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