Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company (n-q)
September 16 2013 - 4:42PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-Q
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS
OF REGISTERED MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number
811-22227
IndexIQ ETF Trust
(Exact name of registrant as specified in charter)
800 Westchester Ave., Suite N-611
Rye Brook, NY 10573
(Address of principal executive offices) (Zip code)
Adam S. Patti
IndexIQ Advisors LLC
800 Westchester Ave., Suite N-611
Rye Brook, NY 10573
(Name and address of agent for service)
Registrant's telephone number, including area
code:
1-888-934-0777
Date of fiscal year end:
April 30
Date of reporting period:
July 31, 2013
Form N-Q is to be used by management investment
companies, other than small business investment companies registered on Form N-5 (§§ 239.24 and 274.5 of this chapter),
to file reports with the Commission, not later than 60 days after the close of the first and third fiscal quarters, pursuant to
rule 30b1-5 under the Investment Company Act of 1940 (17 CFR 270.30b1-5). The Commission may use the information provided on Form
N-Q in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information
specified by Form N-Q, and the Commission will make this information public. A registrant is not required to respond to the collection
of information contained in Form N-Q unless the Form displays a currently valid Office of Management and Budget ("OMB")
control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions
for reducing the burden to the Secretary, Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549. The OMB has
reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
Item 1. Schedule of Investments.
The Schedule(s) of Investments is attached herewith.
Schedules of Investments
IQ Hedge Multi-Strategy Tracker ETF
July 31, 2013 (unaudited)
|
|
|
|
|
Shares
|
|
Value
|
|
|
|
|
Investment Companies — 87.9%
|
|
|
|
|
|
|
Aggregate Bond Funds — 19.9%
|
|
|
iShares Core Total US Bond Market ETF
|
370,220
|
|
$ 39,728,308
|
SPDR Barclays Aggregate Bond ETF
(a)
|
31,424
|
|
1,783,627
|
Vanguard Total Bond Market ETF
|
564,659
|
|
45,748,672
|
|
|
|
|
Total Aggregate Bond Funds
|
|
87,260,607
|
|
|
|
|
Commodity Funds — 2.1%
|
|
|
iShares Silver Trust*
|
24,811
|
|
474,386
|
PowerShares DB Commodity Index Tracking Fund*
|
330,150
|
|
8,560,790
|
|
|
|
|
Total Commodity Funds
|
|
9,035,176
|
|
|
|
|
Corporate Bond Funds — 15.1%
|
|
|
iShares Credit Bond ETF
|
20,698
|
|
2,234,142
|
iShares iBoxx $ Investment Grade Corporate Bond ETF
(a)
|
314,674
|
|
36,036,466
|
PowerShares Senior Loan Portfolio
(a)
|
1,123,623
|
|
28,034,394
|
|
|
|
|
Total Corporate Bond Funds
|
|
66,305,002
|
|
|
|
|
Currency Funds — 0.6%
|
|
|
CurrencyShares Japanese Yen Trust*
(a)
|
5,334
|
|
533,026
|
WisdomTree Emerging Currency Fund*
(a)
|
110,576
|
|
2,235,847
|
|
|
|
|
Total Currency Funds
|
|
2,768,873
|
|
|
|
|
Currency Harvest Fund — 1.3%
|
|
|
PowerShares DB G10 Currency Harvest Fund*
(a)
|
221,588
|
|
5,621,688
|
|
|
|
|
|
|
|
|
Emerging Equity Funds — 2.1%
|
|
|
iShares MSCI Emerging Markets ETF
|
98,173
|
|
3,825,802
|
Vanguard FTSE Emerging Markets ETF
|
139,128
|
|
5,437,122
|
|
|
|
|
Total Emerging Equity Funds
|
|
9,262,924
|
|
|
|
|
Equity Funds — 8.7%
|
|
|
iShares MSCI EAFE ETF
|
472,634
|
|
28,532,914
|
Vanguard FTSE Developed Markets ETF
|
253,306
|
|
9,486,310
|
|
|
|
|
Total Equity Funds
|
|
38,019,224
|
|
|
|
|
International Bond Funds — 1.2%
|
|
|
iShares J.P. Morgan USD Emerging Markets Bond ETF
(a)
|
32,327
|
|
3,533,341
|
PowerShares Emerging Markets Sovereign Debt Portfolio
(a)
|
57,519
|
|
1,573,720
|
|
|
|
|
Total International Bond Funds
|
|
5,107,061
|
|
|
|
|
Real Estate Fund — 0.2%
|
|
|
SPDR Dow Jones International Real Estate ETF
(a)
|
26,007
|
|
1,053,544
|
|
|
|
|
|
|
|
|
Short-Term Treasury Bond
Funds — 10.9%
|
|
|
iShares 1-3 Year Treasury Bond ETF
|
172,866
|
|
14,586,433
|
iShares Short Treasury Bond ETF
|
75,731
|
|
8,349,343
|
SPDR Barclays 1-3 Month T-Bill ETF*
(a)
|
61,042
|
|
2,795,723
|
|
|
|
|
|
|
|
|
|
Shares
|
|
Value
|
|
|
|
Investment Companies (continued)
|
|
|
|
|
|
|
Short-Term Treasury Bond
Funds (continued)
|
|
|
Vanguard Short-Term Bond ETF
(a)
|
273,033
|
|
$ 21,932,741
|
|
|
|
|
Total Short-Term Treasury Bond Funds
|
|
47,664,240
|
|
|
|
|
Treasury Inflation-Protected
Securities Bond Fund— 5.2%
|
|
|
iShares TIPS Bond ETF
|
201,593
|
|
22,753,802
|
|
|
|
|
|
|
|
|
U.S. Large Cap Equity Funds — 17.5%
|
|
|
iShares Russell 1000 Growth ETF
|
821,404
|
|
62,812,764
|
SPDR S&P 500 ETF Trust
|
82,437
|
|
13,903,824
|
|
|
|
|
Total U.S. Large Cap Equity Funds
|
|
76,716,588
|
|
|
|
|
U.S. Small Cap Equity Fund — 3.1%
|
|
|
iShares Russell 2000 ETF
(a)
|
131,153
|
|
13,596,631
|
|
|
|
|
|
|
|
|
Total Investment Companies — 87.9%
|
|
|
(Cost $384,315,817)
|
|
|
385,165,360
|
|
|
|
|
Short-Term Investment — 9.5%
|
|
|
|
|
|
|
|
Money Market Fund — 9.5%
|
|
|
|
Morgan Stanley Institutional Liquidity Funds Treasury Portfolio — Institutional Class, 0.03%
(b)
|
|
|
|
(Cost $41,715,084)
|
41,715,084
|
|
41,715,084
|
|
|
|
|
|
|
|
|
Investment of Cash Collateral For Securities Loaned — 17.7%
|
|
|
|
|
|
|
|
Money Market Fund —17.7%
|
|
|
|
BNY
Mellon Overnight Government Fund, 0.08%
(c)
|
|
|
|
(Cost $77,623,722)
|
77,623,722
|
|
77,623,722
|
|
|
|
|
Total Investments — 115.1%
|
|
|
(Cost $503,654,623)
|
|
|
$ 504,504,166
|
Liabilities in Excess of Other Assets —
(15.1)%
(d)
|
|
(66,212,587)
|
Net Assets — 100.0%
|
|
|
$ 438,291,579
|
|
*
|
Non-income producing securities.
|
(a)
|
All or a portion of the security was on loan. The aggregate market value of securities on loan was $75,960,450; total market value of collateral held by the Fund was $77,623,722.
|
(b)
|
Rate shown reflects the 7-day yield at July 31, 2013.
|
(c)
|
Rate shown reflects the 1-day yield at July 31, 2013.
|
(d)
|
Liabilities in Excess of Other Assets includes net unrealized appreciation (depreciation)
on futures and swap contracts.
|
ETF
—
Exchange Traded Fund
Schedules of Investments
IQ Hedge Multi-Strategy Tracker ETF (continued)
July 31, 2013 (unaudited)
|
Open futures contracts outstanding at July 31, 2013:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Type
|
|
Broker
|
|
Expiration Date
|
|
Number of
Contracts Purchased (Sold)
|
|
Value at
Trade Date
|
|
Value at
July 31, 2013
|
|
Unrealized
Appreciation
|
E-Mini Future Euro FX Future
|
|
Morgan Stanley
|
|
September 2013
|
|
(171)
|
|
$(14,259,223)
|
|
$(14,256,056)
|
|
$
|
3,167
|
Gold 100 Oz Future
|
|
Morgan Stanley
|
|
December 2013
|
|
(44)
|
|
(5,849,904)
|
|
(5,777,200)
|
|
72,704
|
|
|
|
|
|
|
|
|
|
|
|
|
$
|
75,871
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Cash posted as collateral to the broker for futures contracts was $565,750 at July 31, 2013.
|
|
|
|
|
Total return swap contracts outstanding at July 31, 2013:
|
Total Return Benchmark
|
|
Annual
Financing Rate
Received
(Paid)
|
|
Expiration
Date
|
|
Notional
Amount
|
|
Unrealized
Depreciation
1
|
iPath S&P 500 VIX Mid-Term Futures ETN
|
|
|
(2.75)%
|
|
|
|
4/14/2014
|
|
|
$
|
(958,481
|
)
|
|
$
|
—
|
iShares U.S. Real Estate ETF
|
|
|
(0.70)%
|
|
|
|
4/14/2014
|
|
|
|
(16,491,914
|
)
|
|
|
—
|
SPDR Barclays Convertible Securities ETF
|
|
|
0.59%
|
|
|
|
4/14/2014
|
|
|
|
36,405,125
|
|
|
|
—
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
$
|
—
|
Cash posted as collateral to the broker for swap contracts was $9,122,662
at July 31, 2013.
Morgan Stanley
acts as the counterparty to the total return swap contracts listed above.
The
Fund either received fees from, or pay fees to,
the counterparty, depending upon the total return of the benchmark, and
the agreed-upon financing rate.
1 Reflects a reset date of July 31, 2013.
Schedules of Investments
IQ Hedge Macro Tracker ETF
July 31, 2013 (unaudited)
|
|
|
|
|
Shares
|
|
Value
|
|
|
|
|
Investment Companies — 98.9%
|
|
|
|
|
|
|
Commodity Fund — 2.3%
|
|
|
PowerShares DB Gold Fund*
(a)
|
17,145
|
|
$ 764,838
|
|
|
|
|
|
|
|
|
Corporate Bond Funds — 17.0%
|
|
|
iShares Credit Bond ETF
|
3,116
|
|
336,341
|
iShares iBoxx $ Investment Grade Corporate Bond ETF
(a)
|
47,365
|
|
5,424,240
|
|
|
|
|
Total Corporate Bond Funds
|
|
5,760,581
|
|
|
|
|
Currency Fund — 6.9%
|
|
|
Market Vectors Emerging Markets Local Currency Bond ETF
(a)
|
95,977
|
|
2,346,638
|
|
|
|
|
|
|
|
|
Currency Harvest Funds — 10.7%
|
|
|
CurrencyShares Euro Trust*
(a)
|
26,557
|
|
3,498,619
|
PowerShares DB G10 Currency Harvest Fund*
|
5,134
|
|
130,250
|
|
|
|
|
Total Currency Harvest Funds
|
|
3,628,869
|
|
|
|
|
Debt Fund — 9.3%
|
|
|
WisdomTree Emerging Markets Local Debt Fund
(a)
|
66,261
|
|
3,152,036
|
|
|
|
|
|
|
|
|
Emerging Equity Funds — 8.5%
|
|
|
iShares MSCI Emerging Markets ETF
|
6,909
|
|
269,244
|
SPDR S&P Emerging Markets SmallCap ETF
|
50,094
|
|
2,236,196
|
Vanguard FTSE Emerging Markets ETF
|
9,791
|
|
382,632
|
|
|
|
|
Total Emerging Equity Funds
|
|
2,888,072
|
|
|
|
|
International Bond Funds — 1.5%
|
|
|
iShares J.P. Morgan USD Emerging Markets Bond ETF
(a)
|
3,190
|
|
348,667
|
PowerShares Emerging Markets Sovereign Debt Portfolio
(a)
|
5,675
|
|
155,268
|
|
|
|
|
Total International Bond Funds
|
|
503,935
|
|
|
|
|
Short-Term Treasury Bond Funds — 30.2%
|
|
|
iShares 1-3 Year Treasury Bond ETF
|
37,028
|
|
3,124,422
|
iShares Short Treasury Bond ETF
(a)
|
16,221
|
|
1,788,365
|
SPDR Barclays 1-3 Month T-Bill ETF*
(a)
|
13,075
|
|
598,835
|
Vanguard Short-Term Bond ETF
(a)
|
58,484
|
|
4,698,020
|
|
|
|
|
Total Short-Term Treasury Bond Funds
|
|
10,209,642
|
|
|
|
|
U.S. Small Cap Equity Fund — 12.5%
|
|
|
iShares Russell 2000 ETF
(a)
|
40,775
|
|
4,227,144
|
|
|
|
|
|
|
|
|
Total Investment Companies — 98.9%
|
|
|
(Cost $34,149,107)
|
|
|
33,481,755
|
|
|
|
|
Short-Term Investment — 0.9%
|
|
|
|
|
|
|
|
Money Market Fund — 0.9%
|
|
|
|
Morgan Stanley Institutional Liquidity Funds Treasury Portfolio — Institutional Class, 0.03%
(b)
|
|
|
|
(Cost $298,389)
|
298,389
|
|
298,389
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Shares
|
|
Value
|
Investment of Cash Collateral For Securities Loaned — 33.0%
|
|
|
|
|
|
|
|
Money Market Fund —33.0%
|
|
|
|
BNY Mellon Overnight Government Fund, 0.08%
(c)
|
|
|
|
(Cost $11,184,687)
|
11,184,687
|
|
$ 11,184,687
|
|
|
|
|
Total Investments — 132.8%
|
|
|
(Cost $45,632,183)
|
|
|
$ 44,964,831
|
Liabilities in Excess of Other Assets — (32.8)%
(d)
|
|
(11,115,885)
|
Net Assets — 100.0%
|
|
|
$ 33,848,946
|
|
|
|
|
|
*
|
Non-income producing securities.
|
(a)
|
All or a portion of the security was on loan. The aggregate market value of securities on loan was $10,931,945; total market value of collateral held by the Fund was $11,184,687.
|
(b)
|
Rate shown reflects the 7-day yield at July 31, 2013.
|
(c)
|
Rate shown reflects the 1-day yield at July 31, 2013.
|
(d)
|
Liabilities in Excess of Other Assets includes net unrealized appreciation (depreciation) on futures and swap contracts.
|
ETF
- Exchange Traded Fund
Schedules of Investments
IQ Hedge Macro Tracker ETF (continued)
July 31, 2013 (unaudited)
Open futures contracts outstanding at July 31, 2013:
Type
|
|
Broker
|
|
Expiration
Date
|
|
Number of
Contracts Purchased (Sold)
|
|
Value at Trade Date
|
|
Value at
July 31, 2013
|
|
Unrealized Appreciation
(Depreciation)
|
Dow Jones UBS Commodity Index Future
|
|
Morgan Stanley
|
|
September 2013
|
|
(11)
|
|
$(138,759)
|
|
$(138,930)
|
|
$ (171)
|
E-Mini Future Japanese Yen FX Future
|
|
Morgan Stanley
|
|
September 2013
|
|
(1)
|
|
(61,869)
|
|
(63,944)
|
|
(2,075)
|
Silver Future
|
|
Morgan Stanley
|
|
September 2013
|
|
(1)
|
|
(109,993)
|
|
(98,140)
|
|
11,853
|
|
|
|
|
|
|
|
|
|
|
|
|
$9,607
|
Cash posted as collateral to the broker for futures contracts was $16,850 at July 31, 2013.
Total return swap contract outstanding at July 31, 2013:
Total Return Benchmark
|
|
Annual
Financing Rate
Received (Paid)
|
|
Expiration
Date
|
|
Notional
Amount
|
|
Unrealized
Depreciation
1
|
Pro-Shares VIX Mid-Term ETF
|
|
|
0.59%
|
|
|
|
6/05/2014
|
|
|
|
$244,726
|
|
|
$ —
|
Cash posted as collateral to the broker for swap contracts was $113,760
at July 31, 2013.
Morgan Stanley acts as the counterparty to the total return swap contract
listed above. The Fund either received fees from, or pay
fees to, the counterparty, depending upon the total return of the
benchmark, and the agreed-upon financing rate.
1 Reflects a reset date of July 31, 2013.
Schedules of Investments
IQ Hedge Market Neutral Tracker ETF
July 31, 2013 (unaudited)
|
|
|
|
|
Shares
|
|
Value
|
|
|
|
|
Investment Companies — 92.0%
|
|
|
|
|
|
|
Aggregate Bond Funds — 14.8%
|
|
|
iShares Core Total US Bond Market ETF
|
11,875
|
|
$ 1,274,306
|
SPDR Barclays Aggregate Bond ETF
(a)
|
1,008
|
|
57,214
|
Vanguard Total Bond Market ETF
|
18,111
|
|
1,467,353
|
|
|
|
|
Total Aggregate Bond Funds
|
|
2,798,873
|
|
|
|
|
Currency Harvest Fund — 0.5%
|
|
|
PowerShares DB G10 Currency Harvest Fund*
(a)
|
4,146
|
|
105,184
|
|
|
|
|
|
|
|
|
Equity Funds — 17.8%
|
|
|
iShares MSCI EAFE ETF
|
41,877
|
|
2,528,115
|
Vanguard FTSE Developed Markets ETF
|
22,443
|
|
840,490
|
|
|
|
|
Total Equity Funds
|
|
3,368,605
|
|
|
|
|
Short-Term Treasury Bond Funds — 40.2%
|
|
|
iShares 1-3 Year Treasury Bond ETF
|
27,601
|
|
2,328,972
|
iShares Short Treasury Bond ETF
(a)
|
12,091
|
|
1,333,033
|
SPDR Barclays 1-3 Month T-Bill ETF*
|
9,746
|
|
446,367
|
Vanguard Short-Term Bond ETF
|
43,594
|
|
3,501,906
|
|
|
|
|
Total Short-Term Treasury Bond Funds
|
|
7,610,278
|
|
|
|
|
Treasury Inflation-Protected Security Bond Fund— 15.8%
|
|
|
iShares TIPS Bond ETF
|
26,483
|
|
2,989,136
|
|
|
|
|
|
|
|
|
U.S. Small Cap Equity Fund — 2.9%
|
|
|
iShares Russell 2000 ETF
(a)
|
5,346
|
|
554,220
|
|
|
|
|
|
|
|
|
Total Investment Companies — 92.0%
|
|
|
(Cost $17,655,124)
|
|
|
17,426,296
|
|
|
|
|
Short-Term Investment — 6.4%
|
|
|
|
|
|
|
|
Money Market Fund — 6.4%
|
|
|
|
Morgan Stanley Institutional Liquidity Funds Treasury Portfolio — Institutional Class, 0.03%
(b)
|
|
|
|
(Cost $1,206,806)
|
1,206,806
|
|
1,206,806
|
|
|
|
|
|
|
|
|
Investment of Cash Collateral For Securities Loaned — 6.7%
|
|
|
|
|
|
|
|
Money Market
Fund — 6.7%
|
|
|
|
BNY Mellon Overnight Government Fund, 0.08%
(c)
|
|
|
|
(Cost $1,266,985)
|
1,266,985
|
|
1,266,985
|
|
|
|
|
Total Investments — 105.1%
|
|
|
(Cost $20,128,915)
|
|
|
$ 19,900,087
|
Liabilities in Excess of Other Assets
— (5.1)%
(d)
|
|
(973,105)
|
Net Assets — 100.0%
|
|
|
$ 18,926,982
|
|
*
|
Non-income producing securities.
|
(a)
|
All or a portion of the security was on loan. The aggregate market value of securities on loan was $1,238,771; total market value of collateral held by the Fund was $1,266,985.
|
(b)
|
Rate shown reflects the 7-day yield at July 31, 2013.
|
(c)
|
Rate shown reflects the 1-day yield at July 31, 2013.
|
(d)
|
Liabilities in Excess of Other Assets includes net unrealized depreciation on futures and swap contracts.
|
ETF
|
- Exchange Traded Fund
|
|
Schedules of Investments
IQ Hedge Market Neutral Tracker ETF (continued)
July 31, 2013 (unaudited)
Open futures contracts outstanding at July 31, 2013:
Type
|
|
Broker
|
|
Expiration
Date
|
|
Number of
Contracts Purchased (Sold)
|
|
Value at Trade Date
|
|
Value at
July 31, 2013
|
|
Unrealized
Depreciation
|
E-Mini Future Euro FX Future
|
|
Morgan Stanley
|
|
September 2013
|
|
(1)
|
|
$(80,201)
|
|
$ (83,369)
|
|
$ (3,168)
|
Mini MSCI Emerging Market Index Future
|
|
Morgan Stanley
|
|
September 2013
|
|
(21)
|
|
(970,945)
|
|
(985,740)
|
|
(14,795)
|
|
|
|
|
|
|
|
|
|
|
|
|
$(17,963)
|
Cash posted as collateral to the broker for futures contracts was $45,350 at July 31, 2013.
Total return swap contract outstanding at July 31, 2013:
|
Annual
Financing
Rate
Received
(Paid)
|
|
|
|
|
Expiration
Date
|
Notional
Amount
|
Unrealized
Depreciation
1
|
Total Return Benchmark
|
SPDR
Barclays Capital Convertible Securities ETF
|
0.58%
|
10/03/2014
|
$1,041,969
|
$
—
|
Cash posted as collateral to the broker for swap contract was $207,654 at July 31, 2013.
|
|
Morgan Stanley acts as the counterparty to the total return swap contract listed above. The Fund either receives fees from, or pay
|
fees to, the counterparty, depending upon the total return of the benchmark, and the agreed-upon financing rate.
|
1 Reflects a reset date of July 31, 2013.
|
|
Schedules
of Investments
—
IQ Real Return ETF
July 31, 2013 (unaudited)
|
Shares
|
|
Value
|
|
|
|
|
Investment Companies — 99.6%
|
|
|
|
|
|
|
Commodity Fund — 8.1%
|
|
|
PowerShares DB Gold Fund*
(a)
|
101,159
|
|
$ 4,512,703
|
|
|
|
|
|
|
|
|
Intermediate-Term Treasury Bond Funds — 7.4%
|
|
|
iShares 3-7 Year Treasury Bond ETF
|
11,396
|
|
1,378,688
|
iShares 7-10 Year Treasury Bond ETF
(a)
|
26,847
|
|
2,738,394
|
|
|
|
|
Total Intermediate-Term Treasury Bond Funds
|
|
4,117,082
|
|
|
|
|
Long-Term Bond Fund — 2.4%
|
|
|
iShares 20+ Year Treasury Bond ETF
(a)
|
12,459
|
|
1,341,834
|
|
|
|
|
|
|
|
|
Real Estate Funds — 9.9%
|
|
|
iShares U.S. Real Estate ETF
(a)
|
15,982
|
|
1,064,721
|
SPDR Dow Jones REIT ETF
|
6,405
|
|
489,982
|
Vanguard REIT ETF
(a)
|
57,570
|
|
3,991,904
|
|
|
|
|
Total Real Estate Funds
|
|
5,546,607
|
|
|
|
|
Short-Term Treasury Bond Funds — 61.6%
|
|
|
iShares Short Treasury Bond ETF
(a)
|
233,940
|
|
25,791,885
|
SPDR Barclays 1-3 Month T-Bill ETF*
(a)
|
188,573
|
|
8,636,644
|
|
|
|
|
Total Short-Term Treasury Bond Funds
|
|
34,428,529
|
|
|
|
|
U.S. Large Cap Equity Funds — 10.2%
|
|
|
iShares Core S&P 500 ETF
|
117
|
|
19,834
|
SPDR S&P 500 ETF Trust
|
33,579
|
|
5,663,434
|
|
|
|
|
Total U.S. Large Cap Equity Funds
|
|
5,683,268
|
|
|
|
|
Total Investment Companies — 99.6%
|
|
|
(Cost $56,230,889)
|
|
|
55,630,023
|
|
|
|
|
Short-Term Investment — 0.4%
|
|
|
|
|
|
|
|
Money Market Fund — 0.4%
|
|
|
|
Morgan Stanley Institutional Liquidity Funds Treasury Portfolio — Institutional Class, 0.03%
(b)
|
|
|
|
(Cost $235,042)
|
235,042
|
|
235,042
|
|
|
|
|
|
|
|
|
Investment of Cash Collateral For Securities Loaned — 26.6%
|
|
|
|
|
|
|
|
Money Market Fund — 26.6%
|
|
|
|
BNY Mellon Overnight Government Fund, 0.08%
(c)
|
|
|
|
(Cost $14,863,235)
|
14,863,235
|
|
14,863,235
|
|
|
|
|
Total Investments — 126.6%
|
|
|
(Cost $71,329,166)
|
|
$ 70,728,300
|
Liabilities in Excess of Other Assets
— (26.6)%
|
|
(14,882,672)
|
Net Assets — 100.0%
|
|
|
$
55,845,628
|
|
*
|
Non-income producing securities.
|
(a)
|
All or a portion of the security was on loan. The aggregate market value of securities on loan was $14,507,891; total market value of collateral held by the Fund was $14,863,235.
|
(b)
|
Rate shown reflects the 7-day yield at July 31, 2013.
|
(c)
|
Rate shown reflects the 1-day yield at July 31, 2013.
|
ETF
- Exchange Traded Fund
REIT
- Real Estate Investment Trust
Schedules of Investments —
IQ Global Resources ETF
July 31, 2013 (unaudited)
|
|
|
|
|
Shares
|
|
Value
|
|
|
|
|
|
|
|
Common Stocks - 91.9%
|
|
|
|
|
|
|
Australia - 9.4%
|
|
|
BHP Billiton Ltd.
|
164,947
|
|
$ 5,127,819
|
Fortescue Metals Group Ltd.
|
97,522
|
|
320,327
|
GrainCorp Ltd., Class A
|
7,228
|
|
80,241
|
Iluka Resources Ltd.
|
13,296
|
|
131,496
|
Newcrest Mining Ltd.
|
94,391
|
|
1,036,018
|
PanAust Ltd.
|
73,752
|
|
129,730
|
Regis Resources Ltd.*
|
62,506
|
|
198,580
|
Whitehaven Coal Ltd.
(a)
|
248,828
|
|
438,806
|
Woodside Petroleum Ltd.
|
4,644
|
|
156,666
|
|
|
|
|
Total Australia
|
|
|
7,619,683
|
|
|
|
|
Canada - 16.7%
|
|
|
Agnico-Eagle Mines Ltd.
|
21,380
|
|
607,470
|
Alamos Gold, Inc.
|
16,437
|
|
241,906
|
Argonaut Gold, Inc.*
|
18,875
|
|
125,032
|
B2Gold Corp.*
|
77,416
|
|
225,911
|
Barrick Gold Corp.
|
123,705
|
|
2,045,606
|
Canadian Natural Resources Ltd.
|
6,154
|
|
190,537
|
Canfor Corp.*
|
6,661
|
|
140,406
|
China Gold International Resources Corp., Ltd.*
|
49,381
|
|
128,250
|
Domtar Corp. ADR
|
1,591
|
|
110,590
|
Eldorado Gold Corp.
|
85,955
|
|
678,075
|
Enbridge, Inc.
|
4,549
|
|
201,642
|
Goldcorp, Inc.
|
100,394
|
|
2,829,059
|
Husky Energy, Inc.
|
5,551
|
|
159,826
|
IAMGOLD Corp.
|
47,185
|
|
243,257
|
Imperial Oil Ltd.
|
4,805
|
|
205,979
|
Kinross Gold Corp.
|
142,224
|
|
738,754
|
New Gold, Inc.*
|
57,910
|
|
420,222
|
Norbord, Inc.
|
2,105
|
|
66,444
|
Osisko Mining Corp.*
|
54,180
|
|
225,563
|
Pan American Silver Corp.
|
19,021
|
|
241,081
|
Resolute Forest Products*
|
4,314
|
|
65,832
|
Silver Wheaton Corp.
|
44,476
|
|
1,021,860
|
Suncor Energy, Inc.
|
8,512
|
|
268,761
|
Teck Resources Ltd., Class B
|
18,331
|
|
429,010
|
TransCanada Corp.
|
3,988
|
|
182,050
|
Uranium One, Inc.*
|
30,365
|
|
78,567
|
West Fraser Timber Co., Ltd.
|
2,029
|
|
184,772
|
Westshore Terminals Investment Corp.
|
18,697
|
|
520,872
|
Yamana Gold, Inc.
|
89,209
|
|
931,095
|
|
|
|
|
Total Canada
|
|
|
13,508,429
|
|
|
|
|
Finland - 0.3%
|
|
|
UPM-Kymmene Oyj
|
25,084
|
|
279,286
|
|
|
|
|
|
|
|
|
France - 1.6%
|
|
|
GDF Suez
|
13,570
|
|
284,159
|
Suez Environnement Co.
|
12,215
|
|
172,821
|
Total SA
|
12,995
|
|
691,942
|
Veolia Environnement
|
12,185
|
|
163,174
|
|
|
|
|
Total France
|
|
|
1,312,096
|
|
|
|
|
Germany - 0.3%
|
|
|
Suedzucker AG*
(a)
|
6,664
|
|
217,105
|
|
|
|
|
|
|
|
|
|
Shares
|
|
Value
|
|
|
|
|
|
|
|
Common Stocks (continued)
|
|
|
|
|
|
|
Hong Kong - 1.9%
|
|
|
Beijing Enterprises Water Group Ltd.
|
181,370
|
|
$ 73,433
|
China Modern Dairy Holdings Ltd.*
(a)
|
773,967
|
|
233,527
|
CNOOC Ltd.
|
256,875
|
|
463,712
|
Hong Kong & China Gas Co., Ltd.
|
55,010
|
|
141,012
|
Lee & Man Paper Manufacturing Ltd.
|
224,259
|
|
146,029
|
Shougang Fushan Resources Group Ltd.
(a)
|
1,347,192
|
|
441,227
|
|
|
|
|
Total Hong Kong
|
|
|
1,498,940
|
|
|
|
|
Ireland - 0.4%
|
|
|
Kerry Group PLC, Class A
|
5,808
|
|
356,302
|
|
|
|
|
|
|
|
|
Italy - 0.6%
|
|
|
Eni SpA
|
20,920
|
|
461,403
|
|
|
|
|
|
|
|
|
Japan - 2.6%
|
|
|
Ajinomoto Co., Inc.
|
21,069
|
|
293,045
|
Dowa Holdings Co., Ltd.
|
9,307
|
|
84,785
|
Itoham Foods, Inc.
|
36,361
|
|
155,270
|
Maruha Nichiro Holdings, Inc.
|
81,365
|
|
164,624
|
Mitsubishi Materials Corp.
|
41,688
|
|
146,653
|
Mitsui & Co., Ltd.
|
10,333
|
|
138,152
|
Nippon Meat Packers, Inc.
|
32,063
|
|
492,249
|
Nippon Paper Industries Co., Ltd.
|
5,996
|
|
87,055
|
Nisshin Seifun Group, Inc.
|
8,085
|
|
93,382
|
Nissin Foods Holdings Co., Ltd.
|
3,457
|
|
136,902
|
Sumitomo Metal Mining Co., Ltd.
|
17,392
|
|
226,341
|
Toyo Suisan Kaisha Ltd.
|
3,335
|
|
103,927
|
|
|
|
|
Total Japan
|
|
|
2,122,385
|
|
|
|
|
Netherlands - 2.6%
|
|
|
D.E. Master Blenders 1753 N.V.*
|
19,412
|
|
319,625
|
Nutreco NV
(a)
|
11,163
|
|
524,727
|
Royal Dutch Shell PLC, Class A
|
36,736
|
|
1,248,522
|
|
|
|
|
Total Netherlands
|
|
|
2,092,874
|
|
|
|
|
New Zealand - 0.3%
|
|
|
Fletcher Building Ltd.
|
31,511
|
|
203,910
|
|
|
|
|
|
|
|
|
Norway - 0.8%
|
|
|
Norsk Hydro ASA
|
64,704
|
|
274,065
|
Statoil ASA
|
18,328
|
|
396,060
|
|
|
|
|
Total Norway
|
|
|
670,125
|
|
|
|
|
Singapore - 1.6%
|
|
|
Golden Agri-Resources Ltd.
|
418,182
|
|
172,335
|
Olam International Ltd.
(a)
|
77,853
|
|
103,584
|
People's Food Holdings Ltd.
|
183,454
|
|
151,204
|
Sakari Resources Ltd.
|
240,456
|
|
349,184
|
Wilmar International Ltd.
|
208,345
|
|
515,159
|
|
|
|
|
Total Singapore
|
|
|
1,291,466
|
|
|
|
|
Spain - 0.4%
|
|
|
Ebro Foods SA
|
5,074
|
|
109,384
|
Repsol SA
|
7,778
|
|
185,801
|
|
|
|
|
Total Spain
|
|
|
295,185
|
|
|
|
|
Sweden - 5.3%
|
|
|
Boliden AB
|
8,698
|
|
122,700
|
Schedules of Investments —
IQ Global Resources ETF (continued)
July 31, 2013 (unaudited)
|
|
|
|
|
Shares
|
|
Value
|
|
|
|
|
|
|
|
Common Stocks (continued)
|
|
|
|
|
|
|
Sweden - 5.3% (continued)
|
|
|
Holmen AB, B Shares
|
4,001
|
|
$ 115,637
|
Sandvik AB
|
318,969
|
|
4,023,775
|
|
|
|
|
Total Sweden
|
|
|
4,262,112
|
|
|
|
|
Switzerland - 1.2%
|
|
|
Aryzta AG*
|
2,998
|
|
184,723
|
Barry Callebaut AG
|
169
|
|
163,243
|
Lindt & Spruengli AG
|
73
|
|
285,668
|
Pentair Ltd.
|
4,864
|
|
297,093
|
|
|
|
|
Total Switzerland
|
|
|
930,727
|
|
|
|
|
United Kingdom - 10.3%
|
|
|
Anglo American PLC
|
44,129
|
|
941,977
|
Antofagasta PLC
|
31,218
|
|
417,433
|
Associated British Foods PLC
|
25,960
|
|
765,093
|
BG Group PLC
|
19,642
|
|
353,319
|
BP PLC
|
109,748
|
|
756,296
|
Centrica PLC
|
30,133
|
|
178,621
|
Eurasian Natural Resources Corp.
|
39,164
|
|
129,259
|
Hochschild Mining PLC
|
42,671
|
|
112,951
|
Pennon Group PLC
|
8,574
|
|
90,405
|
Polymetal International PLC
|
47,525
|
|
465,805
|
Randgold Resources Ltd.
|
11,808
|
|
853,902
|
Rio Tinto PLC
|
58,431
|
|
2,617,666
|
Severn Trent PLC
|
5,713
|
|
153,563
|
Tate & Lyle PLC
|
15,167
|
|
192,919
|
United Utilities Group PLC
|
16,447
|
|
179,902
|
Vedanta Resources PLC
|
8,603
|
|
151,685
|
|
|
|
|
Total United Kingdom
|
|
|
8,360,796
|
|
|
|
|
United States - 35.6%
|
|
|
Alcoa, Inc.
|
33,707
|
|
267,971
|
Alpha Natural Resources, Inc.*
|
56,460
|
|
307,142
|
American Water Works Co., Inc.
|
4,240
|
|
180,963
|
Anadarko Petroleum Corp.
|
2,828
|
|
250,335
|
Apache Corp.
|
2,239
|
|
179,680
|
Aqua America, Inc.
|
3,331
|
|
112,788
|
Archer-Daniels-Midland Co.
|
21,252
|
|
775,061
|
Bunge Ltd.
|
4,694
|
|
356,791
|
Chevron Corp.
|
11,016
|
|
1,386,804
|
Cliffs Natural Resources, Inc.
(a)
|
4,315
|
|
84,186
|
Cloud Peak Energy, Inc.*
|
14,942
|
|
239,520
|
Coeur d'Alene Mines Corp.*
|
11,317
|
|
151,761
|
ConAgra Foods, Inc.
|
13,067
|
|
473,156
|
ConocoPhillips
|
6,972
|
|
452,204
|
CONSOL Energy, Inc.
|
57,702
|
|
1,790,493
|
EOG Resources, Inc.
|
1,533
|
|
223,036
|
Exxon Mobil Corp.
|
25,345
|
|
2,376,094
|
Flowers Foods, Inc.
|
6,583
|
|
151,146
|
Flowserve Corp.
|
3,312
|
|
187,724
|
Freeport-McMoRan Copper Gold, Inc.
|
30,109
|
|
851,482
|
General Mills, Inc.
|
21,016
|
|
1,092,832
|
Halliburton Co.
|
5,257
|
|
237,564
|
Hershey Co.
|
7,213
|
|
684,297
|
Hess Corp.
|
1,925
|
|
143,336
|
|
|
|
|
|
Shares
|
|
Value
|
|
|
|
|
|
|
|
Common Stocks (continued)
|
|
|
|
|
|
|
United States - 35.6% (continued)
|
|
|
Hillshire Brands Co.
|
3,972
|
|
$ 139,854
|
Hormel Foods Corp.
|
42,599
|
|
1,804,068
|
IDEX Corp.
|
1,930
|
|
115,125
|
Ingredion, Inc.
|
2,484
|
|
166,925
|
J.M. Smucker Co.
|
3,460
|
|
389,319
|
Joy Global, Inc.
|
26,072
|
|
1,290,564
|
KapStone Paper And Packaging Corp.
|
2,161
|
|
95,192
|
Kellogg Co.
|
11,725
|
|
776,664
|
Kinder Morgan, Inc.
|
5,879
|
|
221,991
|
Louisiana-Pacific Corp.*
|
6,390
|
|
103,901
|
Marathon Oil Corp.
|
3,973
|
|
144,458
|
MeadWestvaco Corp.
|
8,148
|
|
301,069
|
Mondelez International, Inc., Class A
|
57,986
|
|
1,813,222
|
National Oilwell Varco, Inc.
|
2,449
|
|
171,846
|
Newmont Mining Corp.
|
63,512
|
|
1,905,360
|
Occidental Petroleum Corp.
|
4,545
|
|
404,732
|
Peabody Energy Corp.
|
67,789
|
|
1,122,586
|
Phillips 66
|
3,500
|
|
215,250
|
Royal Gold, Inc.
|
8,007
|
|
413,882
|
Schlumberger Ltd.
|
7,558
|
|
614,692
|
Seaboard Corp.
|
184
|
|
518,880
|
Smithfield Foods, Inc.*
|
22,101
|
|
733,753
|
Southern Copper Corp.
|
26,614
|
|
693,827
|
Tyson Foods, Inc., Class A
|
56,555
|
|
1,562,049
|
Xylem, Inc.
|
4,423
|
|
110,264
|
|
|
|
|
Total United States
|
|
|
28,785,839
|
Total Common Stocks - 91.9%
|
|
|
|
(Cost $80,422,902)
|
|
74,268,663
|
|
|
|
|
Short-Term Investment - 7.2%
|
|
|
|
|
|
|
Money Market Fund - 7.2%
|
|
|
Morgan Stanley Institutional Liquidity Funds Treasury Portfolio — Institutional Class, 0.03%
(b)
|
|
|
|
(Cost $5,847,240)
|
5,847,240
|
|
5,847,240
|
|
|
|
|
|
|
|
|
Investment of Cash Collateral For Securities Loaned - 2.1%
|
|
|
Money Market Fund - 2.1%
|
|
|
BNY Mellon Overnight
Government Fund, 0.08%
(c)
|
|
|
|
(Cost $1,721,037)
|
1,721,037
|
|
1,721,037
|
|
|
|
|
|
|
|
|
Total Investments - 101.2%
|
|
|
|
(Cost $87,991,179)
|
|
$ 81,836,940
|
Liabilities in Excess of Other Assets - (1.2)%
(d)
|
|
(991,843)
|
Net Assets - 100.0%
|
|
|
$ 80,845,097
|
|
Schedules of Investments —
IQ Global Resources ETF (continued)
July 31, 2013 (unaudited)
|
|
|
% of
|
Industry
|
Value
|
|
Net Assets
|
Precious Metals
|
$ 15,971,131
|
|
19.7%
|
Energy
|
14,127,708
|
|
17.5
|
Industrial Metals
|
13,097,249
|
|
16.2
|
Grains Food Fiber
|
10,911,903
|
|
13.5
|
Coal
|
10,082,943
|
|
12.5
|
Money Market Funds
|
7,568,276
|
|
9.4
|
Livestock
|
6,340,352
|
|
7.8
|
Water
|
1,837,257
|
|
2.3
|
Timber
|
1,900,121
|
|
2.3
|
Total Investments
|
$ 81,836,940
|
|
101.2
|
Liabilities in Excess of Other Assets
(a)
|
(991,843)
|
|
(1.2)
|
Total Net Assets
|
$ 80,845,097
|
|
100.0%
|
|
*
|
Non-income producing securities.
|
(a)
|
All or a portion of the security was on loan. The aggregate market value of securities on loan was $1,419,417; total market value of collateral held by the Fund was $1,721,037.
|
(b)
|
Rate shown reflects the 7-day yield at July 31, 2013.
|
(c)
|
Rate shown reflects the 1-day yield at July 31, 2013.
|
(d)
|
Liabilities in Excess of Other Assets includes net unrealized depreciation on future contracts.
|
ADR
- American Depositary Receipt
Schedules of Investments —
IQ Global Resources ETF (continued)
July 31, 2013 (unaudited)
Open futures contracts outstanding at July 31, 2013:
Type
|
|
Broker
|
|
Expiration
Date
|
|
Number of
Contracts Purchased (Sold)
|
|
Value at Trade Date
|
|
Value at
July 31, 2013
|
|
Unrealized
Depreciation
|
E-mini S&P 500 Future
|
|
Morgan Stanley
|
|
September 2013
|
|
(94)
|
|
$(7,664,659)
|
|
$(7,898,350)
|
|
$(233,691)
|
Mini MSCI EAFE Index Future
|
|
Morgan Stanley
|
|
September 2013
|
|
(91)
|
|
(7,616,164)
|
|
(7,841,015)
|
|
(224,851)
|
|
|
|
|
|
|
|
|
|
|
|
|
$(458,542)
|
Cash posted as collateral to broker for futures contracts was $702,100 at July 31, 2013.
Schedules of Investments —
IQ Merger Arbitrage ETF
July 31, 2013 (unaudited)
|
|
|
|
|
Shares
|
|
Value
|
|
|
|
|
Common Stocks — 76.5%
|
|
|
|
|
|
|
Basic Materials — 2.9%
|
|
|
Buckeye Technologies, Inc.
|
7,236
|
|
$ 269,324
|
Dole Food Co., Inc.*
|
10,685
|
|
137,836
|
Rainy River Resources Ltd.*
|
25,347
|
|
90,732
|
|
|
|
|
Total Basic Materials
|
|
|
497,892
|
|
|
|
|
Consumer Cyclicals — 11.7%
|
|
|
Ameristar Casinos, Inc.
|
12,073
|
|
319,572
|
Arbitron, Inc.
|
5,139
|
|
236,189
|
Cooper Tire & Rubber Co.
|
12,267
|
|
411,435
|
Lender Processing Services, Inc.
|
10,454
|
|
341,637
|
OfficeMax, Inc.
|
13,269
|
|
151,134
|
rue21, inc.*
|
4,350
|
|
181,743
|
Stewart Enterprises, Inc., Class A
|
10,151
|
|
133,384
|
WMS Industries, Inc.*
|
8,977
|
|
231,158
|
|
|
|
|
Total Consumer Cyclicals
|
|
|
2,006,252
|
|
|
|
|
Consumer Staples — 16.0%
|
|
|
Belo Corp., Class A
|
10,049
|
|
143,299
|
D.E. Master Blenders 1753 N.V.*
|
29,941
|
|
492,989
|
GrainCorp Ltd., Class A
|
41,396
|
|
459,556
|
Kabel Deutschland Holding AG
|
7,315
|
|
823,487
|
Smithfield Foods, Inc.*
|
24,428
|
|
811,010
|
|
|
|
|
Total Consumer Staples
|
|
|
2,730,341
|
|
|
|
|
Energy — 1.1%
|
|
|
Berry Petroleum Co., Class A
|
4,702
|
|
190,666
|
|
|
|
|
|
|
|
|
Financials — 5.0%
|
|
|
CapLease, Inc., REIT
|
22,659
|
|
192,148
|
Colonial Properties Trust, REIT
|
12,576
|
|
304,465
|
CommonWealth REIT
|
13,117
|
|
302,609
|
MPG Office Trust, Inc., REIT*
|
16,108
|
|
50,418
|
|
|
|
|
Total Financials
|
|
|
849,640
|
|
|
|
|
Health Care — 16.8%
|
|
|
CML Healthcare, Inc.
|
19,279
|
|
199,532
|
Life Technologies Corp.*
|
23,821
|
|
1,777,046
|
Vanguard Health Systems, Inc.*
|
13,101
|
|
273,942
|
Warner Chilcott PLC, Class A
|
28,694
|
|
611,469
|
|
|
|
|
Total Health Care
|
|
|
2,861,989
|
|
|
|
|
Technology — 14.1%
|
|
|
BMC Software, Inc.*
|
17,339
|
|
797,074
|
Compuware Corp.
|
13,461
|
|
152,648
|
Dell, Inc.
|
84,615
|
|
1,072,072
|
Intermec, Inc.*
|
10,500
|
|
104,265
|
Keynote Systems, Inc.
|
5,700
|
|
113,601
|
STEC, Inc.*
|
24,790
|
|
167,828
|
|
|
|
|
Total Technology
|
|
|
2,407,488
|
|
|
|
|
Transportation — 3.8%
|
|
|
US Airways Group, Inc.*
(a)
|
33,409
|
|
646,464
|
|
|
|
|
|
|
|
|
Utilities — 5.1%
|
|
|
China Resources Gas Group Ltd.
|
40,345
|
|
100,819
|
|
|
|
|
|
Shares
|
|
Value
|
|
|
|
|
Common Stocks (continued)
|
|
|
|
|
|
|
Utilities (continued)
|
|
|
NV Energy, Inc.
|
32,530
|
|
$ 768,684
|
|
|
|
|
Total Utilities
|
|
|
869,503
|
|
|
|
|
Total Common Stocks— 76.5%
|
|
|
(Cost $12,944,252)
|
|
|
13,060,235
|
|
|
|
|
Short-Term Investment —18.0%
|
|
|
|
|
|
|
Money Market Fund — 18.0%
|
|
|
Morgan Stanley Institutional Liquidity Funds Treasury Portfolio — Institutional Class, 0.03%
(b)
|
|
|
|
(Cost $3,064,185)
|
3,064,185
|
|
3,064,185
|
|
|
|
|
|
|
|
|
Investment of Cash Collateral For Securities Loaned — 2.8%
|
|
|
|
|
|
|
Money Market Fund — 2.8%
|
|
|
BNY Mellon Overnight Government
Fund, 0.08%
(c)
|
|
|
|
(Cost $481,386)
|
481,386
|
|
481,386
|
|
|
|
|
Total Investments — 97.3%
|
|
|
(Cost $16,489,823)
|
|
|
$ 16,605,806
|
Other Assets in Excess of Liabilities
— 2.7%
(d)
|
|
|
462,389
|
Net Assets — 100.0%
|
|
|
$ 17,068,195
|
|
*
|
Non-income producing securities.
|
(a)
|
All or a portion of the security was on loan. The aggregate market value of securities on loan was $471,637; total market value of collateral held by the Fund was $481,386.
|
(b)
|
Rate shown reflects the 7-day yield at July 31, 2013.
|
(c)
|
Rate shown reflects the 1-day yield at July 31, 2013.
|
(d)
|
Other Assets in Excess of Liabilities includes net unrealized depreciation on futures contracts.
|
PLC
- Public Limited Company
REIT
- Real Estate Investment Trust
Schedules of Investments —
IQ Merger Arbitrage ETF (continued)
July 31, 2013 (unaudited)
Open futures contracts outstanding at July 31, 2013:
Type
|
|
Broker
|
|
Expiration
Date
|
|
Number of
Contracts Purchased (Sold)
|
|
Value at Trade Date
|
|
Value at
July 31, 2013
|
|
Unrealized
Depreciation
|
E-mini S&P 500 Future
|
|
Morgan Stanley
|
|
September 2013
|
|
(11)
|
|
$(896,928)
|
|
$(924,275)
|
|
$(27,347)
|
Mini MSCI EAFE Index Future
|
|
Morgan Stanley
|
|
September 2013
|
|
(10)
|
|
(836,941)
|
|
(861,650)
|
|
(24,709)
|
|
|
|
|
|
|
|
|
|
|
|
|
$(52,056)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Cash posted as collateral to broker for futures contracts was $79,500 at July 31, 2013.
Schedules of Investments - IQ Australia Small Cap ETF
July 31, 2013 (unaudited)
|
|
|
|
|
Shares
|
|
Value
|
|
|
|
|
Common Stocks — 98.6%
|
|
|
|
|
|
|
Consumer Discretionary — 22.9%
|
|
|
Ainsworth Game Technology Ltd.
|
11,613
|
|
$ 37,520
|
Aristocrat Leisure Ltd.
|
44,230
|
|
172,273
|
Automotive Holdings Group Ltd.
|
15,239
|
|
51,833
|
Breville Group Ltd.
|
8,820
|
|
59,683
|
Cash Converters International Ltd.
|
27,123
|
|
28,723
|
David Jones Ltd.
(a)
|
56,703
|
|
137,398
|
Fairfax Media Ltd.
(a)
|
203,993
|
|
87,875
|
Fleetwood Corp. Ltd.
(a)
|
5,510
|
|
19,681
|
Flight Centre Ltd.
|
5,539
|
|
225,434
|
G.U.D. Holdings Ltd.
(a)
|
7,386
|
|
42,489
|
G8 Education Ltd.
|
21,550
|
|
51,831
|
Invocare Ltd.
|
11,226
|
|
117,270
|
JB Hi-Fi Ltd.
(a)
|
10,447
|
|
174,200
|
Myer Holdings Ltd.
(a)
|
62,089
|
|
149,334
|
Navitas Ltd.
(a)
|
17,906
|
|
96,419
|
Pacific Brands Ltd.
|
97,085
|
|
71,881
|
Seven West Media Ltd.
|
62,748
|
|
120,510
|
Southern Cross Media Group Ltd.
|
51,340
|
|
67,961
|
STW Communications Group Ltd.
|
34,955
|
|
51,447
|
Super Retail Group Ltd.
|
14,795
|
|
167,566
|
Ten Network Holdings Ltd.*
(a)
|
173,887
|
|
42,915
|
Wotif.com Holdings Ltd.
(a)
|
11,666
|
|
51,825
|
|
|
|
|
Total Consumer Discretionary
|
|
|
2,026,068
|
|
|
|
|
Consumer Staples — 3.8%
|
|
|
Goodman Fielder Ltd.*
|
189,611
|
|
130,177
|
GrainCorp Ltd., Class A
|
18,870
|
|
209,485
|
|
|
|
|
Total Consumer Staples
|
|
|
339,662
|
|
|
|
|
Energy — 9.0%
|
|
|
Aquila Resources Ltd.*
(a)
|
18,306
|
|
34,336
|
Aurora Oil & Gas Ltd.*
|
41,276
|
|
119,649
|
AWE Ltd.*
|
53,859
|
|
65,253
|
Beach Energy Ltd.
|
131,502
|
|
158,142
|
Buru Energy Ltd.*
|
20,398
|
|
31,853
|
Energy Resources of Australia Ltd.*
|
17,308
|
|
22,756
|
Horizon Oil Ltd.*
(a)
|
89,686
|
|
29,378
|
Karoon Gas Australia Ltd.*
|
19,020
|
|
96,613
|
Paladin Energy Ltd.*
|
77,499
|
|
69,552
|
Senex Energy Ltd.*
(a)
|
87,197
|
|
59,474
|
Whitehaven Coal Ltd.
|
61,723
|
|
108,848
|
|
|
|
|
Total Energy
|
|
|
795,854
|
|
|
|
|
Financials — 8.9%
|
|
|
Bank of Queensland Ltd.
|
32,679
|
|
279,201
|
Challenger Ltd.
|
46,150
|
|
176,852
|
FlexiGroup Ltd.
|
21,694
|
|
88,585
|
IOOF Holdings Ltd.
|
21,061
|
|
156,124
|
Magellan Financial Group Ltd.
|
8,348
|
|
86,906
|
|
|
|
|
Total Financials
|
|
|
787,668
|
|
|
|
|
Health Care — 8.3%
|
|
|
Acrux Ltd.
|
16,551
|
|
50,057
|
Ansell Ltd.
|
13,984
|
|
232,676
|
Mesoblast Ltd.*
(a)
|
17,114
|
|
90,157
|
Primary Health Care Ltd.
|
51,719
|
|
235,789
|
Sigma Pharmaceuticals Ltd.
|
120,747
|
|
71,521
|
|
|
|
|
|
Shares
|
|
Value
|
|
|
|
|
Common Stocks (continued)
|
|
|
|
|
|
|
Health Care (continued)
|
|
|
Sirtex Medical Ltd.
|
4,901
|
|
$ 54,848
|
|
|
|
|
Total Health Care
|
|
|
735,048
|
|
|
|
|
Industrials — 15.0%
|
|
|
Ausdrill Ltd.
|
26,012
|
|
25,212
|
Boart Longyear Ltd.
|
48,714
|
|
22,515
|
Bradken Ltd.
(a)
|
17,940
|
|
79,374
|
Cabcharge Australia Ltd.
(a)
|
12,442
|
|
48,349
|
Cardno Ltd.
(a)
|
13,988
|
|
68,668
|
Clough Ltd.
|
31,118
|
|
39,935
|
CSR Ltd.
(a)
|
54,503
|
|
107,121
|
Downer EDI Ltd.
|
44,645
|
|
151,051
|
Forge Group Ltd.
|
8,292
|
|
32,818
|
GWA Group Ltd.
|
22,697
|
|
50,109
|
Mermaid Marine Australia Ltd.
|
22,165
|
|
78,176
|
Mineral Resources Ltd.
|
10,944
|
|
93,306
|
Monadelphous Group Ltd.
|
8,691
|
|
128,384
|
NRW Holdings Ltd.
|
29,264
|
|
25,606
|
SAI Global Ltd.
|
22,666
|
|
77,095
|
Skilled Group Ltd.
|
20,354
|
|
54,069
|
Transfield Services Ltd.
|
46,465
|
|
37,113
|
Transpacific Industries Group Ltd.*
|
91,606
|
|
70,291
|
UGL Ltd.
(a)
|
17,021
|
|
111,206
|
Virgin Australia Holdings Ltd.*
|
63,257
|
|
25,830
|
|
|
|
|
Total Industrials
|
|
|
1,326,228
|
|
|
|
|
Information Technology — 3.0%
|
|
|
carsales.com Ltd.
|
19,759
|
|
176,440
|
Codan Ltd.
(a)
|
3,757
|
|
6,457
|
Iress Ltd.
|
10,835
|
|
80,514
|
|
|
|
|
Total Information Technology
|
|
|
263,411
|
|
|
|
|
Materials — 21.1%
|
|
|
Adelaide Brighton Ltd.
|
46,659
|
|
137,347
|
Arrium Ltd.
|
134,831
|
|
120,399
|
Atlas Iron Ltd.
|
88,208
|
|
64,517
|
Beadell Resources Ltd.*
|
77,261
|
|
52,003
|
BlueScope Steel Ltd.*
|
60,293
|
|
290,571
|
CuDeco Ltd.*
(a)
|
12,735
|
|
17,944
|
DuluxGroup Ltd.
|
37,145
|
|
148,678
|
Evolution Mining Ltd.*
|
48,185
|
|
37,622
|
Independence Group NL
|
22,229
|
|
64,636
|
Kingsgate Consolidated Ltd.
|
14,535
|
|
20,806
|
Lynas Corp. Ltd.*
(a)
|
207,043
|
|
75,253
|
Medusa Mining Ltd.
(a)
|
18,275
|
|
37,886
|
Mount Gibson Iron Ltd.
|
100,317
|
|
50,417
|
Nufarm Ltd.
|
17,831
|
|
72,011
|
OceanaGold Corp.*
|
24,321
|
|
38,852
|
OZ Minerals Ltd.
|
28,320
|
|
103,442
|
PanAust Ltd.
|
48,065
|
|
84,546
|
Perseus Mining Ltd.*
|
48,612
|
|
25,522
|
Regis Resources Ltd.*
|
31,638
|
|
100,513
|
Resolute Mining Ltd.
|
46,752
|
|
34,195
|
Sandfire Resources NL*
|
9,853
|
|
48,369
|
Sims Metal Management Ltd.
|
17,755
|
|
143,408
|
Sirius Resources NL*
|
16,802
|
|
39,205
|
Sundance Resources Ltd.*
|
282,042
|
|
20,503
|
Schedules of Investments - IQ Australia Small Cap ETF (continued)
July 31, 2013 (unaudited)
|
|
|
|
|
Shares
|
|
Value
|
|
|
|
|
Common Stocks (continued)
|
|
|
|
|
|
|
Materials (continued)
|
|
|
Western Areas Ltd.
(a)
|
14,925
|
|
$ 41,523
|
|
|
|
|
Total Materials
|
|
|
1,870,168
|
|
|
|
|
Telecommunication Services — 3.2%
|
|
|
Amcom Telecommunications Ltd.
|
19,226
|
|
32,093
|
iiNET Ltd.
|
12,910
|
|
70,212
|
M2 Telecommunications Group Ltd.
(a)
|
16,450
|
|
92,417
|
TPG Telecom Ltd.
|
27,214
|
|
90,121
|
|
|
|
|
Total Telecommunication Services
|
|
|
284,843
|
|
|
|
|
Utilities — 3.4%
|
|
|
Envestra Ltd.
|
100,730
|
|
100,344
|
Spark Infrastructure Group
|
121,781
|
|
195,087
|
|
|
|
|
Total Utilities
|
|
|
295,431
|
|
|
|
|
Total Common Stocks — 98.6%
|
|
|
(Cost $11,062,373)
|
|
|
8,724,381
|
|
|
|
Right — 0.0%
(b)
|
|
|
|
|
|
Energy — 0.0%
(b)
|
|
|
Horizon Oil Ltd., expiring 9/23/13*
|
|
|
|
(Cost $0)
|
12,812
|
|
403
|
|
|
|
|
Investment of Cash Collateral For
Securities Loaned — 17.0%
|
|
|
|
|
|
|
Money Market Fund — 17.0%
|
|
|
BNY Mellon Overnight Government Fund, 0.08%
(c)
|
|
|
|
(Cost $1,508,532)
|
1,508,532
|
|
1,508,532
|
|
|
|
|
Total Investments — 115.6%
|
|
|
(Cost $12,570,905)
|
|
|
$ 10,233,316
|
Liabilities in Excess of Other Assets — (15.6)%
|
|
|
(1,379,982)
|
Net Assets — 100.0%
|
|
|
$ 8,853,334
|
|
*
|
Non-income producing securities.
|
(a)
|
All or a portion of the security was on loan. The aggregate market value of securities on loan was $1,282,384; total market value of collateral held by the Fund was $1,508,532.
|
(b)
|
Less than 0.05%.
|
(c)
|
Rate shown reflects the 1-day yield at July 31, 2013.
|
Schedules of Investments — IQ Canada Small Cap ETF
July 31, 2013 (unaudited)
|
|
|
|
|
Shares
|
|
Value
|
|
|
|
|
Common Stocks — 98.4%
|
|
|
|
|
|
|
Consumer Discretionary — 2.2%
|
|
|
Martinrea International, Inc.
|
12,156
|
|
$ 141,892
|
RONA, Inc.
|
19,143
|
|
213,207
|
|
|
|
|
Total Consumer Discretionary
|
|
|
355,099
|
|
|
|
|
Consumer Staples — 1.4%
|
|
|
Jean Coutu Group (PJC), Inc., Class A
|
12,422
|
|
227,162
|
|
|
|
|
|
|
|
|
Energy — 28.9%
|
|
|
Advantage Oil & Gas Ltd.*
|
26,318
|
|
94,976
|
Bankers Petroleum Ltd.*
|
39,332
|
|
114,011
|
Bellatrix Exploration Ltd.*
|
15,441
|
|
101,383
|
Birchcliff Energy Ltd.*
|
15,298
|
|
114,283
|
BlackPearl Resources, Inc.*
|
42,594
|
|
66,291
|
Calfrac Well Services Ltd.
|
5,438
|
|
180,112
|
Canyon Services Group, Inc.
|
9,191
|
|
112,557
|
Crew Energy, Inc.*
|
18,620
|
|
95,631
|
Deethree Exploration Ltd.*
|
10,910
|
|
84,474
|
Denison Mines Corp.*
|
61,852
|
|
78,214
|
Ensign Energy Services, Inc.
|
19,882
|
|
345,597
|
Gran Tierra Energy, Inc.*
|
41,420
|
|
255,841
|
Ithaca Energy, Inc.*
|
48,839
|
|
86,462
|
Kelt Exploration Ltd.*
|
10,207
|
|
79,924
|
Legacy Oil + Gas, Inc.*
|
22,607
|
|
135,020
|
Lightstream Resources Ltd.
|
29,828
|
|
243,139
|
Niko Resources Ltd.*
|
10,391
|
|
73,077
|
Nuvista Energy Ltd.*
|
17,983
|
|
118,948
|
Parex Resources, Inc.*
|
16,122
|
|
81,390
|
Parkland Fuel Corp.
|
10,847
|
|
181,056
|
Petrominerales Ltd.
|
12,901
|
|
70,149
|
Poseidon Concepts Corp.
|
13,377
|
|
3,513
|
Precision Drilling Corp.
|
43,693
|
|
444,984
|
Raging River Exploration, Inc.*
|
21,442
|
|
101,365
|
RMP Energy, Inc.*
|
16,189
|
|
70,390
|
Secure Energy Services, Inc.
|
15,596
|
|
212,993
|
Sprott Resource Corp.
|
15,490
|
|
53,338
|
TransGlobe Energy Corp.*
|
10,678
|
|
71,149
|
Trican Well Service Ltd.
|
23,151
|
|
340,492
|
Trinidad Drilling Ltd.
|
18,994
|
|
173,303
|
Uranium One, Inc.*
(a)
|
73,696
|
|
190,683
|
Whitecap Resources, Inc.
|
22,348
|
|
239,990
|
|
|
|
|
Total Energy
|
|
|
4,614,735
|
|
|
|
|
Financials — 6.7%
|
|
|
AGF Management Ltd., Class B
|
10,943
|
|
127,733
|
Canaccord Financial, Inc.
|
13,015
|
|
81,403
|
Element Financial Corp.*
|
19,275
|
|
238,488
|
Industrial Alliance Insurance and Financial Services, Inc.
|
15,486
|
|
622,423
|
|
|
|
|
Total Financials
|
|
|
1,070,047
|
|
|
|
|
Health Care — 1.5%
|
|
|
CML Healthcare, Inc.
|
14,265
|
|
147,638
|
Extendicare, Inc.
|
13,467
|
|
89,863
|
|
|
|
|
Total Health Care
|
|
|
237,501
|
|
|
|
|
Industrials — 14.3%
|
|
|
Aecon Group, Inc.
|
8,583
|
|
99,017
|
Air Canada, Class B*
|
30,669
|
|
65,034
|
CAE, Inc.
|
40,905
|
|
465,530
|
|
|
|
|
|
Shares
|
|
Value
|
|
|
|
|
Common Stocks (continued)
|
|
|
|
|
|
|
Industrials (continued)
|
|
|
Chorus Aviation, Inc., Class B
|
16,358
|
|
$ 32,301
|
Horizon North Logistics, Inc.
|
14,741
|
|
96,930
|
Progressive Waste Solutions Ltd.
|
17,223
|
|
412,963
|
Russel Metals, Inc.
|
9,597
|
|
238,887
|
Superior Plus Corp.
|
19,623
|
|
231,342
|
TransForce, Inc.
|
12,722
|
|
262,719
|
WestJet Airlines Ltd.
|
18,011
|
|
384,730
|
|
|
|
|
Total Industrials
|
|
|
2,289,453
|
|
|
|
|
Information Technology — 0.4%
|
|
|
Wi
-
LAN, Inc.
|
18,783
|
|
67,601
|
|
|
|
|
|
|
|
|
Materials — 34.1%
|
|
|
Ainsworth Lumber Co., Ltd.*
|
16,949
|
|
56,054
|
Alacer Gold Corp.
|
36,088
|
|
85,301
|
Alamos Gold, Inc.
|
20,069
|
|
295,359
|
Argonaut Gold, Inc.*
|
23,221
|
|
153,820
|
AuRico Gold, Inc.
|
39,106
|
|
180,305
|
B2Gold Corp.*
|
96,403
|
|
281,318
|
Canexus Corp.
|
21,102
|
|
175,089
|
Canfor Corp.*
|
13,262
|
|
279,546
|
Capstone Mining Corp.*
|
53,674
|
|
101,287
|
Centerra Gold, Inc.
|
25,232
|
|
111,673
|
China Gold International Resources Corp., Ltd.*
|
38,217
|
|
99,255
|
Continental Gold Ltd.*
|
16,413
|
|
64,978
|
Detour Gold Corp.*
|
18,515
|
|
183,700
|
Dominion Diamond Corp.*
|
12,536
|
|
177,178
|
Dundee Precious Metals, Inc.*
|
14,957
|
|
74,200
|
Endeavour Mining Corp.*
|
64,672
|
|
42,777
|
Endeavour Silver Corp.*
|
15,608
|
|
61,943
|
First Majestic Silver Corp.*
|
17,782
|
|
231,951
|
Fortuna Silver Mines, Inc.*
|
19,798
|
|
69,136
|
Gabriel Resources Ltd.*
|
33,803
|
|
53,267
|
HudBay Minerals, Inc.
|
27,297
|
|
183,741
|
IAMGOLD Corp.
|
58,924
|
|
303,776
|
International Forest Products Ltd., Class A*
|
8,282
|
|
91,114
|
Intertape Polymer Group, Inc.
|
8,505
|
|
99,772
|
Ivanplats Ltd., Class A*
|
57,173
|
|
80,639
|
Major Drilling Group International, Inc.
|
12,534
|
|
85,222
|
Nevsun Resources Ltd.
|
30,965
|
|
104,216
|
NovaGold Resources, Inc.*
|
36,710
|
|
106,411
|
Osisko Mining Corp.*
|
68,615
|
|
285,660
|
Pan American Silver Corp.
|
23,691
|
|
300,271
|
Premier Gold Mines Ltd.*
|
22,977
|
|
48,053
|
Primero Mining Corp.*
|
13,197
|
|
63,414
|
Rio Alto Mining Ltd.*
|
25,529
|
|
54,135
|
Rubicon Minerals Corp.*
|
43,613
|
|
57,695
|
Sandstorm Gold Ltd.*
|
13,947
|
|
79,228
|
SEMAFO, Inc.
|
43,145
|
|
75,962
|
Sherritt International Corp.
|
46,707
|
|
178,550
|
Silvercorp Metals, Inc.
|
26,225
|
|
81,375
|
Tahoe Resources, Inc.*
|
12,995
|
|
196,432
|
Thompson Creek Metals Co., Inc.*
|
22,795
|
|
68,293
|
Torex Gold Resources, Inc.*
|
96,037
|
|
123,310
|
|
|
|
|
Total Materials
|
|
|
5,445,406
|
|
|
|
|
Metals & Mining — 1.2%
|
|
|
Pretium Resources, Inc.*
|
11,707
|
|
98,389
|
Schedules of Investments — IQ Canada Small Cap ETF (continued)
July 31, 2013 (unaudited)
|
|
|
|
|
Shares
|
|
Value
|
|
|
|
|
Common Stocks (continued)
|
|
|
|
|
|
|
Metals & Mining (continued)
|
|
|
Silver Standard Resources, Inc.*
|
12,774
|
|
$ 97,912
|
|
|
|
|
Total Metals & Mining
|
|
|
196,301
|
|
|
|
|
Oil, Gas & Consumable Fuels — 3.1%
|
|
|
Gibson Energy, Inc.
|
19,012
|
|
437,736
|
Twin Butte Energy Ltd.
(a)
|
38,302
|
|
61,846
|
|
|
|
|
Total Oil, Gas & Consumable Fuels
|
|
|
499,582
|
|
|
|
|
Telecommunication Services — 2.1%
|
|
|
Manitoba Telecom Services, Inc.
|
10,161
|
|
337,728
|
|
|
|
|
|
|
|
|
Utilities — 2.5%
|
|
|
Algonquin Power & Utilities Corp.
|
24,396
|
|
165,638
|
Atlantic Power Corp.
(a)
|
18,948
|
|
80,912
|
Just Energy Group, Inc.
(a)
|
21,543
|
|
152,554
|
|
|
|
|
Total Utilities
|
|
|
399,104
|
|
|
|
|
Total Common Stocks— 98.4%
|
|
|
(Cost $20,714,507)
|
|
|
15,739,719
|
|
|
|
|
Investment of Cash Collateral For Securities Loaned — 1.4%
|
|
|
|
|
|
|
Money Market Fund — 1.4%
|
|
|
BNY Mellon Overnight Government Fund, 0.08%
(b)
|
|
|
|
(Cost $228,917)
|
228,917
|
|
228,917
|
|
|
|
|
Total Investments — 99.8%
|
|
|
(Cost $20,943,424)
|
|
|
$ 15,968,636
|
Other Assets in Excess of Liabilities
— 0.2%
|
|
28,311
|
Net Assets — 100.0%
|
|
|
$ 15,996,947
|
|
*
|
Non
-
income producing securities.
|
(a)
|
All or a portion of the security was on loan. The aggregate market value of securities on loan was $216,791; total market value of collateral held by the Fund was $228,917.
|
(b)
|
Rate shown reflects the 1-day yield at July 31, 2013.
|
Schedules of Investments — IQ Global Agribusiness Small Cap
ETF
July 31, 2013 (unaudited)
|
|
|
|
|
Shares
|
|
Value
|
|
|
|
|
|
|
|
Common Stocks - 98.6%
|
|
|
|
|
|
|
Australia - 6.4%
|
|
|
GrainCorp Ltd.
|
149,803
|
|
$ 1,663,032
|
Nufarm Ltd.
|
141,559
|
|
571,690
|
|
|
|
|
Total Australia
|
|
|
2,234,722
|
|
|
|
|
China - 7.7%
|
|
|
China Bluechemical Ltd., Class H
|
1,436,771
|
|
663,238
|
China Minzhong Food Corp., Ltd.*
(a)
|
362,231
|
|
299,975
|
China Modern Dairy Holdings Ltd.*
|
2,382,960
|
|
719,004
|
First Tractor Co., Ltd., Class H
(a)
|
347,135
|
|
205,004
|
People's Food Holdings Ltd.
|
522,288
|
|
430,474
|
Shenguan Holdings Group Ltd.
|
944,742
|
|
402,000
|
|
|
|
|
Total China
|
|
|
2,719,695
|
|
|
|
|
Hong Kong - 7.8%
|
|
|
Asian Citrus Holdings Ltd.
|
638,542
|
|
209,956
|
China Agri-Industries Holdings Ltd.
|
1,750,106
|
|
812,392
|
China Foods Ltd.
(a)
|
625,432
|
|
245,968
|
China Yurun Food Group Ltd.*
|
1,109,719
|
|
776,983
|
Global Bio-chem Technology Group Co., Ltd.*
|
1,652,943
|
|
140,670
|
Sinofert Holdings Ltd.
|
1,522,016
|
|
237,467
|
Yashili International Holdings Ltd.
|
731,426
|
|
328,207
|
|
|
|
|
Total Hong Kong
|
|
|
2,751,643
|
|
|
|
|
Indonesia - 3.1%
|
|
|
Bumitama Agri Ltd.
|
245,230
|
|
175,171
|
PT Japfa Comfeed Indonesia Tbk
|
3,911,792
|
|
464,353
|
PT Malindo Feedmill Tbk
|
598,730
|
|
182,051
|
PT Perusahaan Perkebunan London Sumatra Indonesia Tbk
|
2,387,270
|
|
260,155
|
|
|
|
|
Total Indonesia
|
|
|
1,081,730
|
|
|
|
|
Ireland - 5.5%
|
|
|
Glanbia PLC
|
148,447
|
|
1,941,587
|
|
|
|
|
|
|
|
|
Japan - 27.8%
|
|
|
Fuji Oil Co., Ltd.
|
37,811
|
|
630,856
|
House Foods Corp.
|
50,536
|
|
809,254
|
Iseki & Co., Ltd.
(a)
|
127,863
|
|
439,405
|
Itoham Foods, Inc.
|
85,487
|
|
365,051
|
J-Oil Mills, Inc.
|
65,108
|
|
196,605
|
Kewpie Corp.
|
79,041
|
|
1,212,677
|
Kumiai Chemical Industry Co., Ltd.
|
30,044
|
|
178,391
|
Mitsui Sugar Co., Ltd.
|
61,169
|
|
197,771
|
Miyoshi Oil & Fat Co. Ltd.
|
47,263
|
|
68,236
|
Morinaga Milk Industry Co., Ltd.
|
131,595
|
|
379,980
|
Nihon Nohyaku Co., Ltd.
|
33,260
|
|
329,371
|
Nippon Flour Mills Co., Ltd.
|
89,357
|
|
463,343
|
Nippon Meat Packers, Inc.
|
118,366
|
|
1,817,220
|
Nisshin Oillio Group Ltd.
|
67,360
|
|
239,703
|
Nisshin Seifun Group, Inc.
|
129,306
|
|
1,493,484
|
NOF Corp.
|
112,686
|
|
678,258
|
Prima Meat Packers Ltd.
|
87,200
|
|
168,451
|
Yamatane Corp.
(a)
|
63,677
|
|
112,004
|
|
|
|
|
Total Japan
|
|
|
9,780,060
|
|
|
|
|
|
Shares
|
|
Value
|
|
|
|
|
|
|
|
Common Stocks (continued)
|
|
|
|
|
|
|
Luxembourg - 1.2%
|
|
|
Adecoagro SA ADR*
|
62,573
|
|
$ 409,853
|
|
|
|
|
|
|
|
|
Netherlands - 11.7%
|
|
|
CSM NV
(a)
|
57,929
|
|
1,323,811
|
Nutreco NV
(a)
|
59,628
|
|
2,802,867
|
|
|
|
|
Total Netherlands
|
|
|
4,126,678
|
|
|
|
|
New Zealand - 0.5%
|
|
|
A2 Corp. Ltd.*
|
323,908
|
|
172,736
|
|
|
|
|
|
|
|
|
Singapore - 2.3%
|
|
|
First Resources Ltd.
|
412,107
|
|
543,459
|
Indofood Agri Resources Ltd.
(a)
|
354,990
|
|
246,608
|
|
|
|
|
Total Singapore
|
|
|
790,067
|
|
|
|
|
Spain - 3.9%
|
|
|
Ebro Foods SA
|
63,985
|
|
1,379,366
|
|
|
|
|
|
|
|
|
Thailand - 0.8%
|
|
|
GFPT PCL*
|
382,713
|
|
113,102
|
Thai Vegetable Oil PCL
|
263,448
|
|
157,395
|
|
|
|
|
Total Thailand
|
|
|
270,497
|
|
|
|
|
United Kingdom - 4.5%
|
|
|
Dairy Crest Group PLC
|
116,637
|
|
901,820
|
Devro PLC
|
141,752
|
|
671,572
|
|
|
|
|
Total United Kingdom
|
|
|
1,573,392
|
|
|
|
|
United States - 15.4%
|
|
|
American Vanguard Corp.
|
21,372
|
|
527,675
|
Chiquita Brands International, Inc.*
|
37,005
|
|
447,021
|
CVR Partners LP
|
29,128
|
|
645,185
|
Dole Food Co., Inc.*
|
46,139
|
|
595,193
|
Lindsay Corp.
|
10,843
|
|
814,309
|
Toro Co.
|
48,565
|
|
2,393,283
|
|
|
|
|
Total United States
|
|
|
5,422,666
|
Total Common Stocks - 98.6%
|
|
|
|
(Cost $36,885,360)
|
|
34,654,692
|
|
|
|
|
Short-Term Investment - 1.3%
|
|
|
|
|
|
|
Money Market Fund - 1.3%
|
|
|
Morgan Stanley Institutional Liquidity Funds Treasury Portfolio — Institutional Class, 0.03%
(b)
|
|
|
|
(Cost $445,377)
|
445,377
|
|
445,377
|
|
|
|
|
|
|
|
|
Investment of Cash Collateral For Securities Loaned - 15.6%
|
|
|
Money Market Fund - 15.6%
|
|
|
BNY Mellon Overnight
Government Fund, 0.08%
(c)
|
|
|
|
(Cost $5,495,055)
|
5,495,055
|
|
5,495,055
|
|
|
|
|
Schedules of Investments — IQ Global Agribusiness Small Cap
ETF (continued)
July 31, 2013 (unaudited)
|
|
|
|
|
|
|
Value
|
|
|
|
|
Total Investments - 115.5%
|
|
|
|
(Cost $42,825,792)
|
|
$ 40,595,124
|
Liabilities in Excess of Other Assets - (15.5)%
|
|
(5,456,911)
|
Net Assets - 100.0%
|
|
|
$ 35,138,213
|
|
IQ Global Agribusiness Small Cap ETF
|
|
|
% of
|
Industry
|
Value
|
|
Net Assets
|
Crop Production and Farming
|
$ 15,544,208
|
|
44.2%
|
Money Market Fund
|
5,940,432
|
|
16.9
|
Livestock Operations
|
5,935,789
|
|
16.9
|
Agricultural Supplies and Logistics
|
5,406,871
|
|
15.4
|
Agricultural Chemicals
|
3,507,887
|
|
10.0
|
Agricultural Machinery
|
3,037,692
|
|
8.6
|
Biofuels
|
1,222,245
|
|
3.5
|
Total Investments
|
$ 40,595,124
|
|
115.5
|
Liabilities in Excess of Other Assets
|
(5,456,911)
|
|
(15.5)
|
Total Net Assets
|
$ 35,138,213
|
|
100.0%
|
|
*
|
Non-income producing securities.
|
(a)
|
All or a portion of the security was on loan. The aggregate market value of securities on loan was $5,075,230; total market value of collateral held by the Fund was $5,495,055.
|
(b)
|
Rate shown reflects the 7-day yield at July 31, 2013.
|
(c)
|
Rate shown reflects the 1-day yield at July 31, 2013.
|
ADR
|
- American Depositary Receipt
|
LP
|
- Limited Partnership
|
PCL
|
- Public Company Limited
|
|
Schedules of Investments — IQ Global Oil Small Cap ETF
July 31, 2013 (unaudited)
|
|
|
|
|
Shares
|
|
Value
|
|
|
|
|
|
|
|
Common Stocks - 98.7%
|
|
|
|
|
|
|
Australia - 4.3%
|
|
|
Caltex Australia Ltd.
|
4,406
|
|
$ 73,982
|
Horizon Oil Ltd.*
(a)
|
26,711
|
|
8,750
|
|
|
|
|
Total Australia
|
|
|
82,732
|
|
|
|
|
Bermuda - 0.3%
|
|
|
Archer Ltd.*
|
6,412
|
|
5,150
|
|
|
|
|
|
|
|
|
Canada - 10.0%
|
|
|
Bankers Petroleum Ltd.*
|
8,117
|
|
23,529
|
Canyon Services Group, Inc.
|
1,881
|
|
23,036
|
Ensign Energy Services, Inc.
|
4,090
|
|
71,094
|
Horizon North Logistics, Inc.
|
3,032
|
|
19,937
|
Ithaca Energy, Inc.*
|
10,047
|
|
17,787
|
Southern Pacific Resource Corp.*
|
12,884
|
|
4,386
|
Sunshine Oilsands Ltd.*
|
56,811
|
|
10,988
|
TAG Oil Ltd.*
|
1,821
|
|
6,784
|
Twin Butte Energy Ltd.
|
7,971
|
|
12,871
|
|
|
|
|
Total Canada
|
|
|
190,412
|
|
|
|
|
China - 1.4%
|
|
|
Shandong Molong Petroleum Machinery Co. Ltd., Class H
|
8,307
|
|
2,431
|
Sinopec Shanghai Petrochemical Co., Ltd., Class H*
|
75,918
|
|
23,396
|
|
|
|
|
Total China
|
|
|
25,827
|
|
|
|
|
Colombia - 0.8%
|
|
|
Petrominerales Ltd.
|
2,654
|
|
14,431
|
|
|
|
|
|
|
|
|
Finland - 3.0%
|
|
|
Neste Oil OYJ
|
3,998
|
|
57,812
|
|
|
|
|
|
|
|
|
France - 2.4%
|
|
|
Etablissements Maurel et Prom
|
2,799
|
|
45,622
|
|
|
|
|
|
|
|
|
Ireland - 0.6%
|
|
|
Providence Resources PLC*
|
1,774
|
|
10,785
|
|
|
|
|
|
|
|
|
Italy - 1.3%
|
|
|
ERG SpA
|
1,581
|
|
15,325
|
Saras SpA*
|
7,442
|
|
9,057
|
|
|
|
|
Total Italy
|
|
|
24,382
|
|
|
|
|
Japan - 8.1%
|
|
|
Cosmo Oil Co., Ltd.*
|
15,248
|
|
28,216
|
Showa Shell Sekiyu K.K.
|
4,930
|
|
45,313
|
Tonengeneral Sekiyu K.K.
|
8,318
|
|
80,174
|
|
|
|
|
Total Japan
|
|
|
153,703
|
|
|
|
|
Netherlands - 11.1%
|
|
|
Core Laboratories NV ADR
|
1,414
|
|
211,534
|
|
|
|
|
|
|
|
|
Norway - 3.7%
|
|
|
Det Norske Oljeselskap ASA*
|
2,179
|
|
31,870
|
DNO International ASA*
|
18,133
|
|
39,093
|
|
|
|
|
Total Norway
|
|
|
70,963
|
|
|
|
|
Philippines - 0.9%
|
|
|
Petron Corp.
|
51,970
|
|
16,968
|
|
|
|
|
|
|
|
|
Russia - 0.6%
|
|
|
Alliance Oil Co., Ltd.*
(a)
|
1,823
|
|
11,952
|
|
|
|
|
|
|
|
|
|
Shares
|
|
Value
|
|
|
|
|
|
|
|
Common Stocks (continued)
|
|
|
|
|
|
|
Singapore - 0.1%
|
|
|
Kreuz Holdings Ltd.
|
4,722
|
|
$ 2,817
|
|
|
|
|
|
|
|
|
Thailand - 7.1%
|
|
|
Bangchak Petroleum PCL
|
26,756
|
|
29,491
|
Esso Thailand PCL
|
35,810
|
|
7,951
|
IRPC PCL
|
335,513
|
|
34,087
|
Thai Oil PCL
|
32,196
|
|
62,746
|
|
|
|
|
Total Thailand
|
|
|
134,275
|
|
|
|
|
United Arab Emirates - 3.6%
|
|
|
Dragon Oil PLC
|
7,378
|
|
69,350
|
|
|
|
|
|
|
|
|
United Kingdom - 2.4%
|
|
|
Rockhopper Exploration PLC*
|
8,812
|
|
17,534
|
Salamander Energy PLC*
|
7,882
|
|
14,268
|
Xcite Energy Ltd.*
|
8,412
|
|
12,976
|
|
|
|
|
Total United Kingdom
|
|
|
44,778
|
|
|
|
|
United States - 37.0%
|
|
|
Alon USA Energy, Inc.
|
730
|
|
9,972
|
Bonanza Creek Energy, Inc.*
|
1,228
|
|
50,029
|
BPZ Resources, Inc.*
|
3,248
|
|
7,828
|
CVR Energy, Inc.
|
2,832
|
|
133,642
|
Gulfport Energy Corp.*
|
2,494
|
|
132,681
|
Harvest Natural Resources, Inc.*
(a)
|
1,234
|
|
5,084
|
Key Energy Services, Inc.*
|
4,826
|
|
30,597
|
Kodiak Oil & Gas Corp.*
|
8,474
|
|
82,282
|
Northern Tier Energy LP
|
1,465
|
|
36,845
|
Ocean Rig UDW, Inc.*
|
1,516
|
|
25,787
|
PetroQuest Energy, Inc.*
|
1,833
|
|
8,248
|
Pioneer Energy Services Corp.*
|
1,994
|
|
13,519
|
Stone Energy Corp.*
|
1,563
|
|
38,075
|
Synergy Resources Corp.*
|
1,711
|
|
13,260
|
Tesoro Logistics LP
|
948
|
|
50,709
|
VAALCO Energy, Inc.*
|
1,798
|
|
11,147
|
Western Refining, Inc.
(a)
|
1,783
|
|
53,722
|
|
|
|
|
Total United States
|
|
|
703,427
|
Total Common Stocks - 98.7%
|
|
|
|
(Cost $2,198,800)
|
|
1,876,920
|
|
|
|
Right - 0.0%
(b)
|
|
|
|
|
|
|
Canada - 0.0%
(b)
|
|
|
Horizon Oil Ltd.*
|
|
|
|
(Cost $0)
|
3,815
|
|
120
|
|
|
|
|
|
|
|
|
Investment of Cash Collateral For Securities Loaned - 4.2%
|
|
|
Money Market Fund - 4.2%
|
|
|
BNY Mellon Overnight Government Fund 0.08%
(c)
|
|
|
|
(Cost $80,035)
|
80,035
|
|
80,035
|
|
|
|
|
|
|
|
|
Total Investments - 102.9%
|
|
|
|
(Cost $2,278,835)
|
|
$ 1,957,075
|
Liabilities in Excess of Other Assets - (2.9)%
|
|
(54,708)
|
Net Assets - 100.0%
|
|
|
$ 1,902,367
|
|
Schedules of Investments — IQ Global Oil Small Cap ETF (continued)
July 31, 2013 (unaudited)
|
|
|
% of
|
Industry
|
Value
|
|
Net Assets
|
Exploration & Production
|
$ 725,006
|
|
38.1%
|
Refining & Marketing
|
695,303
|
|
36.6
|
Equipment, Services & Drilling
|
456,731
|
|
24.0
|
Money Market Fund
|
80,035
|
|
4.2
|
Total Investments
|
$ 1,957,075
|
|
102.9
|
Liabilities in Excess of Other Assets
|
(54,708)
|
|
(2.9)
|
Total Net Assets
|
$ 1,902,367
|
|
100.0%
|
*
|
Non-income producing securities.
|
(a)
|
All or a portion of the security was on loan. The aggregate market value of securities on loan was $74,998; total market value of collateral held by the Fund was $80,035.
|
(b)
|
Less than 0.05%.
|
(c)
|
Rate shown reflects the 1-day yield at July 31, 2013.
|
ADR
|
- American Depositary Receipt
|
K.K.
|
- Kabushiki Kaisha
|
LP
|
- Limited Partnership
|
PCL
|
- Public Company Limited
|
|
Schedules of Investments — IQ US Real Estate Small Cap ETF
July 31, 2013 (unaudited)
|
|
|
|
|
Shares
|
|
Value
|
|
|
|
|
Common Stocks — 98.8%
|
|
|
|
|
|
|
Diversified REITs — 8.8%
|
|
|
CapLease, Inc.
|
72,649
|
|
$ 616,063
|
Cousins Properties, Inc.
|
90,290
|
|
925,472
|
Investors Real Estate Trust
|
84,484
|
|
729,942
|
Kennedy-Wilson Holdings, Inc.
|
43,427
|
|
742,602
|
Redwood Trust, Inc.
(a)
|
68,280
|
|
1,156,663
|
Resource Capital Corp.
|
104,909
|
|
696,596
|
|
|
|
|
Total Diversified REITs
|
|
|
4,867,338
|
|
|
|
|
Hotel REITs — 10.5%
|
|
|
Ashford Hospitality Trust, Inc.
|
52,100
|
|
608,007
|
FelCor Lodging Trust, Inc.*
|
93,699
|
|
565,942
|
Hersha Hospitality Trust
|
164,087
|
|
963,191
|
Pebblebrook Hotel Trust
|
51,526
|
|
1,373,168
|
Summit Hotel Properties, Inc.
|
54,257
|
|
549,081
|
Sunstone Hotel Investors, Inc.*
|
135,473
|
|
1,753,021
|
|
|
|
|
Total Hotel REITs
|
|
|
5,812,410
|
|
|
|
|
Mortgage REITs — 25.4%
|
|
|
AG Mortgage Investment Trust, Inc.
|
23,213
|
|
421,084
|
Anworth Mortgage Asset Corp.
|
120,788
|
|
587,030
|
Apollo Commercial Real Estate Finance, Inc.
|
31,045
|
|
497,651
|
Arbor Realty Trust, Inc.
|
27,303
|
|
205,865
|
ARMOUR Residential REIT, Inc.
(a)
|
314,359
|
|
1,402,041
|
Colony Financial, Inc.
|
53,743
|
|
1,089,908
|
Dynex Capital, Inc.
|
43,223
|
|
415,373
|
Gramercy Property Trust, Inc.*
|
40,253
|
|
191,202
|
Invesco Mortgage Capital
|
114,835
|
|
1,886,739
|
iStar Financial, Inc.*
(a)
|
66,229
|
|
752,361
|
New Residential Investment Corp.
|
213,025
|
|
1,412,356
|
New York Mortgage Trust, Inc.
(a)
|
53,450
|
|
344,218
|
Newcastle Investment Corp.
|
211,643
|
|
1,227,529
|
NorthStar Realty Finance Corp.
|
167,987
|
|
1,646,273
|
PennyMac Mortgage Investment Trust
|
48,973
|
|
1,081,324
|
RAIT Financial Trust
|
58,731
|
|
444,006
|
Western Asset Mortgage Capital Corp.
(a)
|
20,516
|
|
344,464
|
ZAIS Financial Corp.
(a)
|
5,859
|
|
100,540
|
|
|
|
|
Total Mortgage REITs
|
|
|
14,049,964
|
|
|
|
|
Office REITs — 21.5%
|
|
|
Brandywine Realty Trust
|
131,024
|
|
1,826,475
|
CommonWealth REIT
|
100,245
|
|
2,312,652
|
First Industrial Realty Trust, Inc.
|
88,535
|
|
1,448,433
|
First Potomac Realty Trust
|
47,720
|
|
647,560
|
Franklin Street Properties Corp.
|
61,877
|
|
823,583
|
Government Properties Income Trust
|
46,354
|
|
1,171,366
|
Hudson Pacific Properties, Inc.
|
46,817
|
|
1,015,929
|
Lexington Realty Trust
|
162,562
|
|
2,038,527
|
Parkway Properties, Inc.
|
36,359
|
|
636,282
|
|
|
|
|
Total Office REITs
|
|
|
11,920,807
|
|
|
|
|
Residential REITs — 3.7%
|
|
|
Associated Estates Realty Corp.
(a)
|
40,928
|
|
625,380
|
Education Realty Trust, Inc.
|
96,177
|
|
906,949
|
Silver Bay Realty Trust Corp.
(a)
|
31,444
|
|
505,934
|
|
|
|
|
Total Residential REITs
|
|
|
2,038,263
|
|
|
|
|
|
|
|
|
|
Shares
|
|
Value
|
|
|
|
|
Common Stocks (continued)
|
|
|
|
|
|
|
Retail REITs — 14.2%
|
|
|
Acadia Realty Trust
|
46,199
|
|
$ 1,191,010
|
Cedar Realty Trust, Inc.
|
55,146
|
|
305,509
|
Glimcher Realty Trust
|
120,044
|
|
1,349,295
|
Inland Real Estate Corp.
|
76,574
|
|
787,946
|
Kite Realty Group Trust
|
76,479
|
|
441,284
|
Pennsylvania Real Estate Investment Trust
|
53,816
|
|
1,113,991
|
Ramco-Gershenson Properties Trust
|
49,516
|
|
767,003
|
Retail Opportunity Investments Corp.
|
54,741
|
|
749,952
|
Spirit Realty Capital, Inc.
|
126,884
|
|
1,158,451
|
|
|
|
|
Total Retail REITs
|
|
|
7,864,441
|
|
|
|
|
Specialized REITs — 14.7%
|
|
|
Aviv REIT, Inc.
|
12,909
|
|
321,434
|
Campus Crest Communities, Inc.
|
54,155
|
|
614,659
|
CubeSmart
|
103,099
|
|
1,670,204
|
CyrusOne, Inc.
|
15,511
|
|
315,649
|
DCT Industrial Trust, Inc.
|
245,001
|
|
1,839,957
|
Medical Properties Trust, Inc.
|
125,040
|
|
1,825,584
|
Sabra Health Care REIT, Inc.
|
30,731
|
|
806,381
|
STAG Industrial, Inc.
|
34,960
|
|
724,721
|
|
|
|
|
Total Specialized REITs
|
|
|
8,118,589
|
|
|
|
|
Total Common Stocks — 98.8%
|
|
|
(Cost $55,899,231)
|
|
|
54,671,812
|
|
|
|
|
Short-Term Investment — 1.1%
|
|
|
|
|
|
|
Money Market Fund — 1.1%
|
|
|
Morgan Stanley Institutional Liquidity Funds Treasury Portfolio — Institutional Class, 0.03%
(b)
|
|
|
|
(Cost $638,748)
|
638,748
|
|
638,748
|
|
|
|
|
|
|
|
|
Investment of Cash Collateral For Securities Loaned — 7.2%
|
|
|
|
|
|
|
Money Market Fund — 7.2%
|
|
|
BNY
Mellon Overnight Government Fund, 0.08%
(c)
|
|
|
|
(Cost $3,993,052)
|
3,993,052
|
|
3,993,052
|
|
|
|
|
Total Investments — 107.1%
|
|
|
(Cost $60,531,031)
|
|
|
$ 59,303,612
|
Liabilities in Excess of Other Assets — (7.1)%
|
|
(3,946,357)
|
Net Assets — 100.0%
|
|
|
$ 55,357,255
|
|
*
|
Non-income producing securities.
|
(a)
|
All or a portion of the security was on loan. The aggregate market value of securities on loan was $3,813,992; total market value of collateral held by the Fund was $3,993,052.
|
(b)
|
Rate shown reflects the 7-day yield at July 31, 2013.
|
(c)
|
Rate shown reflects the 1-day yield at July 31, 2013.
|
REITs
—
Real Estate Investment Trusts
Fair Value Measurement
(unaudited)
Accounting Standards Codification (“ASC”)
Topic 820, Fair Value Measurements and Disclosures (“ASC 820”) defines fair value, establishes a framework for measuring
fair value in accordance with U.S. GAAP, and requires disclosure about fair value measurements. It also provides guidance on determining
when there has been a significant decrease in the volume and level of activity for an asset or liability, when a transaction is
not orderly, and how that information must be incorporated into fair value measurement. Under ASC 820, various inputs are used
in determining the value of the Funds’ investments. These inputs are summarized in the following hierarchy:
|
•
|
Level 1 — Unadjusted quoted prices in active markets for identical assets or liabilities that the Funds have the ability to access.
|
|
•
|
Level 2 — Observable inputs other than quoted prices included in Level 1 that are observable for the asset or liability, either directly or indirectly. These inputs may include quoted prices for the identical instrument on an inactive market, prices for similar securities, interest rates, prepayment speeds, credit risk, yield curves, default rates and similar data.
|
|
•
|
Level 3 — Unobservable inputs for the asset or liability, to the extent relevant observable inputs are not available, representing the Funds’ own assumptions about the assumptions a market participant would use in valuing the asset or liability, and would be based on the best information available.
|
The availability of observable inputs
can vary from security to security and is affected by a wide variety of factors, including, for example, the type of security,
whether the security is new and not yet established in the marketplace, the liquidity of markets, and other characteristics particular
to the security. To the extent that valuation is based on models or inputs that are less observable or unobservable in the market,
the determination of fair value requires more judgment. Accordingly, the degree of judgment exercised in determining fair value
is greatest for instruments categorized in Level 3. With respect to the valuation of Level 3 securities, IndexIQ may employ a market-based
valuation approach which may use related or comparable securities, recent transactions, market multiples, book values, and other
relevant information to determine fair value. IndexIQ may also use an income-based valuation approach in which anticipated future
cash flows of the financial instrument are discounted to calculate fair value. IndexIQ representatives meet regularly to review
and discuss the appropriateness of such fair values using more current information such as, recent security news, recent market
transactions, updated corporate action information and/or other macro or security specific events.
All other securities and investments
for which market values are not readily available, including restricted securities, and those securities for which it is inappropriate
to determine prices in accordance with the aforementioned procedures, are valued at fair value as determined in good faith under
procedures adopted by the Board, although the actual calculations may be done by others. Factors considered in making this determination
may include, but are not limited to, information obtained by contacting the issuer, analysts, or the appropriate stock exchange
(for exchange-traded securities), analysis of the issuer’s financial statements or other available documents and, if necessary,
available information concerning other securities in similar circumstances.
Transfers between levels, if any, are
considered to have occurred at the beginning of the reporting period. Transfers between levels and the reasons for these transfers
are detailed in the tables below.
The inputs or methodology used for valuing
securities are not necessarily an indication of the risk associated with investing in those securities. The following summarizes
inputs used as of July 31, 2013 in valuing the Funds’ assets and liabilities carried at fair value:
|
|
Level 1
|
|
Level 2
|
|
Level 3
|
|
Total
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
IQ Hedge Multi-Strategy Tracker ETF
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Assets
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Investment Companies*
|
|
$
|
385,165,360
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
385,165,360
|
|
Other Financial Instruments**
|
|
|
75,871
|
|
|
|
—
|
|
|
|
—
|
|
|
|
75,871
|
|
Short-Term Investments
|
|
|
119,338,806
|
|
|
|
—
|
|
|
|
—
|
|
|
|
119,338,806
|
|
Total
|
|
$
|
504,580,037
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
504,580,037
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
IQ Hedge Macro Tracker ETF
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Assets
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Investment Companies*
|
|
$
|
33,481,755
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
33,481,755
|
|
Other Financial Instruments**
|
|
|
9,607
|
|
|
|
|
|
|
|
|
|
|
|
9,607
|
|
Short-Term Investments
|
|
|
11,483,076
|
|
|
|
—
|
|
|
|
—
|
|
|
|
11,483,076
|
|
Total
|
|
$
|
44,974,438
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
44,974,438
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
IQ Hedge Market Neutral Tracker ETF
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Assets
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Investment Companies*
|
|
$
|
17,426,296
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
17,426,296
|
|
Short-Term Investments
|
|
|
2,473,791
|
|
|
|
—
|
|
|
|
—
|
|
|
|
2,473,791
|
|
Total
|
|
$
|
19,900,087
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
19,900,087
|
|
Liabilities
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Other Financial Instruments**
|
|
|
(17,963
|
)
|
|
|
—
|
|
|
|
—
|
|
|
|
(17,963
|
)
|
Total
|
|
$
|
(17,963
|
)
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
(17,963
|
)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
IQ Real Return ETF
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Assets
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Investment Companies*
|
|
$
|
55,630,023
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
55,630,023
|
|
Short-Term Investments
|
|
|
15,098,277
|
|
|
|
—
|
|
|
|
—
|
|
|
|
15,098,277
|
|
Total
|
|
$
|
70,728,300
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
70,728,300
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
IQ Global Resources ETF
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Assets
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Common Stocks†
|
|
$
|
73,919,479
|
|
|
$
|
349,184
|
|
|
$
|
—
|
|
|
$
|
74,268,663
|
|
Short-Term Investments
|
|
|
7,568,277
|
|
|
|
—
|
|
|
|
—
|
|
|
|
7,568,277
|
|
Total
|
|
$
|
81,487,756
|
|
|
$
|
349,184
|
|
|
$
|
—
|
|
|
$
|
81,836,940
|
|
Liabilities
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Other Financial Instruments**
|
|
|
(458,542
|
)
|
|
|
—
|
|
|
|
—
|
|
|
|
(458,542
|
)
|
Total
|
|
$
|
(458,542
|
)
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
(458,542
|
)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
IQ Merger Arbitrage ETF
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Assets
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Common Stocks*
|
|
$
|
13,060,235
|
|
|
|
|
|
|
$
|
—
|
|
|
$
|
13,060,235
|
|
Short-Term Investments
|
|
|
3,545,571
|
|
|
|
—
|
|
|
|
—
|
|
|
|
3,545,571
|
|
Total
|
|
|
16,605,806
|
|
|
|
—
|
|
|
|
—
|
|
|
|
16,605,806
|
|
Liabilities
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Other Financial Instruments**
|
|
|
(52,056
|
)
|
|
|
—
|
|
|
|
—
|
|
|
|
(52,056
|
)
|
Total
|
|
$
|
(52,056
|
)
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
(52,056
|
)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
IQ Australia Small Cap ETF
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Assets
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Common Stocks*
|
|
$
|
8,643,867
|
|
|
$
|
80,514
|
|
|
$
|
—
|
|
|
$
|
8,724,381
|
|
Right
|
|
|
|
|
|
|
403
|
|
|
|
|
|
|
|
403
|
|
Short-Term Investments
|
|
|
1,508,532
|
|
|
|
|
|
|
|
—
|
|
|
|
1,508,532
|
|
Total
|
|
$
|
10,152,399
|
|
|
$
|
80,917
|
|
|
$
|
—
|
|
|
$
|
10,233,316
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
IQ Canada Small Cap ETF
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Assets
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Common Stocks*
|
|
$
|
15,736,206
|
|
|
$
|
3,513
|
|
|
$
|
—
|
|
|
$
|
15,739,719
|
|
Short-Term Investments
|
|
|
228,917
|
|
|
|
—
|
|
|
|
—
|
|
|
|
228,917
|
|
Total
|
|
$
|
15,965,123
|
|
|
$
|
3,513
|
|
|
$
|
—
|
|
|
$
|
15,968,636
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
IQ Global Agribusiness Small Cap ETF
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Assets
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Common Stocks†
|
|
$
|
34,654,692
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
34,654,692
|
|
Short-Term Investments
|
|
|
5,940,432
|
|
|
|
—
|
|
|
|
—
|
|
|
|
5,940,432
|
|
Total
|
|
$
|
40,595,124
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
40,595,124
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
IQ Global Oil Small Cap ETF
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Assets
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Common Stocks†
|
|
$
|
1,876,920
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
1,876,920
|
|
Right
|
|
|
|
|
|
|
120
|
|
|
|
|
|
|
|
120
|
|
Short-Term Investments
|
|
|
80,035
|
|
|
|
—
|
|
|
|
—
|
|
|
|
80,035
|
|
Total
|
|
$
|
1,956,955
|
|
|
$
|
120
|
|
|
$
|
—
|
|
|
$
|
1,957,075
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
IQ US Real Estate Small Cap ETF
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Assets
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Common Stocks*
|
|
$
|
54,671,812
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
54,671,812
|
|
Short-Term Investments
|
|
|
4,631,800
|
|
|
|
—
|
|
|
|
—
|
|
|
|
4,631,800
|
|
Total
|
|
$
|
59,303,612
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
59,303,612
|
|
*
|
Please refer to the Schedule of Investments to view securities segregated by industry type.
|
|
|
**
|
Derivative instruments, including swap transactions and futures contracts, are valued at the net unrealized appreciation (depreciation) on the instrument.
|
|
|
|
|
|
|
†
|
Please refer to the Schedule of Investments to view securities segregated by country.
|
|
|
The following is a summary of transfers
between Level 1 and Level 2 fair value measurements that occurred during the period ended July 31, 2013.
Fund
|
|
|
Transfers from Level 1
to Level 2
1
|
IQ Australia Small Cap ETF
|
|
|
$ 141,444
|
|
1
Transfers from Level 1 to Level 2 are as a result of
the unavailablity of a quoted price in an active market
|
The cost basis of investments for Federal income tax purposes
at July 31, 2013 was as follows (unaudited)*:
|
|
|
|
|
|
Gross
|
|
Gross
|
|
Net Unrealized
|
|
|
|
|
|
|
Unrealized
|
|
Unrealized
|
|
Appreciation/
|
Fund
|
|
|
|
Cost
|
|
Appreciation
|
|
Depreciation
|
|
(Depreciation)
|
IQ Hedge Multi-Strategy Tracker ETF
|
|
503,675,443
|
|
7,492,945
|
|
(6,664,222)
|
|
828,723
|
IQ Hedge Macro Tracker ETF
|
|
45,923,206
|
|
605,957
|
|
(1,564,332)
|
|
(958,375)
|
IQ Hedge Market Neutral Tracker ETF
|
|
20,130,893
|
|
24,617
|
|
(255,423)
|
|
(230,806)
|
IQ Real Return ETF
|
|
|
71,476,991
|
|
916,157
|
|
(1,664,848)
|
|
(748,691)
|
IQ Global Resources ETF
|
|
88,190,675
|
|
2,765,414
|
|
(9,119,149)
|
|
(6,353,735)
|
IQ Merger Arbitrage ETF
|
|
16,486,624
|
|
312,192
|
|
(193,010)
|
|
119,182
|
IQ Australia Small Cap ETF
|
|
12,714,005
|
|
1,006,634
|
|
(3,487,323)
|
|
(2,480,689)
|
IQ Canada Small Cap ETF
|
|
21,216,945
|
|
1,360,864
|
|
(6,609,173)
|
|
(5,248,309)
|
IQ Global Agribusiness Small Cap ETF
|
42,996,806
|
|
3,450,852
|
|
(5,852,534)
|
|
(2,401,682)
|
IQ Global Oil Small Cap ETF
|
|
2,295,651
|
|
113,572
|
|
(452,148)
|
|
(338,576)
|
IQ US Real Estate Small Cap ETF
|
|
60,555,872
|
|
2,258,826
|
|
(3,511,086)
|
|
(1,252,260)
|
* Because tax adjustments are calculated annually,
the above table reflects the tax adjustments outstanding at the Fund’s previous fiscal year end. For the previous fiscal
year’s federal income tax information, please refer to the Notes to Financial Statements section in the Fund’s most
recent annual report.
Item 2. Controls and Procedures.
|
(a)
|
The registrant’s principal executive and principal financial officers, or persons performing
similar functions, have concluded that the registrant’s disclosure controls and procedures (as defined in Rule 30a-3(c) under
the Investment Company Act of 1940, as amended (the “1940 Act”) (17 CFR 270.30a-3(c))) are effective, as of a date
within 90 days of the filing date of the report that includes the disclosure required by this paragraph, based on their evaluation
of these controls and procedures required by Rule 30a-3(b) under the 1940 Act (17 CFR 270.30a-3(b)) and Rules 13a-15(b) or 15d-15(b)
under the Securities Exchange Act of 1934, as amended (17 CFR 240.13a-15(b) or 240.15d-15(b)).
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(b)
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There were no 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.
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Item 3. Exhibits.
Certifications pursuant to Rule 30a-2(a) under the 1940 Act and
Section 302 of the Sarbanes-Oxley Act of 2002 are attached hereto.
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)
IndexIQ ETF Trust
By (Signature and Title)*
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/s/ Adam S. Patti
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Adam S. Patti
|
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(Principal Executive Officer)
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Date
9/16/13
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)*
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/s/ Adam S. Patti
|
|
|
Adam S. Patti
|
|
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(Principal Executive Officer)
|
|
Date
9/16/13
By (Signature and Title)*
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/s/ David L. Fogel
|
|
David L. Fogel
|
|
(Principal Financial Officer)
|
Date
9/16/13
*
Print the name and title of each signing officer under
his or her signature.
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