutsche Bank Contingent Capital Trust II, 6.550%(A) | 6,358 | 163,210 | ||||||
Deutsche Bank Contingent Capital Trust V, 8.050%(A) | 11,201 | 291,674 | ||||||
TOTAL GERMANY | 454,884 | |||||||
NETHERLANDS— 2.9% | ||||||||
Financials — 2.9% | ||||||||
Aegon, 6.500% | 18,226 | 470,339 | ||||||
ING Groep, 6.125% | 13,682 | 353,457 | ||||||
TOTAL NETHERLANDS | 823,796 | |||||||
UNITED KINGDOM— 8.1% | ||||||||
Financials — 8.1% | ||||||||
Barclays Bank, Ser 5, 8.125% | 20,152 | 535,237 | ||||||
HSBC Holdings, Ser 2, 8.000% | 58,235 | 1,540,849 | ||||||
Prudential, 6.500% | 2,326 | 61,104 | ||||||
Royal Bank of Scotland Group, Ser S, 6.600% | 5,265 | 136,311 | ||||||
TOTAL UNITED KINGDOM | 2,273,501 | |||||||
UNITED STATES— 86.7% | ||||||||
Basic Materials — 0.9% | ||||||||
Pitney Bowes, 6.700% | 3,495 | 87,899 | ||||||
Rayonier Advanced Materials, 8.000%* | 344 | 49,104 | ||||||
Rexnord Corp, 5.750%* | 1,649 | 104,019 | ||||||
241,022 | ||||||||
Consumer Goods — 1.2% | ||||||||
Stanley Black & Decker, 5.750%* | 7,457 | 328,862 | ||||||
328,862 | ||||||||
Consumer Services — 0.5% | ||||||||
eBay, 6.000% | 5,965 | 156,104 | ||||||
Financials — 58.0% | ||||||||
Allstate, 5.100%, VAR ICE LIBOR USD 3 Month+3.165% | 13,106 | 343,313 | ||||||
Apollo Global Management, 6.375%(A) | 2,140 | 54,228 | ||||||
Arch Capital Group, 5.250% | 5,252 | 123,824 | ||||||
Ares Management, 7.000%(A) | 2,569 | 67,411 | ||||||
Argo Group US, 6.500% | 1,113 | 27,925 | ||||||
Axis Capital Holdings, 5.500% | 1,749 | 43,463 |
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X U.S. Preferred ETF
Shares | Value | |||||||
PREFERRED STOCK — continued | ||||||||
Financials — continued | ||||||||
Bank of America, 4.000%, VAR ICE LIBOR USD 3 Month+0.500%* | 55,323 | $ | 2,193,944 | |||||
Bank of New York Mellon, 5.200% | 4,532 | 112,983 | ||||||
BB&T, 5.850% | 25,422 | 639,972 | ||||||
BOK Financial, 5.375% | 1,149 | 29,185 | ||||||
Capital One Financial, Ser D, 6.700% | 27,696 | 711,698 | ||||||
Carlyle Group, 5.875% | 3,297 | 79,622 | ||||||
Charles Schwab, 6.000% | 10,745 | 281,531 | ||||||
Citigroup, Ser L, 6.875% | 35,460 | 965,899 | ||||||
Countrywide Capital V, 7.000% | 12,040 | 313,401 | ||||||
Dillard's Capital Trust I, 7.500% | 1,544 | 39,434 | ||||||
Fifth Third Bancorp, 6.625%, VAR ICE LIBOR USD 3 Month+3.710% | 3,593 | 102,796 | ||||||
First Republic Bank, 5.125% | 1,545 | 38,084 | ||||||
Goldman Sachs Group, 6.200% | 38,790 | 980,516 | ||||||
Hartford Financial Services Group, 7.875%, VAR ICE LIBOR USD 3 Month+5.596% | 4,776 | 141,035 | ||||||
Huntington Bancshares, 6.250% | 4,780 | 128,582 | ||||||
JPMorgan Chase, 5.450% | 52,883 | 1,378,330 | ||||||
KeyCorp, 6.125%, VAR ICE LIBOR USD 3 Month+3.892% | 3,954 | 109,130 | ||||||
KKR, 6.750%(A) | 2,849 | 74,558 | ||||||
Legg Mason, 6.375% | 5,928 | 147,242 | ||||||
Merrill Lynch Capital Trust I, 6.450% | 8,481 | 218,810 | ||||||
Merrill Lynch Capital Trust III, 7.375%, VAR ICE LIBOR USD 3 Month+1.666% | 6,078 | 161,857 | ||||||
MetLife, 4.000%, VAR ICE LIBOR USD 3 Month+1.000% | 4,784 | 119,696 | ||||||
Morgan Stanley, Ser G, 6.625% | 42,537 | 1,123,089 | ||||||
Navient, 6.000% | 2,143 | 48,239 | ||||||
New York Community Bancorp, 6.375%, VAR ICE LIBOR USD 3 Month+3.821% | 4,210 | 118,511 | ||||||
Northern Trust, 5.850% | 3,290 | 87,942 | ||||||
OM Asset Management, 5.125% | 960 | 22,637 | ||||||
People's United Financial, 5.625%, VAR ICE LIBOR USD 3 Month+4.020% | 1,934 | 51,502 | ||||||
PNC Financial Services Group, 5.375% | 15,817 | 428,206 | ||||||
Prudential Financial, 5.750% | 10,198 | 257,965 | ||||||
Regions Financial, Ser A, 6.375% | 8,081 | 213,161 | ||||||
Reinsurance Group of America, 6.200%, VAR ICE LIBOR USD 3 Month+4.370% | 6,575 | 179,101 | ||||||
SLM, 3.020%, VAR ICE LIBOR USD 3 Month+1.700% | 782 | 54,341 | ||||||
State Street, 5.250% | 20,016 | 523,348 | ||||||
Sterling Bancorp, 6.500% | 1,048 | 27,196 | ||||||
TCF Financial, 5.700% | 1,354 | 33,660 |
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X U.S. Preferred ETF
Shares | Value | |||||||
PREFERRED STOCK — continued | ||||||||
Financials — continued | ||||||||
US Bancorp, 3.500%, VAR ICE LIBOR USD 3 Month+0.600% | 16,851 | $ | 424,404 | |||||
Validus Holdings, 5.800% | 1,934 | 49,027 | ||||||
Virtus Investment Partners, 7.250%* | 223 | 23,741 | ||||||
Wells Fargo, 5.250%* | 76,691 | 2,825,796 | ||||||
Wells Fargo Real Estate Investment, 6.375% | 1,865 | 48,378 | ||||||
WR Berkley, 5.750% | 2,250 | 57,195 | ||||||
Zions Bancorporation, 6.300%, VAR ICE LIBOR USD 3 Month+4.240% | 1,078 | 28,632 | ||||||
16,254,540 | ||||||||
Health Care — 2.1% | ||||||||
Becton Dickinson, 6.125%* | 9,972 | 583,362 | ||||||
Industrials — 1.6% | ||||||||
General Electric, 4.875% | 17,564 | 438,783 | ||||||
438,783 | ||||||||
Oil & Gas — 1.0% | ||||||||
Chesapeake Energy, 4.500%* | 505 | 26,007 | ||||||
Hess, 8.000%* | 2,287 | 125,236 | ||||||
NuStar Energy, 7.625%, VAR ICE LIBOR USD 3 Month+5.643%(A) | 4,934 | 114,493 | ||||||
Targa Resources Partners, 9.000%, VAR ICE LIBOR USD 1 Month+7.710% | 966 | 25,831 | ||||||
291,567 | ||||||||
Real Estate Investment Trust — 8.5% | ||||||||
American Homes 4 Rent, 5.875% | 2,048 | 48,896 | ||||||
Ashford Hospitality Prime, 5.500%* | 937 | 17,381 | ||||||
CBL & Associates Properties, Ser D, 7.375% | 3,518 | 65,259 | ||||||
Crown Castle International, 6.875%* | 333 | 372,697 | ||||||
DDR, 6.375% | 1,356 | 32,219 | ||||||
Digital Realty Trust, 5.875% | 6,498 | 164,378 | ||||||
Federal Realty Investment Trust, 5.000% | 1,161 | 26,204 | ||||||
Government Properties Income Trust, 5.875% | 2,573 | 65,303 | ||||||
Kimco Realty, 5.125% | 3,493 | 80,747 | ||||||
National Retail Properties, 5.200% | 2,861 | 66,060 | ||||||
PS Business Parks, 5.750% | 4,796 | 115,504 | ||||||
Public Storage, 5.375% | 28,810 | 712,183 | ||||||
RLJ Lodging Trust, 1.950% | 2,666 | 69,289 | ||||||
Senior Housing Properties Trust, 6.250% | 1,934 | 48,833 | ||||||
SL Green Realty, 6.500% | 1,774 | 45,237 | ||||||
VEREIT, Ser F, 24020867, 6.700% | 8,682 | 217,831 | ||||||
Vornado Realty Trust, 5.700% | 2,326 | 58,336 | ||||||
Washington Prime Group, 7.500% | 778 | 17,699 | ||||||
Welltower, 6.500%* | 2,859 | 155,816 | ||||||
2,379,872 | ||||||||
Techhnology — 0.4% | ||||||||
Belden, 6.750%* | 1,060 | 105,035 |
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X U.S. Preferred ETF
Shares | Value | |||||||
PREFERRED STOCK — continued | ||||||||
Telecommunications — 3.6% | ||||||||
Qwest, Ser 52, 7.000% | 34,309 | $ | 760,352 | |||||
Telephone & Data Systems, 5.875% | 1,516 | 36,960 | ||||||
United States Cellular, 7.250% | 4,466 | 113,599 | ||||||
Verizon Communications, 5.900% | 3,989 | 103,116 | ||||||
1,014,027 | ||||||||
Utilities — 8.9% | ||||||||
Alabama Power, 5.000% | 1,939 | 49,561 | ||||||
Dominion Energy, 5.250%* | 12,025 | 429,636 | ||||||
DTE Energy, 6.500%* | 8,721 | 290,317 | ||||||
Duke Energy, 5.125% | 3,992 | 100,079 | ||||||
Dynegy, 7.000%* | 896 | 73,302 | ||||||
Entergy Arkansas, 4.875% | 3,378 | 82,525 | ||||||
Entergy Louisiana, 4.875% | 2,095 | 50,930 | ||||||
Entergy Mississippi, 4.900% | 2,007 | 49,151 | ||||||
Georgia Power, 5.000% | 2,095 | 50,510 | ||||||
NextEra Energy, 6.123%* | 6,060 | 335,118 | ||||||
NextEra Energy Capital Holdings, 5.250% | 11,688 | 284,036 | ||||||
SCE Trust II, 5.100% | 3,303 | 75,540 | ||||||
SCE Trust III, 5.750%, VAR ICE LIBOR USD 3 Month+2.990% | 2,140 | 56,689 | ||||||
SCE Trust IV, 5.375%, VAR ICE LIBOR USD 3 Month+3.132% | 2,691 | 68,217 | ||||||
SCE Trust V, 5.450%, VAR ICE LIBOR USD 3 Month+3.790%(A) | 2,326 | 60,127 | ||||||
SCE Trust VI, 5.000% | 3,906 | 88,822 | ||||||
Southern, 5.250% | 14,471 | 368,202 | ||||||
2,512,762 | ||||||||
TOTAL UNITED STATES | 24,305,936 | |||||||
TOTAL PREFERRED STOCK | ||||||||
(Cost $28,850,763) | 28,159,987 | |||||||
TOTAL INVESTMENTS — 100.3% | ||||||||
(Cost $28,850,763) | $ | 28,159,987 |
Percentages are based on Net Assets of $28,064,880.
(A) | Security considered Master Limited Partnership. At February 28, 2018, these securities amounted to $753,670 or 2.7% of net assets. |
* | Non-income producing security. |
ETF — Exchange Traded Fund
ICE — Intercontinental Exchange
LIBOR — London Interbank Offered Rate
USD — United States Dollar
VAR —Variable Rate
As of February 28, 2018, all of the Fund's investments were considered Level 1, in accordance with authoritative guidance on fair value measurements and disclosure under U.S. GAAP.
For the period ended February 28, 2018, there have been no transfers between Level 1, Level 2 and Level 3 investments.
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X U.S. Preferred ETF
For information on the Fund’s policy regarding valuation of investments and other significant accounting policies, please refer to the Fund’s most recent annual financial statements.
GLX-QH-005-1200
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X FinTech ETF |
Shares | Value | |||||||
COMMON STOCK — 99.9% | ||||||||
AUSTRALIA— 4.3% | ||||||||
Financials — 1.2% | ||||||||
Afterpay Touch Group * | 218,500 | $ | 1,231,019 | |||||
Technology — 3.1% | ||||||||
IRESS | 176,780 | 1,429,900 | ||||||
MYOB Group | 627,200 | 1,544,430 | ||||||
2,974,330 | ||||||||
TOTAL AUSTRALIA | 4,205,349 | |||||||
CHINA— 2.4% | ||||||||
Financials — 2.4% | ||||||||
Yirendai ADR | 60,533 | 2,292,385 | ||||||
DENMARK— 2.7% | ||||||||
Technology — 2.7% | ||||||||
SimCorp | 41,950 | 2,634,588 | ||||||
GERMANY— 10.2% | ||||||||
Financials — 1.1% | ||||||||
Hypoport * | 6,441 | 1,040,100 | ||||||
Technology — 9.1% | ||||||||
GFT Technologies | 26,892 | 448,687 | ||||||
Wirecard | 70,252 | 8,458,584 | ||||||
8,907,271 | ||||||||
TOTAL GERMANY | 9,947,371 | |||||||
JAPAN— 0.4% | ||||||||
Technology — 0.4% | ||||||||
Metaps * | 13,270 | 342,865 | ||||||
SWITZERLAND— 7.4% | ||||||||
Financials — 1.1% | ||||||||
Leonteq | 16,430 | 1,054,420 | ||||||
Technology — 6.3% | ||||||||
Temenos Group | 52,187 | 6,124,055 | ||||||
TOTAL SWITZERLAND | 7,178,475 | |||||||
UNITED KINGDOM— 2.0% | ||||||||
Technology — 2.0% | ||||||||
Alfa Financial Software Holdings * (A) | 305,300 | 1,935,021 | ||||||
UNITED STATES— 70.5% | ||||||||
Financials — 14.7% | ||||||||
Black Knight * | 72,327 | 3,446,381 | ||||||
HealthEquity * | 62,091 | 3,575,200 | ||||||
LendingClub * | 417,508 | 1,315,150 | ||||||
LendingTree * | 12,369 | 4,310,597 |
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X FinTech ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
On Deck Capital * | 74,146 | $ | 384,818 | |||||
Virtu Financial, Cl A | 41,938 | 1,245,558 | ||||||
14,277,704 | ||||||||
Technology — 55.8% | ||||||||
Blucora * | 44,374 | 1,033,914 | ||||||
Bottomline Technologies * | 41,868 | 1,590,147 | ||||||
Ellie Mae * | 35,272 | 3,127,568 | ||||||
Envestnet * | 45,353 | 2,498,951 | ||||||
Fidelity National Information Services | 55,572 | 5,400,487 | ||||||
First Data, Cl A * | 253,899 | 3,965,902 | ||||||
Fiserv * | 37,751 | 5,413,116 | ||||||
Guidewire Software * | 58,095 | 4,666,190 | ||||||
Intuit | 33,688 | 5,621,180 | ||||||
Mitek Systems * | 33,997 | 260,077 | ||||||
PayPal Holdings * | 87,557 | 6,952,901 | ||||||
Square, Cl A * | 164,046 | 7,554,318 | ||||||
SS&C Technologies Holdings | 121,866 | 6,034,804 | ||||||
54,119,555 | ||||||||
TOTAL UNITED STATES | 68,397,259 | |||||||
TOTAL COMMON STOCK | ||||||||
(Cost $90,985,933) | 96,933,313 | |||||||
U.S. TREASURY OBLIGATION — 8.2% | ||||||||
U.S. Treasury Bill | ||||||||
1.336%, 03/22/18(B) | ||||||||
(Cost $7,993,770) | 8,000,000 | 7,993,706 | ||||||
TOTAL INVESTMENTS — 108.1% | ||||||||
(Cost $98,979,703) | $ | 104,927,019 |
Percentages are based on Net Assets of $97,059,812.
* | Non-income producing security. |
(A) | Security sold within terms of a private placement memorandum, exempt from registration under Section 144A of the Securities Act of 1933, as amended, and may be sold only to dealers in that program or other "accredited investors." The total value of such securities as of February 28, 2018 was $1,935,021 and represents 2.0% of Net Assets. |
(B) | The rate reported on the Schedule of Investments is the effective yield at time of purchase. |
ADR — American Depositary Receipt
Cl — Class
The following is a summary of the level of inputs used as of February 28, 2018, in valuing the Fund's investments carried at value:
Investments in Securities | Level 1 | Level 2 | Level 3 | Total | ||||||||||||
Common Stock | $ | 96,933,313 | $ | — | $ | — | $ | 96,933,313 | ||||||||
U.S. Treasury Obligation | — | 7,993,706 | — | 7,993,706 | ||||||||||||
Total Investments in Securities | $ | 96,933,313 | $ | 7,993,706 | $ | — | $ | 104,927,019 |
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X FinTech ETF |
For the period ended February 28, 2018, there have been no transfers between Level 1, Level 2 and Level 3 investments.
For the period ended February 28, 2018, there were no Level 3 investments.
For information on the Fund’s policy regarding valuation of investments and other significant accounting policies, please refer to the Fund’s most recent annual or semi-annual financial statement.
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Internet of Things ETF |
Shares | Value | |||||||
COMMON STOCK — 99.9% | ||||||||
AUSTRIA— 7.4% | ||||||||
Technology — 7.4% | ||||||||
AMS | 65,053 | $ | 7,699,252 | |||||
CANADA— 0.4% | ||||||||
Technology — 0.4% | ||||||||
Sierra Wireless * | 24,498 | 392,320 | ||||||
FRANCE— 4.3% | ||||||||
Industrials — 4.3% | ||||||||
Legrand | 28,766 | 2,264,343 | ||||||
Schneider Electric | 25,222 | 2,201,938 | ||||||
TOTAL FRANCE | 4,466,281 | |||||||
HONG KONG— 0.4% | ||||||||
Industrials — 0.4% | ||||||||
Wasion Group Holdings | 763,760 | 403,094 | ||||||
JAPAN— 0.8% | ||||||||
Industrials — 0.6% | ||||||||
Nippon Ceramic | 20,280 | 573,971 | ||||||
Technology — 0.2% | ||||||||
JIG-SAW * | 5,076 | 203,126 | ||||||
TOTAL JAPAN | 777,097 | |||||||
NETHERLANDS— 2.2% | ||||||||
Technology — 2.2% | ||||||||
NXP Semiconductors * | 18,112 | 2,257,842 | ||||||
NORWAY— 0.7% | ||||||||
Technology — 0.7% | ||||||||
Nordic Semiconductor * | 124,312 | 725,026 | ||||||
SOUTH KOREA— 0.3% | ||||||||
Consumer Goods — 0.3% | ||||||||
Motrex | 10,200 | 319,309 | ||||||
SWEDEN— 0.3% | ||||||||
Industrials — 0.3% | ||||||||
Fingerprint Cards, Cl B | 234,050 | 289,826 | ||||||
SWITZERLAND— 12.6% | ||||||||
Industrials — 3.8% | ||||||||
ABB | 78,442 | 1,914,050 | ||||||
Landis+Gyr Group * | 26,308 | 2,018,232 | ||||||
3,932,282 | ||||||||
Technology — 8.8% | ||||||||
STMicroelectronics | 397,233 | 9,117,982 | ||||||
TOTAL SWITZERLAND | 13,050,264 |
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Internet of Things ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
TAIWAN— 6.8% | ||||||||
Technology — 6.8% | ||||||||
Advantech | 537,143 | $ | 4,001,596 | |||||
eMemory Technology | 58,162 | 778,933 | ||||||
MediaTek | 222,800 | 2,297,025 | ||||||
TOTAL TAIWAN | 7,077,554 | |||||||
UNITED KINGDOM— 0.2% | ||||||||
Technology — 0.2% | ||||||||
Telit Communications | 96,730 | 235,371 | ||||||
UNITED STATES— 63.5% | ||||||||
Health Care — 3.6% | ||||||||
DexCom * | 66,544 | 3,735,780 | ||||||
Industrials — 21.6% | ||||||||
Ambarella * | 25,653 | 1,233,396 | ||||||
Badger Meter | 22,248 | 1,059,005 | ||||||
Belden | 32,567 | 2,368,597 | ||||||
Emerson Electric | 33,762 | 2,399,128 | ||||||
Honeywell International | 14,790 | 2,234,917 | ||||||
Itron * | 29,780 | 2,084,600 | ||||||
Johnson Controls International | 47,075 | 1,735,655 | ||||||
Rockwell Automation | 12,351 | 2,233,061 | ||||||
Sensata Technologies Holding * | 131,849 | 6,969,538 | ||||||
22,317,897 | ||||||||
Technology — 38.3% | ||||||||
Alarm.com Holdings * | 35,414 | 1,279,685 | ||||||
Analog Devices | 24,383 | 2,198,127 | ||||||
Cisco Systems | 62,252 | 2,787,645 | ||||||
Cypress Semiconductor | 253,825 | 4,434,323 | ||||||
Fitbit, Cl A * | 141,420 | 675,988 | ||||||
Garmin | 115,754 | 6,857,267 | ||||||
Impinj * | 15,577 | 198,451 | ||||||
Intel | 57,710 | 2,844,526 | ||||||
InterDigital | 26,723 | 1,918,711 | ||||||
International Business Machines | 12,843 | 2,001,325 | ||||||
NETGEAR * | 24,815 | 1,383,436 | ||||||
QUALCOMM | 35,111 | 2,282,215 | ||||||
Rambus * | 85,403 | 1,085,472 | ||||||
Sigma Designs * | 51,196 | 307,176 | ||||||
Silicon Laboratories * | 32,630 | 3,050,905 | ||||||
Skyworks Solutions | 57,614 | 6,294,330 | ||||||
39,599,582 | ||||||||
TOTAL UNITED STATES | 65,653,259 |
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Internet of Things ETF |
Value | ||||
COMMON STOCK — continued | ||||
TOTAL COMMON STOCK | ||||
(Cost $92,756,954) | $ | 103,346,495 | ||
TOTAL INVESTMENTS — 99.9% | ||||
(Cost $92,756,954) | $ | 103,346,495 |
Percentages are based on Net Assets of $103,485,646.
* | Non-income producing security. |
Cl — Class
As of February 28, 2018, all of the Fund's investments were considered Level 1, in accordance with authoritative guidance on fair value measurements and disclosure under U.S. GAAP.
For the period ended February 28, 2018, there have been no transfers between Level 1, Level 2 or Level 3 investments.
For information on the Fund’s policy regarding valuation of investments and other significant accounting policies, please refer to the Fund’s most recent annual or semi-annual financial statements.
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Robotics & Artificial Intelligence ETF |
Shares | Value | |||||||
COMMON STOCK — 100.5% | ||||||||
CANADA— 2.1% | ||||||||
Industrials — 2.1% | ||||||||
ATS Automation Tooling Systems * | 1,546,258 | $ | 21,238,647 | |||||
Maxar Technologies | 609,371 | 28,595,995 | ||||||
TOTAL CANADA | 49,834,642 | |||||||
FINLAND— 2.1% | ||||||||
Industrials — 2.1% | ||||||||
Cargotec, Cl B | 925,450 | 52,508,122 | ||||||
GERMANY— 0.3% | ||||||||
Industrials — 0.3% | ||||||||
KUKA | 63,705 | 7,925,150 | ||||||
ISRAEL— 1.0% | ||||||||
Health Care — 1.0% | ||||||||
Mazor Robotics ADR * | 397,350 | 25,199,937 | ||||||
JAPAN— 50.0% | ||||||||
Health Care — 1.4% | ||||||||
CYBERDYNE * | 2,322,584 | 34,891,544 | ||||||
Industrials — 48.6% | ||||||||
Daifuku | 2,070,086 | 136,964,595 | ||||||
FANUC | 750,638 | 192,117,743 | ||||||
Hirata | 179,719 | 17,785,789 | ||||||
Keyence | 322,857 | 197,487,244 | ||||||
Mitsubishi Electric | 10,293,487 | 175,280,127 | ||||||
Omron | 2,121,634 | 126,456,982 | ||||||
SMC | 297,305 | 125,464,075 | ||||||
Toshiba Machine | 2,515,461 | 18,199,109 | ||||||
Yaskawa Electric | 4,227,319 | 198,480,559 | ||||||
1,188,236,223 | ||||||||
TOTAL JAPAN | 1,223,127,767 | |||||||
SOUTH KOREA— 5.2% | ||||||||
Industrials — 5.2% | ||||||||
Hyundai Robotics * | 309,894 | 126,630,432 | ||||||
SWITZERLAND— 7.5% | ||||||||
Health Care — 1.7% | ||||||||
Tecan Group | 194,755 | 40,824,259 | ||||||
Industrials — 5.8% | ||||||||
ABB | 5,773,573 | 140,879,946 | ||||||
TOTAL SWITZERLAND | 181,704,205 | |||||||
UNITED KINGDOM— 4.4% | ||||||||
Industrials — 4.4% | ||||||||
QinetiQ Group | 9,473,358 | 26,771,370 |
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Robotics & Artificial Intelligence ETF |
Shares / Face | ||||||||
Amount | Value | |||||||
COMMON STOCK — continued | ||||||||
Industrials — continued | ||||||||
Renishaw | 1,221,958 | $ | 81,388,663 | |||||
TOTAL UNITED KINGDOM | 108,160,033 | |||||||
UNITED STATES— 27.9% | ||||||||
Consumer Goods — 1.3% | ||||||||
iRobot * | 459,613 | 31,230,703 | ||||||
Health Care — 8.4% | ||||||||
Accuray * | 1,380,796 | 7,663,418 | ||||||
Intuitive Surgical * | 458,553 | 195,549,926 | ||||||
203,213,344 | ||||||||
Industrials — 7.8% | ||||||||
Aerovironment * | 393,712 | 19,575,361 | ||||||
FARO Technologies * | 279,676 | 16,598,771 | ||||||
John Bean Technologies | 530,962 | 58,804,042 | ||||||
Trimble Navigation * | 2,526,954 | 95,847,365 | ||||||
190,825,539 | ||||||||
Technology — 10.4% | ||||||||
Brooks Automation | 1,165,963 | 31,142,872 | ||||||
NVIDIA | 921,600 | 223,027,200 | ||||||
254,170,072 | ||||||||
TOTAL UNITED STATES | 679,439,658 | |||||||
TOTAL COMMON STOCK | ||||||||
(Cost $2,313,045,583) | 2,454,529,946 | |||||||
U.S. TREASURY OBLIGATION — 7.0% | ||||||||
U.S. Treasury Bill | ||||||||
1.336%, 03/22/18(A) | ||||||||
(Cost $171,866,055) | $ | 172,000,000 | 171,864,676 | |||||
TOTAL INVESTMENTS — 107.5% | ||||||||
(Cost $2,484,911,638) | $ | 2,626,394,622 |
Percentages are based on Net Assets of $2,442,798,758.
* | Non-income producing security. |
(A) | The rate reported on the Schedule of Investments is the effective yield at time of purchase. |
ADR — American Depositary Receipt
Cl — Class
The following is a summary of the level of inputs used as of February 28, 2018, in valuing the Fund's investments carried at value:
Investments in Securities | Level 1 | Level 2 | Level 3 | Total | ||||||||||||
Common Stock | $ | 2,454,529,946 | $ | — | $ | — | $ | 2,454,529,946 | ||||||||
U.S. Treasury Obligation | — | 171,864,676 | — | 171,864,676 | ||||||||||||
Total Investments in Securities | $ | 2,454,529,946 | $ | 171,864,676 | $ | — | $ | 2,626,394,622 |
For the period ended February 28, 2018, there have been no transfers between Level 1, Level 2 or Level 3 investments.
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Robotics & Artificial Intelligence ETF |
For the period ended February 28, 2018, there were no Level 3 investments.
For information on the Fund’s policy regarding valuation of investments and other significant accounting policies, please refer to the Fund’s most recent annual or semi-annual financial statements.
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Health & Wellness Thematic ETF |
Shares | Value | |||||||
COMMON STOCK — 99.9% | ||||||||
AUSTRALIA— 0.9% | ||||||||
Consumer Goods — 0.9% | ||||||||
Blackmores | 235 | $ | 23,513 | |||||
CANADA— 3.0% | ||||||||
Consumer Goods — 3.0% | ||||||||
Gildan Activewear | 2,605 | 75,669 | ||||||
CHINA— 6.5% | ||||||||
Consumer Goods — 6.2% | ||||||||
ANTA Sports Products | 24,841 | 123,168 | ||||||
Li Ning * | 29,770 | 27,391 | ||||||
Xtep International Holdings | 16,644 | 7,402 | ||||||
157,961 | ||||||||
Health Care — 0.3% | ||||||||
iKang Healthcare Group ADR * | 496 | 8,164 | ||||||
TOTAL CHINA | 166,125 | |||||||
FINLAND— 1.9% | ||||||||
Consumer Goods — 1.9% | ||||||||
Amer Sports | 1,606 | 48,597 | ||||||
FRANCE— 3.3% | ||||||||
Consumer Goods — 3.3% | ||||||||
Danone | 1,030 | 82,597 | ||||||
GERMANY— 6.7% | ||||||||
Consumer Goods — 6.7% | ||||||||
adidas | 374 | 83,293 | ||||||
Puma | 195 | 85,976 | ||||||
TOTAL GERMANY | 169,269 | |||||||
HONG KONG— 2.9% | ||||||||
Consumer Goods — 2.9% | ||||||||
Yue Yuen Industrial Holdings | 17,259 | 73,886 | ||||||
IRELAND— 2.4% | ||||||||
Consumer Goods — 2.4% | ||||||||
Glanbia | 3,381 | 60,122 | ||||||
ITALY— 1.1% | ||||||||
Consumer Goods — 1.1% | ||||||||
Technogym (A) | 2,702 | 27,122 | ||||||
JAPAN— 14.9% | ||||||||
Consumer Goods — 12.8% | ||||||||
ABC-Mart | 1,116 | 71,119 | ||||||
Ariake Japan | 444 | 35,244 | ||||||
Asics | 2,709 | 43,388 |
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Health & Wellness Thematic ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Consumer Goods — continued | ||||||||
Goldwin | 139 | $ | 15,905 | |||||
Shimano | 475 | 68,910 | ||||||
Yakult Honsha | 1,209 | 86,904 | ||||||
Yonex | 680 | 4,174 | ||||||
325,644 | ||||||||
Consumer Services — 0.8% | ||||||||
Tosho | 334 | 12,395 | ||||||
Xebio Holdings | 447 | 9,116 | ||||||
21,511 | ||||||||
Health Care — 1.3% | ||||||||
Tsumura | 958 | 32,231 | ||||||
TOTAL JAPAN | 379,386 | |||||||
NETHERLANDS— 0.4% | ||||||||
Consumer Goods — 0.4% | ||||||||
Wessanen | 500 | 9,806 | ||||||
SOUTH KOREA— 1.1% | ||||||||
Consumer Goods — 0.7% | ||||||||
Youngone | 609 | 16,450 | ||||||
Consumer Services — 0.4% | ||||||||
Fila Korea | 112 | 10,312 | ||||||
TOTAL SOUTH KOREA | 26,762 | |||||||
TAIWAN— 6.6% | ||||||||
Consumer Goods — 6.6% | ||||||||
Feng TAY Enterprise | 9,044 | 43,059 | ||||||
Giant Manufacturing | 5,126 | 26,863 | ||||||
Merida Industry | 4,088 | 17,993 | ||||||
Pou Chen | 39,926 | 50,257 | ||||||
Standard Foods | 12,375 | 29,077 | ||||||
TOTAL TAIWAN | 167,249 | |||||||
UNITED KINGDOM— 4.2% | ||||||||
Consumer Goods — 0.1% | ||||||||
Glanbia^ | 210 | 3,701 | ||||||
Consumer Services — 4.1% | ||||||||
JD Sports Fashion | 12,475 | 65,883 | ||||||
Sports Direct International | 7,597 | 38,458 | ||||||
104,341 | ||||||||
TOTAL UNITED KINGDOM | 108,042 | |||||||
UNITED STATES— 44.0% | ||||||||
Consumer Goods — 30.0% | ||||||||
Calavo Growers | 237 | 20,228 | ||||||
Cal-Maine Foods * | 592 | 25,219 |
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Health & Wellness Thematic ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Consumer Goods — continued | ||||||||
Columbia Sportswear | 942 | $ | 71,196 | |||||
Fitbit, Cl A * | 1,290 | 6,166 | ||||||
Hain Celestial Group * | 1,402 | 48,762 | ||||||
Herbalife * | 1,200 | 110,521 | ||||||
Lululemon Athletica * | 1,350 | 109,484 | ||||||
Medifast | 162 | 10,334 | ||||||
Nautilus * | 425 | 5,036 | ||||||
NIKE, Cl B | 1,265 | 84,793 | ||||||
Nu Skin Enterprises, Cl A | 716 | 50,406 | ||||||
Nutrisystem | 404 | 12,423 | ||||||
Sanderson Farms | 308 | 37,930 | ||||||
SunOpta * | 1,045 | 7,263 | ||||||
Under Armour, Cl A * | 2,488 | 41,251 | ||||||
USANA Health Sciences * | 331 | 25,288 | ||||||
VF | 1,277 | 95,225 | ||||||
761,525 | ||||||||
Consumer Services — 9.8% | ||||||||
Dick's Sporting Goods | 1,193 | 38,200 | ||||||
Finish Line, Cl A | 467 | 4,960 | ||||||
Foot Locker | 967 | 44,394 | ||||||
GNC Holdings, Cl A * | 972 | 4,141 | ||||||
Hibbett Sports * | 235 | 6,051 | ||||||
Planet Fitness, Cl A * | 981 | 36,278 | ||||||
Sprouts Farmers Market * | 1,849 | 47,630 | ||||||
United Natural Foods * | 685 | 29,229 | ||||||
Vitamin Shoppe * | 353 | 1,324 | ||||||
Weight Watchers International * | 412 | 27,859 | ||||||
Zumiez * | 409 | 8,057 | ||||||
248,123 | ||||||||
Health Care — 3.8% | ||||||||
DexCom * | 915 | 51,368 | ||||||
Prestige Brands Holdings * | 717 | 24,235 | ||||||
Tivity Health * | 529 | 20,393 | ||||||
95,996 | ||||||||
Industrials — 0.4% | ||||||||
MINDBODY, Cl A * | 272 | 9,697 | ||||||
TOTAL UNITED STATES | 1,115,341 | |||||||
TOTAL COMMON STOCK | ||||||||
(Cost $2,267,884) | 2,533,486 | |||||||
TOTAL INVESTMENTS — 99.9% | ||||||||
(Cost $2,267,884) | $ | 2,533,486 |
Percentages are based on Net Assets of $2,536,173.
* | Non-income producing security. |
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Health & Wellness Thematic ETF |
^ | Irish Security listed on the Irish Stock Exchange and London Stock Exchange. |
(A) | Security sold within terms of a private placement memorandum, exempt from registration under Section 144A of the Securities Act of 1933, as amended, and may be sold only to dealers in that program or other "accredited investors." The total value of such securities as of February 28, 2018 was $27,122 and represents 1.1% of Net Assets. |
ADR — American Depositary Receipt
Cl — Class
As of February 28, 2018, all of the Fund's investments were considered Level 1, in accordance with authoritative guidance on fair value measurements and disclosure under U.S. GAAP.
For the period ended February 28, 2018, there have been no transfers between Level 1, Level 2 and Level 3 investments.
For information on the Fund’s policy regarding valuation of investments and other significant accounting policies, please refer to the Fund’s most recent annual or semi-annual financial statements.
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Longevity Thematic ETF |
Shares | Value | |||||||
COMMON STOCK — 99.8% | ||||||||
AUSTRALIA— 1.2% | ||||||||
Health Care — 1.2% | ||||||||
Cochlear | 730 | $ | 104,612 | |||||
Regis Healthcare | 8,663 | 28,150 | ||||||
TOTAL AUSTRALIA | 132,762 | |||||||
BELGIUM— 0.1% | ||||||||
Health Care — 0.1% | ||||||||
Ion Beam Applications | 536 | 13,820 | ||||||
CHINA— 0.4% | ||||||||
Health Care — 0.4% | ||||||||
Luye Pharma Group | 45,547 | 39,463 | ||||||
DENMARK— 7.8% | ||||||||
Health Care — 7.8% | ||||||||
Genmab * | 774 | 158,101 | ||||||
GN Store Nord | 1,202 | 41,643 | ||||||
H Lundbeck | 2,542 | 133,537 | ||||||
Novo Nordisk, Cl B | 7,752 | 402,025 | ||||||
William Demant Holding * | 3,403 | 122,189 | ||||||
857,495 | ||||||||
TOTAL DENMARK | 857,495 | |||||||
FRANCE— 2.2% | ||||||||
Health Care — 2.2% | ||||||||
BioMerieux | 1,504 | 115,931 | ||||||
Korian | 907 | 29,735 | ||||||
Orpea | 768 | 92,432 | ||||||
TOTAL FRANCE | 238,098 | |||||||
GERMANY— 3.2% | ||||||||
Health Care — 3.2% | ||||||||
Fresenius Medical Care & KGaA | 3,341 | 354,918 | ||||||
ITALY— 0.3% | ||||||||
Health Care — 0.3% | ||||||||
Amplifon | 2,225 | 35,414 | ||||||
JAPAN— 3.6% | ||||||||
Health Care — 3.6% | ||||||||
Kissei Pharmaceutical | 1,093 | 29,910 | ||||||
Miraca Holdings | 612 | 22,999 | ||||||
Mochida Pharmaceutical | 373 | 26,916 | ||||||
Nipro | 2,035 | 30,247 | ||||||
Terumo | 4,828 | 261,071 | ||||||
Toho Holdings | 1,326 | 31,452 | ||||||
TOTAL JAPAN | 402,595 |
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Longevity Thematic ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Health Care — 0.3% | ||||||||
Ryman Healthcare | 4,534 | $ | 34,974 | |||||
SOUTH KOREA— 5.4% | ||||||||
Health Care — 5.4% | ||||||||
Celltrion * | 1,602 | 522,215 | ||||||
ViroMed * | 345 | 74,550 | ||||||
TOTAL SOUTH KOREA | 596,765 | |||||||
SWEDEN— 0.5% | ||||||||
Health Care — 0.5% | ||||||||
Attendo (A) | 2,731 | 26,616 | ||||||
Elekta, Cl B | 2,877 | 26,362 | ||||||
TOTAL SWEDEN | 52,978 | |||||||
SWITZERLAND— 2.7% | ||||||||
Health Care — 2.7% | ||||||||
Sonova Holding | 833 | 130,805 | ||||||
Straumann Holding | 203 | 137,582 | ||||||
Ypsomed Holding | 149 | 26,724 | ||||||
TOTAL SWITZERLAND | 295,111 | |||||||
TAIWAN— 0.2% | ||||||||
Health Care — 0.2% | ||||||||
OBI Pharma * | 3,234 | 18,942 | ||||||
UNITED KINGDOM— 2.1% | ||||||||
Consumer Goods — 0.2% | ||||||||
McCarthy & Stone (A) | 11,947 | 22,552 | ||||||
Health Care — 1.9% | ||||||||
Smith & Nephew | 11,154 | 194,949 | ||||||
Vectura Group * | 14,310 | 14,285 | ||||||
209,234 | ||||||||
TOTAL UNITED KINGDOM | 231,786 | |||||||
UNITED STATES— 69.8% | ||||||||
Consumer Services — 0.4% | ||||||||
Diplomat Pharmacy * | 1,898 | 39,554 | ||||||
Health Care — 62.3% | ||||||||
AbbVie | 4,355 | 504,439 | ||||||
ABIOMED * | 554 | 148,572 | ||||||
ACADIA Pharmaceuticals * | 1,564 | 38,967 | ||||||
Align Technology * | 1,022 | 268,295 | ||||||
Alkermes * | 1,944 | 110,964 | ||||||
Amedisys * | 536 | 31,737 | ||||||
Amgen | 1,719 | 315,900 | ||||||
Array BioPharma * | 3,346 | 57,953 | ||||||
Axovant Sciences * | 1,413 | 2,035 |
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Longevity Thematic ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Health Care — continued | ||||||||
Becton Dickinson | 1,529 | $ | 339,469 | |||||
BeiGene ADR * | 745 | 106,885 | ||||||
Biogen Idec * | 1,042 | 301,128 | ||||||
Bluebird Bio * | 333 | 66,933 | ||||||
Blueprint Medicines * | 653 | 56,524 | ||||||
Boston Scientific * | 11,421 | 311,336 | ||||||
Brookdale Senior Living * | 2,158 | 14,092 | ||||||
Celgene * | 2,238 | 194,975 | ||||||
Clovis Oncology * | 521 | 30,254 | ||||||
DaVita * | 2,476 | 178,322 | ||||||
DENTSPLY SIRONA | 2,923 | 163,863 | ||||||
DexCom * | 1,112 | 62,428 | ||||||
Eagle Pharmaceuticals * | 322 | 18,077 | ||||||
Edwards Lifesciences * | 2,689 | 359,438 | ||||||
Ensign Group | 1,468 | 39,196 | ||||||
Exact Sciences * | 1,223 | 54,558 | ||||||
Exelixis * | 3,695 | 95,331 | ||||||
FibroGen * | 1,155 | 63,641 | ||||||
Glaukos * | 584 | 18,279 | ||||||
Halozyme Therapeutics * | 2,244 | 44,117 | ||||||
Incyte * | 2,025 | 172,449 | ||||||
Inogen * | 368 | 44,462 | ||||||
Insulet * | 672 | 50,460 | ||||||
Integra LifeSciences Holdings * | 683 | 36,015 | ||||||
Ionis Pharmaceuticals * | 1,596 | 84,301 | ||||||
Juno Therapeutics * | 1,198 | 103,950 | ||||||
Lexicon Pharmaceuticals * | 1,897 | 16,371 | ||||||
LivaNova * | 551 | 49,447 | ||||||
Medtronic | 3,498 | 279,455 | ||||||
Merit Medical Systems * | 985 | 44,818 | ||||||
Myriad Genetics * | 1,575 | 51,062 | ||||||
Natus Medical * | 719 | 22,397 | ||||||
NuVasive * | 390 | 18,860 | ||||||
Puma Biotechnology * | 794 | 51,888 | ||||||
Quest Diagnostics | 1,744 | 179,719 | ||||||
Radius Health * | 788 | 30,015 | ||||||
Regeneron Pharmaceuticals * | 765 | 245,137 | ||||||
Sage Therapeutics * | 388 | 62,608 | ||||||
Seattle Genetics * | 1,809 | 97,686 | ||||||
Stryker | 2,149 | 348,481 | ||||||
TESARO * | 692 | 38,219 | ||||||
Varian Medical Systems * | 1,187 | 141,657 | ||||||
Vertex Pharmaceuticals * | 2,439 | 404,946 | ||||||
Wright Medical Group * | 952 | 19,373 |
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Longevity Thematic ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Health Care — continued | ||||||||
Zimmer Biomet Holdings | 2,350 | $ | 273,188 | |||||
6,864,672 | ||||||||
Industrials — 0.3% | ||||||||
Integer Holdings * | 705 | 35,990 | ||||||
Real Estate Investment Trusts — 6.8% | ||||||||
HCP | 5,956 | 128,888 | ||||||
LTC Properties | 574 | 21,209 | ||||||
National Health Investors | 380 | 24,651 | ||||||
Omega Healthcare Investors | 2,534 | 64,566 | ||||||
Quality Care Properties * | 1,463 | 18,127 | ||||||
Sabra Health Care | 2,129 | 35,938 | ||||||
Senior Housing Properties Trust | 3,062 | 46,359 | ||||||
Ventas | 4,267 | 206,180 | ||||||
Welltower | 3,840 | 201,600 | ||||||
747,518 | ||||||||
TOTAL UNITED STATES | 7,687,734 | |||||||
TOTAL COMMON STOCK | ||||||||
(Cost $10,135,522) | 10,992,855 | |||||||
TOTAL INVESTMENTS — 99.8% | ||||||||
(Cost $10,135,522) | $ | 10,992,855 |
Percentages are based on Net Assets of $11,016,075.
* | Non-income producing security. |
(A) | Security sold within terms of a private placement memorandum, exempt from registration under Section 144A of the Securities Act of 1933, as amended, and may be sold only to dealers in that program or other "accredited investors." The total value of such securities as of February 28, 2018 was $49,168 and represents 0.4% of Net Assets. |
ADR — American Depositary Receipt
Cl — Class
As of February 28, 2018, all of the Fund's investments were considered Level 1, in accordance with authoritative guidance on fair value measurements and disclosure under U.S. GAAP.
For the period ended February 28, 2018, there have been no transfers between Level 1, Level 2 and Level 3 investments.
For information on the Fund’s policy regarding valuation of investments and other significant accounting policies, please refer to the Fund’s most recent annual or semi-annual financial statements.
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Millennials Thematic ETF |
Shares | Value | |||||||
COMMON STOCK — 99.9% | ||||||||
UNITED STATES— 99.9% | ||||||||
Consumer Goods — 14.7% | ||||||||
Carter's | 1,263 | $ | 147,367 | |||||
Columbia Sportswear | 1,819 | 137,480 | ||||||
Fitbit, Cl A * | 7,384 | 35,296 | ||||||
GoPro, Cl A * | 5,161 | 27,766 | ||||||
Hasbro | 3,280 | 313,470 | ||||||
Lululemon Athletica * | 3,319 | 269,171 | ||||||
Michael Kors Holdings * | 4,006 | 252,098 | ||||||
NIKE, Cl B | 9,702 | 650,325 | ||||||
Under Armour, Cl A * | 4,869 | 80,728 | ||||||
VF | 7,681 | 572,772 | ||||||
Wayfair, Cl A * | 1,444 | 111,794 | ||||||
Zynga, Cl A * | 20,483 | 70,871 | ||||||
2,669,138 | ||||||||
Consumer Services — 46.8% | ||||||||
Amazon.com * | 494 | 747,150 | ||||||
Avis Budget Group * | 2,180 | 98,492 | ||||||
Bed Bath & Beyond | 3,778 | 81,000 | ||||||
Booking Holdings * | 258 | 524,782 | ||||||
Bright Horizons Family Solutions * | 1,563 | 149,375 | ||||||
CarMax * | 4,783 | 296,163 | ||||||
Chegg * | 3,204 | 63,792 | ||||||
Children's Place Retail Stores | 465 | 66,170 | ||||||
Chipotle Mexican Grill, Cl A * | 754 | 240,081 | ||||||
Costco Wholesale | 3,138 | 599,045 | ||||||
Dick's Sporting Goods | 2,231 | 71,437 | ||||||
DSW, Cl A | 2,575 | 50,496 | ||||||
eBay * | 12,942 | 554,694 | ||||||
El Pollo Loco Holdings * | 4,122 | 40,190 | ||||||
Etsy * | 3,115 | 78,841 | ||||||
Expedia | 3,331 | 350,321 | ||||||
Francesca's Holdings * | 7,257 | 37,809 | ||||||
GNC Holdings, Cl A * | 6,179 | 26,323 | ||||||
Groupon, Cl A * | 14,660 | 62,745 | ||||||
GrubHub * | 2,278 | 226,456 | ||||||
Home Depot | 2,997 | 546,262 | ||||||
K12 * | 2,874 | 42,909 | ||||||
L Brands | 7,453 | 367,656 | ||||||
Liberty Expedia Holdings, Cl A * | 1,431 | 56,181 | ||||||
Live Nation Entertainment * | 5,447 | 244,026 | ||||||
Lowe's | 6,047 | 541,751 | ||||||
Netflix * | 2,527 | 736,317 | ||||||
Pandora Media * | 6,556 | 28,912 | ||||||
Pier 1 Imports | 12,116 | 37,560 |
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Millennials Thematic ETF |
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Consumer Services — continued | ||||||||
Planet Fitness, Cl A * | 2,256 | $ | 83,427 | |||||
Sprouts Farmers Market * | 3,573 | 92,040 | ||||||
Starbucks | 8,806 | 502,822 | ||||||
TripAdvisor * | 3,324 | 133,226 | ||||||
Trivago ADR * | 4,594 | 35,971 | ||||||
TrueCar * | 3,192 | 35,399 | ||||||
Vitamin Shoppe * | 9,693 | 36,349 | ||||||
Walt Disney | 5,086 | 524,671 | ||||||
Yelp, Cl A * | 2,160 | 94,090 | ||||||
8,504,931 | ||||||||
Financials — 2.2% | ||||||||
LendingClub * | 10,845 | 34,162 | ||||||
LendingTree * | 320 | 111,520 | ||||||
Nelnet, Cl A | 968 | 53,569 | ||||||
SLM * | 11,388 | 124,243 | ||||||
Zillow Group, Cl A * | 1,441 | 68,505 | ||||||
391,999 | ||||||||
Industrials — 6.5% | ||||||||
Fiserv * | 3,877 | 555,923 | ||||||
MINDBODY, Cl A * | 1,770 | 63,101 | ||||||
PayPal Holdings * | 7,161 | 568,655 | ||||||
1,187,679 | ||||||||
Real Estate Investment Trusts — 8.0% | ||||||||
American Campus Communities | 3,603 | 131,437 | ||||||
AvalonBay Communities | 2,725 | 425,154 | ||||||
Camden Property Trust | 2,450 | 195,290 | ||||||
Education Realty Trust | 1,931 | 60,131 | ||||||
Equity Residential | 7,330 | 412,166 | ||||||
UDR | 7,067 | 237,593 | ||||||
1,461,771 | ||||||||
Technology — 21.7% | ||||||||
Alphabet, Cl A * | 492 | 543,129 | ||||||
Apple | 3,161 | 563,037 | ||||||
Blucora * | 1,967 | 45,831 | ||||||
Facebook, Cl A * | 2,857 | 509,460 | ||||||
IAC * | 1,953 | 290,821 | ||||||
Instructure * | 1,445 | 62,713 | ||||||
Intuit | 3,394 | 566,322 | ||||||
Match Group * | 1,920 | 76,896 | ||||||
Snap, Cl A * | 21,408 | 370,787 | ||||||
Square, Cl A * | 6,650 | 306,233 | ||||||
Twitter * | 19,462 | 620,060 | ||||||
3,955,289 |
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Millennials Thematic ETF |
Value | ||||
COMMON STOCK — continued | ||||
TOTAL COMMON STOCK | ||||
(Cost $16,392,441) | $ | 18,170,807 | ||
TOTAL INVESTMENTS — 99.9% | ||||
(Cost $16,392,441) | $ | 18,170,807 |
Percentages are based on Net Assets of $18,185,016.
* | Non-income producing security. |
ADR — American Depositary Receipt
Cl — Class
As of February 28, 2018, all of the Fund's investments were considered Level 1, in accordance with authoritative guidance on fair value measurements and disclosure under U.S. GAAP.
For the period ended February 28, 2018, there have been no transfers between Level 1, Level 2 or Level 3 investments.
For information on the Fund’s policy regarding valuation of investments and other significant accounting policies, please refer to the Fund’s most recent annual or semi-annual financial statements.
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X U.S. Infrastructure Development ETF
Shares | Value | |||||||
COMMON STOCK — 99.8% | ||||||||
Basic Materials — 22.1% | ||||||||
AK Steel Holding * | 43,655 | $ | 225,260 | |||||
Alcoa | 35,642 | 1,602,821 | ||||||
Allegheny Technologies * | 24,332 | 630,442 | ||||||
Arconic | 91,353 | 2,228,100 | ||||||
Calgon Carbon | 12,975 | 275,719 | ||||||
Century Aluminum * | 12,094 | 230,391 | ||||||
Cleveland-Cliffs * | 56,941 | 400,295 | ||||||
Commercial Metals | 22,411 | 544,587 | ||||||
CSW Industrials * | 5,723 | 262,400 | ||||||
Haynes International | 7,429 | 309,046 | ||||||
Minerals Technologies | 6,798 | 467,023 | ||||||
Nucor | 40,127 | 2,624,306 | ||||||
Reliance Steel & Aluminum | 14,032 | 1,265,265 | ||||||
RPM International | 25,709 | 1,279,537 | ||||||
Ryerson Holding * | 22,953 | 231,825 | ||||||
Steel Dynamics | 45,605 | 2,109,231 | ||||||
United States Steel | 33,589 | 1,461,457 | ||||||
Westlake Chemical | 24,904 | 2,696,107 | ||||||
18,843,812 | ||||||||
Consumer Services — 0.6% | ||||||||
Herc Holdings * | 4,045 | 263,774 | ||||||
Titan Machinery * | 12,568 | 250,606 | ||||||
514,380 | ||||||||
Industrials — 74.1% | ||||||||
Acuity Brands | 8,101 | 1,155,041 | ||||||
Advanced Drainage Systems | 11,220 | 286,671 | ||||||
AECOM * | 30,591 | 1,086,286 | ||||||
Aegion, Cl A * | 10,865 | 249,460 | ||||||
Altra Industrial Motion | 5,207 | 225,984 | ||||||
Anixter International * | 6,392 | 482,916 | ||||||
Argan | 6,030 | 240,898 | ||||||
Astec Industries | 4,373 | 257,570 | ||||||
Atkore International Group * | 11,732 | 255,054 | ||||||
Badger Meter | 5,520 | 262,752 | ||||||
Chicago Bridge & Iron | 14,462 | 252,507 | ||||||
Columbus McKinnon | 6,373 | 226,240 | ||||||
Crane | 11,418 | 1,053,996 | ||||||
CSX | 48,469 | 2,603,755 | ||||||
Eagle Materials | 9,347 | 936,850 | ||||||
Eaton | 32,510 | 2,623,557 | ||||||
EMCOR Group | 11,313 | 863,295 | ||||||
Emerson Electric | 37,849 | 2,689,550 |
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X U.S. Infrastructure Development ETF
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Industrials — continued | ||||||||
Exponent | 3,739 | $ | 290,707 | |||||
Fastenal | 50,867 | 2,783,442 | ||||||
Fluor | 26,922 | 1,531,862 | ||||||
Forterra * | 29,653 | 210,240 | ||||||
Fortive | 36,875 | 2,832,000 | ||||||
General Cable | 9,298 | 274,756 | ||||||
Genesee & Wyoming, Cl A * | 11,857 | 824,417 | ||||||
Gibraltar Industries * | 7,205 | 250,013 | ||||||
Global Brass & Copper Holdings | 8,271 | 234,069 | ||||||
Gorman-Rupp | 8,872 | 236,705 | ||||||
Granite Construction | 7,654 | 444,697 | ||||||
Greenbrier | 5,324 | 275,783 | ||||||
H&E Equipment Services | 6,981 | 263,114 | ||||||
HD Supply Holdings * | 35,730 | 1,295,213 | ||||||
Hubbell, Cl B | 10,516 | 1,378,122 | ||||||
Insteel Industries | 8,479 | 239,447 | ||||||
Jacobs Engineering Group | 27,182 | 1,659,733 | ||||||
Kansas City Southern | 19,927 | 2,053,278 | ||||||
Lincoln Electric Holdings | 12,658 | 1,108,081 | ||||||
Manitowoc * | 6,754 | 200,729 | ||||||
Martin Marietta Materials | 11,963 | 2,439,615 | ||||||
MasTec * | 15,918 | 811,022 | ||||||
MDU Resources Group | 37,553 | 987,268 | ||||||
Mueller Industries | 7,810 | 206,887 | ||||||
Mueller Water Products, Cl A | 23,185 | 255,035 | ||||||
MYR Group * | 7,973 | 257,927 | ||||||
Norfolk Southern | 18,255 | 2,538,905 | ||||||
Powell Industries | 8,589 | 228,725 | ||||||
Primoris Services | 10,380 | 258,462 | ||||||
Quanta Services * | 29,764 | 1,025,072 | ||||||
RBC Bearings * | 4,719 | 568,640 | ||||||
Rexnord * | 19,978 | 578,962 | ||||||
Rockwell Automation | 13,501 | 2,440,981 | ||||||
SPX * | 8,241 | 257,366 | ||||||
Stantec | 21,899 | 550,760 | ||||||
Sterling Construction * | 19,038 | 229,979 | ||||||
Summit Materials, Cl A * | 21,149 | 668,943 | ||||||
Team * | 15,334 | 250,711 | ||||||
Tetra Tech | 10,701 | 523,814 | ||||||
TimkenSteel * | 14,473 | 236,778 | ||||||
Trimble Navigation * | 47,905 | 1,817,037 | ||||||
Trinity Industries | 29,205 | 953,251 | ||||||
Tutor Perini * | 10,428 | 251,836 | ||||||
Union Pacific | 19,576 | 2,549,774 | ||||||
United Rentals * | 14,896 | 2,608,141 |
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X U.S. Infrastructure Development ETF
Shares / Face Amount | Value | |||||||
COMMON STOCK — continued | ||||||||
Industrials — continued | ||||||||
US Concrete * | 3,452 | $ | 251,133 | |||||
Valmont Industries | 4,334 | 637,531 | ||||||
Vulcan Materials | 20,516 | 2,415,349 | ||||||
Wabash National | 11,826 | 258,398 | ||||||
Wabtec | 18,467 | 1,502,106 | ||||||
WESCO International * | 9,028 | 561,993 | ||||||
63,261,191 | ||||||||
Oil & Gas — 0.8% | ||||||||
Matrix Service * | 14,518 | 207,608 | ||||||
MRC Global * | 14,544 | 240,412 | ||||||
NOW * | 21,665 | 205,601 | ||||||
653,621 | ||||||||
Technology — 1.1% | ||||||||
Calix * | 44,748 | 293,099 | ||||||
Dycom Industries * | 5,953 | 650,306 | ||||||
943,405 | ||||||||
Utilities — 1.1% | ||||||||
Vectren | 15,956 | 961,349 | ||||||
TOTAL COMMON STOCK | ||||||||
(Cost $87,473,265) | 85,177,759 | |||||||
CORPORATE OBLIGATION — 0.0% | ||||||||
Mueller Industries | ||||||||
6.000%, 03/01/27 | ||||||||
(Cost $1,000) | $ | 1,000 | 1,003 | |||||
TOTAL INVESTMENTS — 99.8% | ||||||||
(Cost $87,474,265) | $ | 85,178,762 |
Percentages are based on Net Assets of $85,326,417.
* | Non-income producing security. |
Cl — Class
The following is a summary of the level of inputs used as of February 28, 2018, in valuing the Fund's investments carried at value:
Investments in Securities | Level 1 | Level 2 | Level 3 | Total | ||||||||||||
Common Stock | $ | 85,177,759 | $ | — | $ | — | $ | 85,177,759 | ||||||||
Corporate Obligation | — | 1,003 | — | 1,003 | ||||||||||||
Total Investments in Securities | $ | 85,177,759 | $ | 1,003 | $ | — | $ | 85,178,762 |
For the period ended February 28, 2018, there have been no transfers between Level 1, Level 2 or Level 3 investments.
For the period ended February 28, 2018, there were no Level 3 investments.
For information on the Fund’s policy regarding valuation of investments and other significant accounting policies, please refer to the Fund’s most recent annual or semi-annual financial statements.
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Conscious Companies ETF
Shares | Value | |||||||
COMMON STOCK — 99.8% | ||||||||
CANADA— 0.7% | ||||||||
Financials — 0.7% | ||||||||
Toronto-Dominion Bank | 6,282 | $ | 364,168 | |||||
UNITED STATES— 99.1% | ||||||||
Basic Materials — 2.8% | ||||||||
Air Products & Chemicals | 2,247 | 361,295 | ||||||
Ecolab | 2,796 | 364,738 | ||||||
Newmont Mining | 9,235 | 352,777 | ||||||
Praxair | 2,388 | 357,603 | ||||||
1,436,413 | ||||||||
Consumer Goods — 14.5% | ||||||||
Campbell Soup | 8,152 | 350,944 | ||||||
Clorox | 2,699 | 348,387 | ||||||
Coca-Cola | 8,027 | 346,927 | ||||||
Colgate-Palmolive | 4,955 | 341,746 | ||||||
Dr Pepper Snapple Group | 4,004 | 465,465 | ||||||
Estee Lauder, Cl A | 2,819 | 390,262 | ||||||
Ford Motor | 31,860 | 338,035 | ||||||
General Mills | 6,428 | 324,935 | ||||||
Hasbro | 4,009 | 383,140 | ||||||
Hershey | 3,481 | 342,043 | ||||||
Hormel Foods | 11,164 | 362,383 | ||||||
Kellogg | 5,705 | 377,672 | ||||||
Kimberly-Clark | 3,231 | 358,383 | ||||||
Molson Coors Brewing, Cl B | 4,576 | 348,920 | ||||||
NIKE, Cl B | 5,646 | 378,451 | ||||||
PepsiCo | 3,170 | 347,844 | ||||||
Pool | 2,832 | 390,901 | ||||||
Procter & Gamble | 4,347 | 341,326 | ||||||
PVH | 2,538 | 366,183 | ||||||
Tupperware Brands | 5,935 | 291,112 | ||||||
VF | 4,744 | 353,760 | ||||||
7,548,819 | ||||||||
Consumer Services — 16.4% | ||||||||
Alaska Air Group | 5,935 | 382,808 | ||||||
Amazon.com * | 282 | 426,511 | ||||||
Best Buy | 5,001 | 362,273 | ||||||
Booking Holdings * | 197 | 400,706 | ||||||
Cardinal Health | 5,140 | 355,739 | ||||||
CarMax * | 5,411 | 335,049 | ||||||
Choice Hotels International | 4,774 | 377,862 | ||||||
Copart * | 8,589 | 402,051 | ||||||
Costco Wholesale | 1,976 | 377,218 | ||||||
CVS Health | 4,686 | 317,383 | ||||||
Darden Restaurants | 3,936 | 362,860 |
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Conscious Companies ETF
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Consumer Services — continued | ||||||||
Delta Air Lines | 6,763 | $ | 364,526 | |||||
eBay * | 9,690 | 415,313 | ||||||
Home Depot | 1,862 | 339,387 | ||||||
Kohl's | 5,673 | 374,929 | ||||||
L Brands | 7,218 | 356,064 | ||||||
Lowe's | 3,599 | 322,434 | ||||||
Marriott International, Cl A | 2,660 | 375,619 | ||||||
Nordstrom | 7,584 | 389,135 | ||||||
Omnicom Group | 5,105 | 389,154 | ||||||
Southwest Airlines | 6,072 | 351,204 | ||||||
Starbucks | 6,311 | 360,358 | ||||||
Walt Disney | 3,475 | 358,481 | ||||||
8,497,064 | ||||||||
Financials — 13.1% | ||||||||
Aflac | 4,283 | 380,673 | ||||||
Allstate | 3,820 | 352,433 | ||||||
American Express | 3,795 | 370,050 | ||||||
BlackRock, Cl A | 653 | 358,778 | ||||||
Capital One Financial | 3,649 | 357,347 | ||||||
CBRE Group, Cl A * | 8,496 | 397,188 | ||||||
Discover Financial Services | 4,876 | 384,375 | ||||||
Jones Lang LaSalle | 2,501 | 401,686 | ||||||
JPMorgan Chase | 3,321 | 383,575 | ||||||
KeyCorp | 17,676 | 373,494 | ||||||
Mastercard, Cl A | 2,300 | 404,248 | ||||||
Moody's | 2,369 | 395,339 | ||||||
PNC Financial Services Group | 2,435 | 383,901 | ||||||
Progressive | 6,942 | 399,721 | ||||||
T Rowe Price Group | 3,263 | 365,129 | ||||||
Travelers | 2,602 | 361,678 | ||||||
US Bancorp | 6,602 | 358,885 | ||||||
Visa, Cl A | 3,084 | 379,147 | ||||||
6,807,647 | ||||||||
Health Care — 12.0% | ||||||||
Abbott Laboratories | 6,220 | 375,253 | ||||||
AbbVie | 3,641 | 421,737 | ||||||
Amgen | 2,008 | 369,010 | ||||||
Becton Dickinson | 1,609 | 357,230 | ||||||
Biogen Idec * | 1,109 | 320,490 | ||||||
Bristol-Myers Squibb | 6,022 | 398,656 | ||||||
Celgene * | 3,723 | 324,348 | ||||||
Edwards Lifesciences * | 3,115 | 416,381 | ||||||
Eli Lilly | 4,554 | 350,749 | ||||||
Illumina * | 1,583 | 360,956 |
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Conscious Companies ETF
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Health Care — continued | ||||||||
IQVIA Holdings * | 3,709 | $ | 364,706 | |||||
Johnson & Johnson | 2,702 | 350,936 | ||||||
Merck | 6,275 | 340,231 | ||||||
Regeneron Pharmaceuticals * | 1,002 | 321,081 | ||||||
Thermo Fisher Scientific | 1,784 | 372,106 | ||||||
Varian Medical Systems * | 3,396 | 405,279 | ||||||
Waters * | 1,792 | 366,715 | ||||||
6,215,864 | ||||||||
Industrials — 13.9% | ||||||||
3M | 1,543 | 363,392 | ||||||
Agilent Technologies | 5,220 | 358,039 | ||||||
Automatic Data Processing | 3,177 | 366,372 | ||||||
Ball | 9,885 | 394,905 | ||||||
Boeing | 1,148 | 415,817 | ||||||
Cummins | 2,031 | 341,553 | ||||||
Danaher | 3,787 | 370,293 | ||||||
FedEx | 1,421 | 350,149 | ||||||
Fluor | 6,267 | 356,592 | ||||||
General Electric | 23,354 | 329,525 | ||||||
ManpowerGroup | 2,892 | 342,586 | ||||||
Mettler-Toledo International * | 571 | 351,862 | ||||||
Raytheon | 1,939 | 421,753 | ||||||
Rockwell Automation | 1,897 | 342,978 | ||||||
Rockwell Collins | 2,786 | 383,688 | ||||||
Sonoco Products | 7,081 | 339,676 | ||||||
Union Pacific | 2,720 | 354,280 | ||||||
United Parcel Service, Cl B | 2,915 | 304,355 | ||||||
Waste Management | 4,338 | 374,456 | ||||||
WW Grainger | 1,413 | 369,570 | ||||||
7,231,841 | ||||||||
Oil & Gas — 4.3% | ||||||||
Chevron | 2,922 | 327,030 | ||||||
ConocoPhillips | 6,350 | 344,868 | ||||||
Devon Energy | 8,624 | 264,498 | ||||||
EOG Resources | 3,242 | 328,804 | ||||||
Hess | 7,126 | 323,663 | ||||||
Occidental Petroleum | 4,950 | 324,720 | ||||||
Schlumberger | 4,911 | 322,358 | ||||||
2,235,941 | ||||||||
Technology — 17.1% | ||||||||
Adobe Systems * | 1,942 | 406,130 | ||||||
Akamai Technologies * | 5,816 | 392,347 | ||||||
Alphabet, Cl A * | 328 | 362,086 | ||||||
Analog Devices | 4,010 | 361,502 |
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Conscious Companies ETF
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Technology — continued | ||||||||
Apple | 2,205 | $ | 392,755 | |||||
Applied Materials | 6,749 | 388,675 | ||||||
Autodesk * | 3,284 | 385,771 | ||||||
Cisco Systems | 9,108 | 407,856 | ||||||
Cognizant Technology Solutions, Cl A | 4,894 | 401,406 | ||||||
Facebook, Cl A * | 2,059 | 367,161 | ||||||
Intel | 8,440 | 416,007 | ||||||
Intuit | 2,292 | 382,443 | ||||||
KLA-Tencor | 3,363 | 381,062 | ||||||
Microsoft | 4,183 | 392,240 | ||||||
NVIDIA | 1,629 | 394,218 | ||||||
Oracle | 7,462 | 378,100 | ||||||
QUALCOMM | 5,648 | 367,120 | ||||||
salesforce.com * | 3,402 | 395,483 | ||||||
Teradata * | 9,627 | 354,466 | ||||||
Texas Instruments | 3,500 | 379,225 | ||||||
VMware, Cl A * | 2,801 | 369,032 | ||||||
Workday, Cl A * | 3,322 | 420,797 | ||||||
Xilinx | 5,225 | 372,281 | ||||||
8,868,163 | ||||||||
Telecommunications — 1.4% | ||||||||
AT&T | 10,220 | 370,986 | ||||||
Verizon Communications | 7,081 | 338,047 | ||||||
709,033 | ||||||||
Utilities — 3.6% | ||||||||
Entergy | 5,005 | 379,479 | ||||||
Exelon | 10,048 | 372,178 | ||||||
NextEra Energy | 2,545 | 387,221 | ||||||
Sempra Energy | 3,633 | 395,925 | ||||||
WEC Energy Group | 6,071 | 363,774 | ||||||
1,898,577 | ||||||||
TOTAL UNITED STATES | 51,449,362 | |||||||
TOTAL COMMON STOCK | ||||||||
(Cost $46,141,827) | 51,813,530 | |||||||
TOTAL INVESTMENTS — 99.8% | ||||||||
(Cost $46,141,827) | $ | 51,813,530 |
Percentages are based on Net Assets of $51,939,912.
* | Non-income producing security. |
Cl — Class
As of February 28, 2018, all of the Fund's investments were considered Level 1, in accordance with authoritative guidance on fair value measurements and disclosure under U.S. GAAP.
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Conscious Companies ETF
For the period ended February 28, 2018, there have been no transfers between Level 1, Level 2 or Level 3 investments.
For information on the Fund’s policy regarding valuation of investments and other significant accounting policies, please refer to the Fund’s most recent annual or semi-annual financial statements.
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Founder-Run Companies ETF
Shares | Value | |||||||
COMMON STOCK — 99.9% | ||||||||
Basic Materials — 2.7% | ||||||||
Steel Dynamics | 924 | $ | 42,735 | |||||
Westlake Chemical | 525 | 56,836 | ||||||
99,571 | ||||||||
Consumer Goods — 6.0% | ||||||||
Gentex | 1,580 | 35,882 | ||||||
Hain Celestial Group * | 874 | 30,398 | ||||||
National Beverage | 371 | 36,336 | ||||||
Skechers U.S.A., Cl A * | 1,283 | 52,500 | ||||||
Tesla * | 105 | 36,021 | ||||||
Under Armour, Cl A * | 1,498 | 24,837 | ||||||
215,974 | ||||||||
Consumer Services — 12.9% | ||||||||
Amazon.com * | 35 | 52,936 | ||||||
Cheesecake Factory | 520 | 24,175 | ||||||
Chipotle Mexican Grill, Cl A * | 69 | 21,970 | ||||||
DISH Network, Cl A * | 500 | 20,845 | ||||||
GrubHub * | 754 | 74,955 | ||||||
L Brands | 643 | 31,719 | ||||||
Las Vegas Sands | 567 | 41,283 | ||||||
Netflix * | 213 | 62,064 | ||||||
Texas Roadhouse, Cl A | 310 | 17,131 | ||||||
TripAdvisor * | 716 | 28,697 | ||||||
Urban Outfitters * | 1,415 | 49,936 | ||||||
Wynn Resorts | 265 | 44,387 | ||||||
470,098 | ||||||||
Financials — 11.5% | ||||||||
Athene Holding, Cl A * | 620 | 29,270 | ||||||
BlackRock, Cl A | 87 | 47,801 | ||||||
Capital One Financial | 413 | 40,445 | ||||||
Essent Group * | 874 | 39,409 | ||||||
Interactive Brokers Group, Cl A | 937 | 65,028 | ||||||
Intercontinental Exchange | 542 | 39,609 | ||||||
MarketAxess Holdings | 172 | 34,813 | ||||||
SEI Investments | 645 | 46,975 | ||||||
Signature Bank NY * | 233 | 34,062 | ||||||
Wintrust Financial | 458 | 38,706 | ||||||
416,118 | ||||||||
Health Care — 13.0% | ||||||||
Intercept Pharmaceuticals * | 286 | 17,083 | ||||||
Ionis Pharmaceuticals * | 670 | 35,389 | ||||||
Jazz Pharmaceuticals * | 208 | 30,118 | ||||||
Juno Therapeutics * | 1,300 | 112,801 | ||||||
Masimo * | 322 | 28,185 |
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Founder-Run Companies ETF
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Health Care — continued | ||||||||
Medicines * | 651 | $ | 19,934 | |||||
MEDNAX * | 548 | 30,129 | ||||||
Neurocrine Biosciences * | 606 | 51,165 | ||||||
Regeneron Pharmaceuticals * | 85 | 27,237 | ||||||
Seattle Genetics * | 472 | 25,488 | ||||||
TESARO * | 218 | 12,040 | ||||||
Ultragenyx Pharmaceutical * | 500 | 23,905 | ||||||
United Therapeutics * | 257 | 29,774 | ||||||
Universal Health Services, Cl B | 268 | 30,605 | ||||||
473,853 | ||||||||
Industrials — 8.2% | ||||||||
Clean Harbors * | 569 | 28,410 | ||||||
CoStar Group * | 134 | 45,845 | ||||||
Euronet Worldwide * | 400 | 33,948 | ||||||
FedEx | 172 | 42,383 | ||||||
IPG Photonics * | 257 | 63,129 | ||||||
Orbital ATK | 330 | 43,580 | ||||||
TransDigm Group | 145 | 41,805 | ||||||
299,100 | ||||||||
Oil & Gas — 3.8% | ||||||||
Antero Resources * | 1,561 | 29,362 | ||||||
Continental Resources * | 763 | 36,250 | ||||||
Laredo Petroleum * | 2,572 | 21,579 | ||||||
Oasis Petroleum * | 2,696 | 21,245 | ||||||
Parsley Energy, Cl A * | 1,110 | 28,061 | ||||||
136,497 | ||||||||
Real Estate Investment Trusts — 10.3% | ||||||||
Acadia Realty Trust | 1,159 | 27,909 | ||||||
Alexandria Real Estate Equities | 299 | 36,272 | ||||||
American Campus Communities | 704 | 25,682 | ||||||
American Homes 4 Rent, Cl A | 1,442 | 27,672 | ||||||
Apartment Investment & Management, Cl A | 757 | 29,266 | ||||||
Brandywine Realty Trust | 1,940 | 30,380 | ||||||
Camden Property Trust | 403 | 32,123 | ||||||
DiamondRock Hospitality | 3,073 | 31,590 | ||||||
GEO Group | 1,008 | 21,470 | ||||||
Healthcare Trust of America, Cl A | 1,058 | 26,291 | ||||||
Medical Properties Trust | 2,624 | 32,170 | ||||||
Starwood Property Trust | 1,522 | 30,821 | ||||||
Vornado Realty Trust | 340 | 22,600 | ||||||
374,246 | ||||||||
Technology — 30.6% | ||||||||
Akamai Technologies * | 530 | 35,754 | ||||||
Alphabet, Cl A * | 35 | 38,637 |
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Founder-Run Companies ETF
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Technology — continued | ||||||||
athenahealth * | 330 | $ | 46,114 | |||||
Cavium * | 470 | 41,849 | ||||||
Cerner * | 499 | 32,016 | ||||||
Cognizant Technology Solutions, Cl A | 540 | 44,291 | ||||||
EPAM Systems * | 420 | 47,510 | ||||||
Facebook, Cl A * | 215 | 38,339 | ||||||
Fortinet * | 829 | 41,840 | ||||||
Medidata Solutions * | 494 | 32,436 | ||||||
Monolithic Power Systems | 356 | 41,673 | ||||||
NetScout Systems * | 856 | 22,727 | ||||||
NVIDIA | 312 | 75,504 | ||||||
Paycom Software * | 537 | 53,120 | ||||||
Pegasystems | 287 | 16,646 | ||||||
salesforce.com * | 376 | 43,710 | ||||||
Snap, Cl A * | 1,427 | 24,716 | ||||||
Square, Cl A * | 1,777 | 81,831 | ||||||
SS&C Technologies Holdings | 903 | 44,716 | ||||||
Twitter * | 1,965 | 62,605 | ||||||
Ubiquiti Networks * | 628 | 39,941 | ||||||
Ultimate Software Group * | 163 | 38,869 | ||||||
Veeva Systems, Cl A * | 603 | 42,029 | ||||||
VeriSign * | 364 | 42,231 | ||||||
ViaSat * | 505 | 35,244 | ||||||
Workday, Cl A * | 370 | 46,868 | ||||||
1,111,216 | ||||||||
Telecommunications — 0.9% | ||||||||
Zayo Group Holdings * | 921 | 33,018 | ||||||
TOTAL COMMON STOCK | ||||||||
(Cost $3,238,983) | 3,629,691 | |||||||
TOTAL INVESTMENTS — 99.9% | ||||||||
(Cost $3,238,983) | $ | 3,629,691 |
Percentages are based on Net Assets of $3,634,152.
* | Non-income producing security. |
Cl — Class
As of February 28, 2018, all of the Fund's investments were considered Level 1, in accordance with authoritative guidance on fair value measurements and disclosure under U.S. GAAP.
For the period ended February 28, 2018, there have been no transfers between Level 1, Level 2 or Level 3 investments.
For information on the Fund’s policy regarding valuation of investments and other significant accounting policies, please refer to the Fund’s most recent annual or semi-annual financial statements.
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Iconic U.S. Brands ETF
Shares | Value | |||||||
COMMON STOCK — 99.9% | ||||||||
Consumer Goods — 21.3% | ||||||||
Activision Blizzard | 921 | $ | 67,353 | |||||
Coca-Cola | 464 | 20,054 | ||||||
Colgate-Palmolive | 298 | 20,553 | ||||||
Constellation Brands, Cl A | 99 | 21,332 | ||||||
Coty, Cl A | 3,622 | 69,977 | ||||||
DR Horton | 466 | 19,525 | ||||||
Estee Lauder, Cl A | 155 | 21,458 | ||||||
Ford Motor | 2,042 | 21,666 | ||||||
General Motors | 1,586 | 62,409 | ||||||
Kimberly-Clark | 186 | 20,631 | ||||||
Kraft Heinz | 280 | 18,774 | ||||||
Lennar, Cl A | 361 | 20,425 | ||||||
Molson Coors Brewing, Cl B | 807 | 61,534 | ||||||
Mondelez International, Cl A | 474 | 20,809 | ||||||
Newell Brands | 2,401 | 61,682 | ||||||
NIKE, Cl B | 972 | 65,153 | ||||||
PepsiCo | 182 | 19,971 | ||||||
Procter & Gamble | 257 | 20,180 | ||||||
Tesla * | 63 | 21,613 | ||||||
Tyson Foods, Cl A | 284 | 21,124 | ||||||
676,223 | ||||||||
Consumer Services — 33.5% | ||||||||
Amazon.com * | 45 | 68,060 | ||||||
American Airlines Group | 419 | 22,731 | ||||||
Best Buy | 306 | 22,167 | ||||||
Booking Holdings * | 35 | 71,192 | ||||||
CarMax * | 323 | 20,000 | ||||||
Carnival | 306 | 20,475 | ||||||
Charter Communications, Cl A * | 56 | 19,148 | ||||||
Comcast, Cl A | 531 | 19,227 | ||||||
Costco Wholesale | 114 | 21,763 | ||||||
CVS Health | 854 | 57,841 | ||||||
Delta Air Lines | 397 | 21,398 | ||||||
Dollar General | 217 | 20,526 | ||||||
Dollar Tree * | 198 | 20,323 | ||||||
Expedia | 500 | 52,585 | ||||||
Home Depot | 342 | 62,337 | ||||||
Kroger | 732 | 19,852 | ||||||
Lowe's | 641 | 57,427 | ||||||
Marriott International, Cl A | 459 | 64,815 | ||||||
McDonald's | 127 | 20,033 | ||||||
Netflix * | 82 | 23,893 |
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Iconic U.S. Brands ETF
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Consumer Services — continued | ||||||||
Ross Stores | 814 | $ | 63,565 | |||||
Southwest Airlines | 365 | 21,112 | ||||||
Starbucks | 1,144 | 65,322 | ||||||
Target | 294 | 22,170 | ||||||
Time Warner | 656 | 60,982 | ||||||
TJX | 274 | 22,654 | ||||||
Twenty-First Century Fox, Cl A | 576 | 21,208 | ||||||
United Continental Holdings * | 329 | 22,303 | ||||||
Walgreens Boots Alliance | 300 | 20,667 | ||||||
Walmart | 208 | 18,722 | ||||||
Walt Disney | 199 | 20,529 | ||||||
1,065,027 | ||||||||
Financials — 14.8% | ||||||||
Allstate | 219 | 20,205 | ||||||
Bank of America | 688 | 22,085 | ||||||
BlackRock, Cl A | 40 | 21,977 | ||||||
Capital One Financial | 215 | 21,055 | ||||||
Charles Schwab | 1,220 | 64,685 | ||||||
Citigroup | 284 | 21,439 | ||||||
Goldman Sachs Group | 84 | 22,086 | ||||||
JPMorgan Chase | 575 | 66,412 | ||||||
MetLife | 456 | 21,063 | ||||||
Morgan Stanley | 398 | 22,296 | ||||||
Progressive | 401 | 23,089 | ||||||
Prudential Financial | 188 | 19,988 | ||||||
Synchrony Financial | 565 | 20,560 | ||||||
US Bancorp | 1,146 | 62,297 | ||||||
Visa, Cl A | 179 | 22,006 | ||||||
Wells Fargo | 358 | 20,911 | ||||||
472,154 | ||||||||
Health Care — 10.0% | ||||||||
Abbott Laboratories | 356 | 21,477 | ||||||
AbbVie | 190 | 22,008 | ||||||
Allergan | 127 | 19,586 | ||||||
Anthem | 90 | 21,184 | ||||||
Becton Dickinson | 93 | 20,648 | ||||||
Bristol-Myers Squibb | 1,027 | 67,988 | ||||||
Celgene * | 223 | 19,428 | ||||||
Eli Lilly | 809 | 62,309 | ||||||
Johnson & Johnson | 160 | 20,781 | ||||||
Pfizer | 601 | 21,822 | ||||||
UnitedHealth Group | 95 | 21,485 | ||||||
318,716 |
Schedule of Investments | February 28, 2018 (Unaudited) |
Global X Iconic U.S. Brands ETF
Shares | Value | |||||||
COMMON STOCK — continued | ||||||||
Industrials — 3.3% | ||||||||
Boeing | 63 | $ | 22,819 | |||||
Deere | 133 | 21,396 | ||||||
FedEx | 84 | 20,698 | ||||||
PayPal Holdings * | 279 | 22,156 | ||||||
United Parcel Service, Cl B | 185 | 19,316 | ||||||
106,385 | ||||||||
Oil & Gas — 1.3% | ||||||||
Chevron | 185 | 20,705 | ||||||
Exxon Mobil | 262 | 19,844 | ||||||
40,549 | ||||||||
Technology — 11.8% | ||||||||
Adobe Systems * | 109 | 22,795 | ||||||
Alphabet, Cl A * | 59 | 65,131 | ||||||
Apple | 133 | 23,690 | ||||||
Broadcom | 91 | 22,428 | ||||||
Cisco Systems | 537 | 24,047 | ||||||
Facebook, Cl A * | 345 | 61,521 | ||||||
Intel | 468 | 23,067 | ||||||
Microsoft | 237 | 22,224 | ||||||
Oracle | 433 | 21,940 | ||||||
salesforce.com * | 193 | 22,436 | ||||||
Western Digital | 768 | 66,847 | ||||||
376,126 | ||||||||
Telecommunications — 3.9% | ||||||||
AT&T | 569 | 20,654 | ||||||
Sprint * | 4,075 | 21,149 | ||||||
T-Mobile US * | 1,017 | 61,641 | ||||||
Verizon Communications | 412 | 19,669 | ||||||
123,113 | ||||||||
TOTAL COMMON STOCK | ||||||||
(Cost $3,182,985) | 3,178,293 | |||||||
TOTAL INVESTMENTS — 99.9% | ||||||||
(Cost $3,182,985) | $ | 3,178,293 |
Percentages are based on Net Assets of $3,181,024.
* | Non-income producing security. |
Cl — Class
As of February 28, 2018, all of the Fund's investments were considered Level 1, in accordance with authoritative guidance on fair value measurements and disclosure under U.S. GAAP.
For the period ended February 28, 2018, there have been no transfers between Level 1, Level 2 or Level 3 investments.
For information on the Fund’s policy regarding valuation of investments and other significant accounting policies, please refer to the Fund’s most recent annual or semi-annual financial statements.
GLX-QH-008-0400
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 (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 (17 CFR 270.30a-3(d))) that occurred during the registrant’s last fiscal quarter that have materially affected, or are reasonably likely to materially affect, the registrant’s internal control over financial reporting.
Item 3. Exhibits.
(a) A separate certification for the principal executive officer and the principal financial officer of the registrant as required by Rule 30a-2(a) under the 1940 Act, (17 CFR 270.30a-2(a)), are filed herewith.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
(Registrant) | Global X Funds |
/s/ Luis Berruga | |
By (Signature and Title)* | Luis Berruga |
President |
Date: April 27, 2018
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/ Luis Berruga |
Luis Berruga | |
President |
Date: April 27, 2018
By (Signature and Title)* | /s/ Luis Berruga |
Luis Berruga | |
Chief Financial Officer |
Date: April 27, 2018
* Print the name and title of each signing officer under his or her signature.
CERTIFICATION
Pursuant to Section 302
of the Sarbanes-Oxley Act of 2002
I, Luis Berruga, certify that:
1. I have reviewed this report on Form N-Q of the Global X Funds;
2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
3. Based on my knowledge, the schedules of investments included in this report fairly present in all material respects the investments of the registrant as of the end of the fiscal quarter for which the report is filed;
4. The registrant's other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have:
(a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;
b) Designed such internal controls over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;
c) Evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report, based on such evaluation; and
(d) Disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting; and
5. The registrant's other certifying officer(s) and I have disclosed to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions):
a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize, and report financial information; and
b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting.
Date: April 27, 2018
/s/ Luis
Berruga
Luis Berruga
President
CERTIFICATION
Pursuant to Section 302
of the Sarbanes-Oxley Act of 2002
I, Luis Berruga, certify that:
1. I have reviewed this report on Form N-Q of the Global X Funds;
2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
3. Based on my knowledge, the schedules of investments included in this report fairly present in all material respects the investments of the registrant as of the end of the fiscal quarter for which the report is filed;
4. The registrant's other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have:
(a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;
b) Designed such internal controls over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;
c) Evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report, based on such evaluation; and
(d) Disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting; and
5. The registrant's other certifying officer(s) and I have disclosed to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions):
a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize, and report financial information; and
b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting.
Date: April 27, 2018
/s/ Luis
Berruga
Luis Berruga
Chief Financial Officer
Serious News for Serious Traders! Try StreetInsider.com Premium Free!
You May Also Be Interested In
- Founders Metals Engages Blue Coast Research for Preliminary Metallurgical Test Work
- The Shyft Group Reports First Quarter 2024 Results
- Good Times Restaurants to Release Financial Results on May 2, 2024 for the Second Fiscal Quarter 2024 Ended March 26, 2024
Create E-mail Alert Related Categories
SEC FilingsSign up for StreetInsider Free!
Receive full access to all new and archived articles, unlimited portfolio tracking, e-mail alerts, custom newswires and RSS feeds - and more!