Investor New York Life Investment Management Llc
13D/G Filings

This page shows a list of all the recent 13D/G filings made by New York Life Investment Management Llc . Schedule 13D is commonly referred to as a “beneficial ownership report.” The term "beneficial owner" is defined under SEC rules. It includes any person who directly or indirectly shares voting power or investment power (the power to sell the security).

When a person or group of persons acquires beneficial ownership of more than 5% of a voting class of a company’s equity securities, they are required to file a Schedule 13D within ten days after the purchase. Click the link icon to see the full transaction history.

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Date Form Target Prev
Shares		 Current
Shares		 Change
(Percent)		 Ownership
(Percent)		 Change
(Percent)
2025-09-03 13G/A XSHQ / Invesco Exchange-Traded Fund Trust II - Invesco S&P SmallCap Quality ETF 568,346 0
2025-05-01 13G/A UUP / Invesco DB US Dollar Index Trust - Invesco DB US Dollar Index Bullish Fund 2,210,085 0
2025-05-01 13G FLBL / Franklin Templeton ETF Trust - Franklin Senior Loan ETF 2,537,666
2025-04-03 13G XSHQ / Invesco Exchange-Traded Fund Trust II - Invesco S&P SmallCap Quality ETF 526,922 568,346
2025-02-04 13G/A XSHQ / Invesco Exchange-Traded Fund Trust II - Invesco S&P SmallCap Quality ETF 502,883 526,922
2025-01-06 13G/A UUP / Invesco DB US Dollar Index Trust - Invesco DB US Dollar Index Bullish Fund 2,114,773 2,210,085
2024-12-03 13G/A DTCR / Global X Funds - Global X Data Center & Digital Infrastructure ETF 560,131 0
2024-11-01 13G/A UUP / Invesco DB US Dollar Index Trust - Invesco DB US Dollar Index Bullish Fund 2,026,267 2,114,773
2024-11-01 13G/A DTCR / Global X Funds - Global X Data Center & Digital Infrastructure ETF 539,116 560,131
2024-10-01 13G/A BBLB / J.P. Morgan Exchange-Traded Fund Trust - JPMorgan BetaBuilders U.S. Treasury Bond 20+ Year ETF 76,130 0
2024-09-04 13G UUP / Invesco DB US Dollar Index Trust - Invesco DB US Dollar Index Bullish Fund 2,026,267
2024-09-04 13G ARB / AltShares Trust - AltShares Merger Arbitrage ETF 321,025
2024-09-04 13G/A XSHQ / Invesco Exchange-Traded Fund Trust II - Invesco S&P SmallCap Quality ETF 271,125 502,883
2024-04-08 13D 2,500
2024-04-08 13D 2,500
2024-04-08 13D 4,992,500
2024-04-08 13D 2,500
2024-04-03 13G/A DTCR / Global X Funds - Global X Data Center & Digital Infrastructure ETF 520,737 539,116
2024-03-04 13G/A RSPE / Invesco Exchange-Traded Fund Trust II - Invesco ESG S&P 500 Equal Weight ETF 25,238 0
2024-03-04 13G/A BBLB / J.P. Morgan Exchange-Traded Fund Trust - JPMorgan BetaBuilders U.S. Treasury Bond 20+ Year ETF 65,739 76,130
2024-01-10 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 899,515 0
2024-01-10 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 449,803 0
2024-01-10 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 2,363,364 0
2024-01-10 13G/A 45409B552 / IQ 50 Percent Hedged FTSE Europe ETF 6,403,706 0
2024-01-10 13G/A MRND / IndexIQ ETF Trust - IQ U.S. Mid Cap R&D Leaders ETF 190,000 0
2024-01-10 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,018,479 0
2024-01-10 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,273,997 0
2024-01-05 13G/A LRND / New York Life Investments Active ETF Trust - NYLI U.S. Large Cap R&D Leaders ETF 190,000
2024-01-05 13G/A CPLB / New York Life Investments Active ETF Trust - NYLI MacKay Core Plus Bond ETF 7,350,443 10,382,321
2024-01-05 13G/A WRND / New York Life Investments ETF Trust - NYLI Global Equity R&D Leaders ETF 190,000
2024-01-05 13G/A IQSU / New York Life Investments ETF Trust - NYLI Candriam U.S. Large Cap Equity ETF 10,524,377 6,491,633
2024-01-05 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 5,908,744 4,637,369
2024-01-05 13G/A MMCA / New York Life Investments Active ETF Trust - NYLI MacKay California Muni Intermediate ETF 980,000 485,049
2024-01-05 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 5,103,240 4,049,444
2024-01-05 13G/A IQSI / New York Life Investments ETF Trust - NYLI Candriam International Equity ETF 7,124,083 6,143,061
2024-01-05 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 6,208,761 5,191,469
2024-01-04 13G RSPE / Invesco Exchange-Traded Fund Trust II - Invesco ESG S&P 500 Equal Weight ETF 25,238
2024-01-04 13G BBLB / J.P. Morgan Exchange-Traded Fund Trust - JPMorgan BetaBuilders U.S. Treasury Bond 20+ Year ETF 65,739
2023-12-07 13G XSHQ / Invesco Exchange-Traded Fund Trust II - Invesco S&P SmallCap Quality ETF 271,125
2023-12-06 13G DTCR / Global X Funds - Global X Data Center & Digital Infrastructure ETF 520,737
2022-07-08 13G/A IQSI / New York Life Investments ETF Trust - NYLI Candriam International Equity ETF 7,280,913 7,124,083
2022-07-08 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 6,494,385 6,208,761
2022-06-10 13G/A MMCA / New York Life Investments Active ETF Trust - NYLI MacKay California Muni Intermediate ETF 980,000 980,000
2022-06-10 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,090,815 5,908,744
2022-06-10 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 4,761,180 5,103,240
2022-06-10 13G/A IQSU / New York Life Investments ETF Trust - NYLI Candriam U.S. Large Cap Equity ETF 10,459,207 10,524,377
2022-06-10 13G/A IQSI / New York Life Investments ETF Trust - NYLI Candriam International Equity ETF 7,150,965 7,280,913
2022-06-10 13G/A MRND / IndexIQ ETF Trust - IQ U.S. Mid Cap R&D Leaders ETF 190,000 190,000
2022-06-10 13G/A MNA / New York Life Investments ETF Trust - NYLI Merger Arbitrage ETF 190,000 190,000
2022-06-10 13G/A MNA / New York Life Investments ETF Trust - NYLI Merger Arbitrage ETF 190,000 190,000
2022-06-10 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 6,728,730 6,494,385
2022-06-10 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,321,644 9,273,997
2022-06-10 13G/A ESGB / New York Life Investments Active ETF Trust - NYLI MacKay Core Plus Bond ETF 6,576,954 7,350,443
2022-05-10 13G/A MMCA / New York Life Investments Active ETF Trust - NYLI MacKay California Muni Intermediate ETF 980,000 980,000
2022-05-10 13G/A MNA / New York Life Investments ETF Trust - NYLI Merger Arbitrage ETF 190,000 190,000
2022-05-10 13G/A MNA / New York Life Investments ETF Trust - NYLI Merger Arbitrage ETF 190,000 190,000
2022-05-10 13G/A MRND / IndexIQ ETF Trust - IQ U.S. Mid Cap R&D Leaders ETF 190,000 190,000
2022-05-09 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,268,455 6,090,815
2022-05-09 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 4,604,852 4,761,180
2022-05-09 13G/A IQSU / New York Life Investments ETF Trust - NYLI Candriam U.S. Large Cap Equity ETF 10,744,728 10,459,207
2022-05-09 13G/A IQSI / New York Life Investments ETF Trust - NYLI Candriam International Equity ETF 7,211,413 7,150,965
2022-05-09 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 6,795,744 6,728,730
2022-05-09 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,317,136 9,321,644
2022-05-09 13G/A ESGB / New York Life Investments Active ETF Trust - NYLI MacKay Core Plus Bond ETF 2,639,734 6,576,954
2022-04-08 13G/A MRND / IndexIQ ETF Trust - IQ U.S. Mid Cap R&D Leaders ETF 190,000 190,000
2022-04-08 13G/A MNA / New York Life Investments ETF Trust - NYLI Merger Arbitrage ETF 190,000 190,000
2022-04-08 13G/A MNA / New York Life Investments ETF Trust - NYLI Merger Arbitrage ETF 190,000 190,000
2022-04-07 13G/A MMCA / New York Life Investments Active ETF Trust - NYLI MacKay California Muni Intermediate ETF 1,000,000 980,000
2022-04-07 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,183,715 6,268,455
2022-04-07 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 4,691,289 4,604,852
2022-04-07 13G/A IQSU / New York Life Investments ETF Trust - NYLI Candriam U.S. Large Cap Equity ETF 10,850,117 10,744,728
2022-04-07 13G/A IQSI / New York Life Investments ETF Trust - NYLI Candriam International Equity ETF 6,755,366 7,211,413
2022-04-07 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 6,697,913 6,795,744
2022-04-07 13G/A ESGB / New York Life Investments Active ETF Trust - NYLI MacKay Core Plus Bond ETF 2,639,734 2,639,734
2022-04-07 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,391,969 9,317,136
2022-03-10 13G MRND / IndexIQ ETF Trust - IQ U.S. Mid Cap R&D Leaders ETF 190,000
2022-03-10 13G/A MNA / New York Life Investments ETF Trust - NYLI Merger Arbitrage ETF 0 190,000
2022-03-10 13G ESGB / New York Life Investments Active ETF Trust - NYLI MacKay Core Plus Bond ETF 2,639,734
2022-03-10 13G MNA / New York Life Investments ETF Trust - NYLI Merger Arbitrage ETF 0 190,000
2022-03-09 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,244,088 6,183,715
2022-03-09 13G/A MMCA / New York Life Investments Active ETF Trust - NYLI MacKay California Muni Intermediate ETF 1,000,000 1,000,000
2022-03-09 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 4,714,108 4,691,289
2022-03-09 13G/A IQSU / New York Life Investments ETF Trust - NYLI Candriam U.S. Large Cap Equity ETF 10,800,408 10,850,117
2022-03-09 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 6,929,082 6,697,913
2022-03-09 13G/A IQSI / New York Life Investments ETF Trust - NYLI Candriam International Equity ETF 6,763,266 6,755,366
2022-03-09 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,386,265 9,391,969
2022-02-08 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 7,300,187 6,929,082
2022-02-08 13G/A MMCA / New York Life Investments Active ETF Trust - NYLI MacKay California Muni Intermediate ETF 980,000 1,000,000
2022-02-08 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,313,018 6,244,088
2022-02-08 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 4,724,745 4,714,108
2022-02-08 13G/A IQSU / New York Life Investments ETF Trust - NYLI Candriam U.S. Large Cap Equity ETF 10,930,390 10,800,408
2022-02-08 13G/A IQSI / New York Life Investments ETF Trust - NYLI Candriam International Equity ETF 6,709,221 6,763,266
2022-02-08 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,276,143 9,386,265
2022-02-04 13G MMCA / New York Life Investments Active ETF Trust - NYLI MacKay California Muni Intermediate ETF 980,000
2022-01-10 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,311,342 6,313,018
2022-01-10 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 5,075,561 4,724,745
2022-01-10 13G/A IQSU / New York Life Investments ETF Trust - NYLI Candriam U.S. Large Cap Equity ETF 11,688,273 10,930,390
2022-01-10 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,166,597 9,276,143
2022-01-07 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 7,330,198 7,300,187
2021-12-09 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,311,342 6,311,342
2021-12-09 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 5,075,561 5,075,561
2021-12-09 13G/A IQSI / New York Life Investments ETF Trust - NYLI Candriam International Equity ETF 6,708,961 6,709,221
2021-12-09 13G/A IQSU / New York Life Investments ETF Trust - NYLI Candriam U.S. Large Cap Equity ETF 11,688,273 11,688,273
2021-12-09 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,166,597 9,166,597
2021-12-09 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 7,330,198 7,330,198
2021-11-09 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,292,679 6,311,342
2021-11-09 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 5,236,799 5,075,561
2021-11-09 13G/A IQSI / New York Life Investments ETF Trust - NYLI Candriam International Equity ETF 6,519,747 6,708,961
2021-11-09 13G/A IQSU / New York Life Investments ETF Trust - NYLI Candriam U.S. Large Cap Equity ETF 12,417,497 11,688,273
2021-11-09 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 8,995,996 9,166,597
2021-11-09 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 7,315,038 7,330,198
2021-10-08 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,373,737 6,292,679
2021-10-08 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 4,689,957 5,236,799
2021-10-08 13G/A IQSI / New York Life Investments ETF Trust - NYLI Candriam International Equity ETF 6,524,129 6,519,747
2021-10-08 13G/A IQSU / New York Life Investments ETF Trust - NYLI Candriam U.S. Large Cap Equity ETF 12,093,097 12,417,497
2021-10-08 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,078,565 8,995,996
2021-10-08 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 7,349,096 7,315,038
2021-09-08 13G/A IQSU / New York Life Investments ETF Trust - NYLI Candriam U.S. Large Cap Equity ETF 11,770,940 12,093,097
2021-09-08 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,355,907 6,373,737
2021-09-08 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 4,698,047 4,689,957
2021-09-08 13G/A IQSI / New York Life Investments ETF Trust - NYLI Candriam International Equity ETF 6,099,394 6,524,129
2021-09-08 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,191,885 9,078,565
2021-09-08 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 7,240,721 7,349,096
2021-08-09 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 7,240,721 7,240,721
2021-08-09 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,191,885 9,191,885
2021-08-09 13G/A IQSU / New York Life Investments ETF Trust - NYLI Candriam U.S. Large Cap Equity ETF 11,770,940 11,770,940
2021-08-09 13G/A IQSI / New York Life Investments ETF Trust - NYLI Candriam International Equity ETF 7,240,721 6,099,394
2021-08-09 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 4,698,047 4,698,047
2021-08-09 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,355,907 6,355,907
2021-07-09 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,186,795 9,191,885
2021-07-09 13G/A IQSU / New York Life Investments ETF Trust - NYLI Candriam U.S. Large Cap Equity ETF 11,442,864 11,770,940
2021-07-09 13G/A IQSI / New York Life Investments ETF Trust - NYLI Candriam International Equity ETF 6,085,294 7,240,721
2021-07-09 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 7,301,379 7,240,721
2021-07-09 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,464,530 6,355,907
2021-07-09 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 4,685,820 4,698,047
2021-07-09 13G/A IQSI / New York Life Investments ETF Trust - NYLI Candriam International Equity ETF 6,085,294 6,099,394
2021-06-10 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,218,542 9,186,795
2021-06-10 13G/A IQSU / New York Life Investments ETF Trust - NYLI Candriam U.S. Large Cap Equity ETF 11,167,844 11,442,864
2021-06-10 13G/A IQSU / New York Life Investments ETF Trust - NYLI Candriam U.S. Large Cap Equity ETF 11,167,844 11,442,864
2021-06-10 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 7,415,420 7,301,379
2021-06-10 13G/A IQSI / New York Life Investments ETF Trust - NYLI Candriam International Equity ETF 6,097,527 6,085,294
2021-06-10 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 4,761,904 4,685,820
2021-06-10 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 4,761,904 4,685,820
2021-06-10 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 2,316,649 2,363,364
2021-06-10 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 22,861,418 6,464,530
2021-05-07 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 22,861,418 22,861,418
2021-05-07 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 2,310,103 2,316,649
2021-05-07 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 4,589,615 4,761,904
2021-05-07 13G/A IQSI / New York Life Investments ETF Trust - NYLI Candriam International Equity ETF 5,592,430 6,097,527
2021-05-07 13G/A IQSU / New York Life Investments ETF Trust - NYLI Candriam U.S. Large Cap Equity ETF 11,103,441 11,167,844
2021-05-07 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,353,564 9,218,542
2021-05-07 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 7,681,480 7,415,420
2021-04-13 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 4,549,122 4,589,615
2021-04-13 13G/A IQSU / New York Life Investments ETF Trust - NYLI Candriam U.S. Large Cap Equity ETF 10,878,218 11,103,441
2021-04-13 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,454,708 9,353,564
2021-04-13 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 2,301,489 2,310,103
2021-04-13 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,726,738 22,861,418
2021-04-13 13G/A IQSI / New York Life Investments ETF Trust - NYLI Candriam International Equity ETF 5,310,628 5,592,430
2021-04-13 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 7,900,699 7,681,480
2021-03-10 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,755,334 6,726,738
2021-03-10 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 2,299,345 2,301,489
2021-03-10 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 4,652,252 4,549,122
2021-03-10 13G/A IQSI / New York Life Investments ETF Trust - NYLI Candriam International Equity ETF 5,182,629 5,310,628
2021-03-10 13G/A IQSU / New York Life Investments ETF Trust - NYLI Candriam U.S. Large Cap Equity ETF 10,567,363 10,878,218
2021-03-10 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,548,405 9,454,708
2021-03-10 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 7,917,757 7,900,699
2021-02-10 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,832,183 6,755,334
2021-02-10 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 8,237,313 4,652,252
2021-02-10 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 2,245,358 2,299,345
2021-02-10 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 8,203,181 7,917,757
2021-02-10 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,610,281 9,548,405
2021-02-10 13G/A IQSU / New York Life Investments ETF Trust - NYLI Candriam U.S. Large Cap Equity ETF 9,982,805 10,567,363
2021-02-10 13G/A IQSI / New York Life Investments ETF Trust - NYLI Candriam International Equity ETF 4,631,697 5,182,629
2021-01-11 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 2,174,267 2,245,358
2021-01-11 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,904,641 6,832,183
2021-01-11 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 4,635,410 8,237,313
2021-01-11 13G/A IQSI / New York Life Investments ETF Trust - NYLI Candriam International Equity ETF 4,453,316 4,631,697
2021-01-11 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,697,514 9,610,281
2021-01-11 13G/A IQSU / New York Life Investments ETF Trust - NYLI Candriam U.S. Large Cap Equity ETF 9,089,459 9,982,805
2021-01-11 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 8,831,099 8,203,181
2020-12-09 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 2,196,838 2,174,267
2020-12-09 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,932,892 6,904,641
2020-12-09 13G/A IQSI / New York Life Investments ETF Trust - NYLI Candriam International Equity ETF 4,360,738 4,453,316
2020-12-09 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 4,570,149 4,635,410
2020-12-09 13G/A IQSU / New York Life Investments ETF Trust - NYLI Candriam U.S. Large Cap Equity ETF 7,774,722 9,089,459
2020-12-09 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,866,181 9,697,514
2020-12-09 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 9,051,490 8,831,099
2020-11-09 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 2,210,248 2,196,838
2020-11-09 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,922,374 6,932,892
2020-11-09 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 8,237,313 4,570,149
2020-11-09 13G/A IQSI / New York Life Investments ETF Trust - NYLI Candriam International Equity ETF 4,154,202 4,360,738
2020-11-09 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,638,775 9,866,181
2020-11-09 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 9,114,577 9,051,490
2020-11-09 13G/A IQSU / New York Life Investments ETF Trust - NYLI Candriam U.S. Large Cap Equity ETF 5,102,347 7,774,722
2020-10-13 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 9,295,766 9,114,577
2020-10-13 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 22,861,418 6,922,374
2020-10-13 13G/A IQSU / New York Life Investments ETF Trust - NYLI Candriam U.S. Large Cap Equity ETF 4,827,795 5,102,347
2020-10-13 13G/A IQSI / New York Life Investments ETF Trust - NYLI Candriam International Equity ETF 3,860,663 4,154,202
2020-10-13 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 8,237,313 8,237,313
2020-10-13 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,649,647 9,638,775
2020-10-13 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 2,181,654 2,210,248
2020-09-10 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 9,333,876 9,295,766
2020-09-10 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,624,460 9,649,647
2020-09-10 13G/A IQSU / New York Life Investments ETF Trust - NYLI Candriam U.S. Large Cap Equity ETF 4,827,795
2020-09-10 13G/A IQSI / New York Life Investments ETF Trust - NYLI Candriam International Equity ETF 3,793,664 3,860,663
2020-09-10 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 2,223,750 2,181,654
2020-09-10 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,996,551 22,861,418
2020-09-10 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 3,858,181 8,237,313
2020-08-10 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,606,447 9,624,460
2020-08-10 13G/A CPI / IndexIQ ETF Trust - IQ Real Return ETF 1,882,150 3,939,830
2020-08-10 13G/A IQSI / New York Life Investments ETF Trust - NYLI Candriam International Equity ETF 3,767,812 3,793,664
2020-08-10 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 3,512,664 3,858,181
2020-08-10 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,995,559 6,996,551
2020-08-10 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 2,177,925 2,223,750
2020-08-10 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 9,381,701 9,333,876
2020-07-09 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 2,152,892 2,177,925
2020-07-09 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,997,951 6,995,559
2020-07-09 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 3,535,758 3,512,664
2020-07-09 13G/A CPI / IndexIQ ETF Trust - IQ Real Return ETF 1,078,994 1,882,150
2020-07-09 13G/A IQSI / New York Life Investments ETF Trust - NYLI Candriam International Equity ETF 3,767,812
2020-07-09 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 9,451,852 9,381,701
2020-07-09 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,685,092 9,606,447
2020-06-09 13G CPI / IndexIQ ETF Trust - IQ Real Return ETF 1,717,847 1,078,994
2020-06-09 13G/A CPI / IndexIQ ETF Trust - IQ Real Return ETF 1,717,847 3,763,326
2020-06-09 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 9,450,310 9,451,852
2020-06-09 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,698,957 9,685,092
2020-06-09 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 3,541,919 3,535,758
2020-06-09 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 22,861,418 6,997,951
2020-05-07 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,984,092 22,861,418
2020-05-07 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 9,450,310 9,450,310
2020-05-07 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,698,957 9,698,957
2020-05-07 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 3,541,919 3,541,919
2020-05-07 13G CPI / IndexIQ ETF Trust - IQ Real Return ETF 1,717,847
2020-04-09 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 3,541,919 3,541,919
2020-04-09 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,984,092 6,984,092
2020-04-09 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,564,438 9,698,957
2020-04-09 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 9,450,310 9,450,310
2020-03-10 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,985,783 6,984,092
2020-03-10 13G/A IQIN / New York Life Investments ETF Trust - NYLI 500 International ETF 9,450,310
2020-03-10 13G/A CLRG / IndexIQ ETF Trust - IQ U.S. Large Cap ETF 9,564,438
2020-03-10 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 3,817,337 3,541,919
2020-03-10 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 786,671 2,152,892
2020-02-10 13G/A QAI / New York Life Investments ETF Trust - NYLI Hedge Multi-Strategy Tracker ETF 9,998,230 9,998,230
2020-02-10 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 3,817,337 3,817,337
2020-02-10 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,985,783 6,985,783
2020-02-10 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 786,671 786,671
2020-02-08 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 4,538,502 3,817,337
2020-02-08 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 22,861,418 6,985,783
2020-02-08 13G/A QAI / New York Life Investments ETF Trust - NYLI Hedge Multi-Strategy Tracker ETF 11,054,543 9,998,230
2020-02-08 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 2,152,892 786,671
2020-01-07 13G/A QAI / New York Life Investments ETF Trust - NYLI Hedge Multi-Strategy Tracker ETF 11,054,543
2020-01-07 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 5,089,388 4,538,502
2020-01-07 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,993,454 22,861,418
2020-01-07 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 2,152,892 2,152,892
2019-12-06 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 1,836,392 899,515
2019-12-06 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 7,078,012 6,993,454
2019-12-06 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 1,057,327 2,152,892
2019-12-06 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 5,302,281 449,803
2019-12-06 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 6,399,483 5,089,388
2019-12-06 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,006,799 4,018,479
2019-11-08 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 2,701,002 1,836,392
2019-11-08 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,014,796 4,006,799
2019-11-08 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 6,808,374 6,399,483
2019-11-08 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 5,710,461 7,078,012
2019-11-08 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 1,060,682 1,057,327
2019-11-08 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 1,406,799 5,302,281
2019-10-09 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,606,131 4,014,796
2019-10-09 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 2,152,892 1,060,682
2019-10-09 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 3,607,855 2,701,002
2019-10-09 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 5,302,281 1,406,799
2019-10-09 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 8,237,313 6,808,374
2019-10-09 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 7,714,526 5,710,461
2019-09-09 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 4,289,825 3,607,855
2019-09-09 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 8,237,313 8,237,313
2019-09-09 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,066,513 4,606,131
2019-09-09 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 7,791,126 7,714,526
2019-09-09 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 1,057,649 2,152,892
2019-09-09 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 2,649,905 5,302,281
2019-08-06 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 1,042,974 1,057,649
2019-08-06 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,300,849 4,066,513
2019-08-06 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 2,870,106 2,649,905
2019-08-06 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 4,382,224 4,289,825
2019-08-06 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 7,885,558 8,237,313
2019-08-06 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 9,203,305 7,791,126
2019-07-09 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 8,234,830 7,885,558
2019-07-09 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 3,706,526 4,382,224
2019-07-09 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 5,302,281 2,870,106
2019-07-09 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,397,483 4,300,849
2019-07-09 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 1,048,212 1,042,974
2019-06-07 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 3,021,576 5,302,281
2019-06-07 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 9,891,195 9,203,305
2019-06-07 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 9,970,742 8,234,830
2019-06-07 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,659,367 4,397,483
2019-06-07 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 1,087,379 1,048,212
2019-06-07 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 4,236,717 3,706,526
2019-05-07 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 3,023,880 3,021,576
2019-05-07 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 9,976,436 9,970,742
2019-05-07 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 11,559,560 9,891,195
2019-05-07 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,664,601 4,659,367
2019-05-07 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 1,094,217 1,087,379
2019-05-07 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 4,225,152 4,236,717
2019-04-08 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 4,225,152 4,225,152
2019-04-08 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,664,601 4,664,601
2019-04-08 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 11,559,560 11,559,560
2019-04-08 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 9,976,436 9,976,436
2019-04-08 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 1,094,217 1,094,217
2019-04-08 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 3,023,880 3,023,880
2019-04-05 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 4,354,284 4,225,152
2019-04-05 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,719,353 4,664,601
2019-04-05 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 13,909,412 11,559,560
2019-04-05 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 10,402,346 9,976,436
2019-04-05 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 1,104,819 1,094,217
2019-04-05 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 3,112,852 3,023,880
2019-03-07 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 14,410,326 13,909,412
2019-03-07 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,718,695 4,719,353
2019-03-07 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 11,118,637 10,402,346
2019-03-07 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 3,080,926 3,112,852
2019-03-07 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 1,103,554 1,104,819
2019-03-07 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 3,250,283 4,354,284
2019-02-11 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 1,103,554 1,103,554
2019-02-11 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 3,250,283 3,250,283
2019-02-11 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,718,695 4,718,695
2019-02-11 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 11,118,637 11,118,637
2019-02-11 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 14,410,326 14,410,326
2019-02-09 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 1,145,164 1,103,554
2019-02-09 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 2,878,753 3,250,283
2019-02-09 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,741,039 4,718,695
2019-02-09 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 11,751,981 11,118,637
2019-02-09 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 14,931,442 14,410,326
2019-01-09 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 3,118,034 3,080,926
2019-01-09 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 1,158,902 1,145,164
2019-01-09 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 2,514,851 2,878,753
2019-01-09 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 16,814,153 14,931,442
2019-01-09 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 11,562,493 11,751,981
2019-01-09 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,767,289 4,741,039
2018-12-07 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 11,446,697 11,562,493
2018-12-07 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 20,911,372 16,814,153
2018-12-07 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 1,165,282 1,158,902
2018-12-07 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,900,171 4,767,289
2018-12-07 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 2,518,165 3,118,034
2018-12-07 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 802,788 2,514,851
2018-11-13 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 20,774,903 20,911,372
2018-11-13 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 10,514,906 11,446,697
2018-11-13 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 2,338,911 802,788
2018-11-13 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 6,073,202 2,518,165
2018-11-13 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 5,059,811 4,900,171
2018-11-13 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 1,164,569 1,165,282
2018-10-09 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 2,338,257 2,338,911
2018-10-09 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 6,890,919 5,059,811
2018-10-09 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 10,021,231 10,514,906
2018-10-09 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 6,894,563 6,073,202
2018-10-09 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 1,170,972 1,164,569
2018-10-09 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 20,633,793 20,774,903
2018-09-07 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 1,175,157 1,170,972
2018-09-07 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 20,884,572 20,633,793
2018-09-07 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 2,234,436 2,338,257
2018-09-07 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 6,820,609 6,890,919
2018-09-07 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 10,005,053 10,021,231
2018-09-07 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 7,297,004 6,894,563
2018-08-23 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 6,820,609 6,820,609
2018-08-22 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 6,662,090 6,820,609
2018-08-08 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 23,463,916 20,884,572
2018-08-08 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 1,756,360 2,234,436
2018-08-08 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 10,111,490 10,005,053
2018-08-08 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 7,797,464 7,297,004
2018-08-08 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 1,195,211 1,175,157
2018-07-06 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 1,344,854 1,195,211
2018-07-06 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 22,300,517 23,463,916
2018-07-06 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 5,832,190 6,662,090
2018-07-06 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 1,724,141 1,756,360
2018-07-06 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 10,003,325 10,111,490
2018-07-06 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 7,921,443 7,797,464
2018-06-11 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 22,838,379 22,300,517
2018-06-11 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 9,310,307 10,003,325
2018-06-11 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 1,477,355 1,724,141
2018-06-11 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,661,300 5,832,190
2018-06-11 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 7,096,038 7,921,443
2018-06-11 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 1,771,463 1,344,854
2018-06-11 13G/A 45409B552 / IQ 50 Percent Hedged FTSE Europe ETF 6,408,269 6,403,706
2018-05-11 13G/A 45409B552 / IQ 50 Percent Hedged FTSE Europe ETF 6,395,407 6,408,269
2018-05-11 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 8,792,570 9,310,307
2018-05-11 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 1,491,985 1,477,355
2018-05-11 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 6,845,612 7,096,038
2018-05-11 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,653,828 4,661,300
2018-05-11 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 2,058,107 1,771,463
2018-04-06 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 1,402,659 1,491,985
2018-04-06 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 5,302,281 6,845,612
2018-04-06 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,606,131 4,653,828
2018-04-06 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 2,152,892 2,058,107
2018-04-06 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 22,861,418 22,838,379
2018-04-06 13G/A 45409B552 / IQ 50 Percent Hedged FTSE Europe ETF 6,368,455 6,395,407
2018-04-06 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 8,237,313 8,792,570
2018-03-09 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 2,151,685 2,152,892
2018-03-09 13G/A 45409B552 / IQ 50 Percent Hedged FTSE Europe ETF 6,361,342 6,368,455
2018-03-09 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 17,062,854 22,861,418
2018-03-09 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 7,619,680 8,237,313
2018-03-09 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 1,908,798 1,402,659
2018-03-09 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 9,073,712 5,302,281
2018-03-09 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,600,553 4,606,131
2018-02-08 13G/A 45409B552 / IQ 50 Percent Hedged FTSE Europe ETF 4,597,452 6,361,342
2018-02-08 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 1,847,675 1,908,798
2018-02-08 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,326,618 4,600,553
2018-02-08 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 6,652,690 7,619,680
2018-02-08 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 8,796,641 9,073,712
2018-02-08 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 2,023,351 2,151,685
2018-02-08 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 15,422,070 17,062,854
2018-01-08 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 8,680,949 8,796,641
2018-01-08 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 5,428,906 6,652,690
2018-01-08 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 2,020,531 2,023,351
2018-01-08 13G/A 45409B552 / IQ 50 Percent Hedged FTSE Europe ETF 6,257,434 4,597,452
2018-01-08 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 15,222,732 15,422,070
2018-01-08 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,254,864 4,326,618
2018-01-08 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 1,810,399 1,847,675
2017-12-08 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 8,680,949
2017-12-08 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 15,222,732
2017-12-08 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 1,810,399
2017-12-08 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,120,657 4,254,864
2017-12-08 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 5,428,906
2017-12-08 13G/A 45409B552 / IQ 50 Percent Hedged FTSE Europe ETF 6,257,434
2017-12-08 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 2,020,531
2017-11-08 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 2,002,365
2017-11-08 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 8,108,300
2017-11-08 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 10,750,798
2017-11-08 13G/A 45409B552 / IQ 50 Percent Hedged FTSE Europe ETF 6,235,093
2017-11-08 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 1,777,281
2017-11-08 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 4,729,867
2017-11-08 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,113,019 4,120,657
2017-10-06 13G/A 45409B552 / IQ 50 Percent Hedged FTSE Europe ETF 5,974,539
2017-10-06 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 10,248,052
2017-10-06 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 1,997,801
2017-10-06 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 8,060,454
2017-10-06 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 4,271,636
2017-10-06 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 1,769,053
2017-10-06 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,122,335 4,113,019
2017-09-08 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 3,987,911
2017-09-08 13G/A 45409B552 / IQ 50 Percent Hedged FTSE Europe ETF 5,932,862
2017-09-08 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 14,358,353
2017-09-08 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 1,741,075
2017-09-08 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 1,583,023
2017-09-08 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 7,850,069
2017-09-08 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,122,461 4,122,335
2017-08-08 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 1,727,179
2017-08-08 13G/A 45409B552 / IQ 50 Percent Hedged FTSE Europe ETF 5,371,889
2017-08-08 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 7,746,065
2017-08-08 13G/A HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 1,441,000
2017-08-08 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 3,379,927
2017-08-08 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 13,529,029
2017-08-08 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,117,813 4,122,461
2017-07-07 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 1,780,086
2017-07-07 13G/A CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 2,474,018
2017-07-07 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 7,764,284
2017-07-07 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 11,377,038
2017-07-07 13G/A 45409B552 / IQ 50 Percent Hedged FTSE Europe ETF 5,144,910
2017-07-07 13G HYLV / IndexIQ ETF Trust - IQ S&P High Yield Low Volatility Bond ETF 965,414
2017-07-07 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,140,031 4,117,813
2017-06-08 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 7,788,047
2017-06-08 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 1,804,939
2017-06-08 13G/A 45409B552 / IQ 50 Percent Hedged FTSE Europe ETF 4,597,452
2017-06-08 13G CSML / IndexIQ ETF Trust - IQ U.S. Small Cap ETF 1,238,674
2017-06-08 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 8,534,683
2017-06-08 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 4,164,161 4,140,031
2017-05-09 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 1,882,140
2017-05-09 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 7,732,088
2017-05-09 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 7,074,175
2017-05-09 13G/A 45409B552 / IQ 50 Percent Hedged FTSE Europe ETF 2,731,577
2017-05-09 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 3,134,793 4,164,161
2017-04-11 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 7,005,545
2017-04-11 13G 45409B552 / IQ 50 Percent Hedged FTSE Europe ETF 2,682,193
2017-04-11 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 7,483,503
2017-04-11 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 1,804,692
2017-04-11 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 3,120,862 3,134,793
2017-03-10 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 7,091,143
2017-03-10 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,486,908
2017-03-10 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 1,822,792
2017-03-10 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 3,112,819 3,120,862
2017-02-09 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,481,160
2017-02-09 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 7,244,937
2017-02-09 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 1,834,230
2017-02-09 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 3,134,359 3,112,819
2017-01-10 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 1,934,344
2017-01-10 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 8,029,887
2017-01-10 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,476,028
2017-01-10 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 2,965,208 3,134,359
2016-12-09 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 2,096,334
2016-12-09 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,420,531
2016-12-09 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 9,382,693
2016-12-09 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 2,971,258 2,965,208
2016-11-08 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 2,044,704
2016-11-08 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 9,187,965
2016-11-08 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 6,366,122
2016-11-08 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 2,554,644 2,971,258
2016-10-11 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 9,173,229
2016-10-11 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 5,808,550
2016-10-11 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 2,042,332
2016-10-11 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 1,541,361 2,554,644
2016-09-12 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 2,032,179
2016-09-12 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 9,149,953
2016-09-12 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 5,698,507
2016-09-12 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 1,498,301 1,541,361
2016-08-10 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 8,862,882
2016-08-10 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 1,992,816
2016-08-10 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 744,963 1,498,301
2016-07-11 13G/A AGGE / IQ Enhanced Core Bond U.S. ETF 1,578,015
2016-07-11 13G/A US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 5,563,144
2016-07-11 13G/A 45409B552 / IQ 50 Percent Hedged FTSE Europe ETF 0
2016-07-11 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 4,492,887
2016-07-11 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 714,504 744,963
2016-06-10 13G US45409B4793 / IQ Enhanced Core Plus Bond U.S. ETF 1,477,495
2016-06-10 13G AGGE / IQ Enhanced Core Bond U.S. ETF 730,508
2016-06-10 13G/A 45409B552 / IQ 50 Percent Hedged FTSE Europe ETF 2,254,879
2016-06-10 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 3,068,001
2016-06-10 13G/A GRES / IndexIQ ETF Trust - IQ Global Resources ETF 484,486 714,504
2016-05-10 13G HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 1,586,640
2016-05-10 13G 45409B552 / IQ 50 Percent Hedged FTSE Europe ETF 1,060,527
2016-05-10 13G GRES / IndexIQ ETF Trust - IQ Global Resources ETF 484,486
2016-01-08 13G/A 45409B552 / IQ 50 Percent Hedged FTSE Europe ETF 0
2016-01-08 13G/A 45409B537 / IQ 50 Percent Hedged FTSE Japan ETF 0
2015-12-10 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 0
2015-12-10 13G/A QED / IndexIQ ETF Trust - IQ Hedge Event-Driven Tracker ETF 0
2015-12-10 13G/A 45409B537 / IQ 50 Percent Hedged FTSE Japan ETF 394,000
2015-12-10 13G/A MNA / New York Life Investments ETF Trust - NYLI Merger Arbitrage ETF 0
2015-12-10 13G/A 45409B552 / IQ 50 Percent Hedged FTSE Europe ETF 599,000
2015-12-10 13G/A BJK / VanEck ETF Trust - VanEck Gaming ETF 324,698 70,805
2015-12-10 13G/A QLS / IndexIQ ETF Trust - IQ Hedge Long/Short Tracker ETF 80,000 0
2015-11-10 13G/A 45409B537 / IQ 50 Percent Hedged FTSE Japan ETF 1,302,200
2015-11-10 13G/A MNA / New York Life Investments ETF Trust - NYLI Merger Arbitrage ETF 567,655
2015-11-10 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 1,309,400
2015-11-10 13G/A 45409B552 / IQ 50 Percent Hedged FTSE Europe ETF 1,310,400
2015-11-10 13G QED / IndexIQ ETF Trust - IQ Hedge Event-Driven Tracker ETF 80,000
2015-11-10 13G/A BJK / VanEck ETF Trust - VanEck Gaming ETF 326,189 324,698
2015-11-10 13G QLS / IndexIQ ETF Trust - IQ Hedge Long/Short Tracker ETF 80,000
2015-10-09 13G/A 45409B537 / IQ 50 Percent Hedged FTSE Japan ETF 1,290,800
2015-10-09 13G/A 45409B552 / IQ 50 Percent Hedged FTSE Europe ETF 1,299,100
2015-10-09 13G/A MNA / New York Life Investments ETF Trust - NYLI Merger Arbitrage ETF 567,655
2015-10-09 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 1,298,100
2015-10-09 13G/A BJK / VanEck ETF Trust - VanEck Gaming ETF 329,305 326,189
2015-09-10 13G/A MNA / New York Life Investments ETF Trust - NYLI Merger Arbitrage ETF 567,655
2015-09-10 13G/A 45409B552 / IQ 50 Percent Hedged FTSE Europe ETF 904,000
2015-09-10 13G/A HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 901,500
2015-09-10 13G/A 45409B537 / IQ 50 Percent Hedged FTSE Japan ETF 891,900
2015-09-10 13G/A BJK / VanEck ETF Trust - VanEck Gaming ETF 299,338 329,305
2015-08-10 13G 45409B552 / IQ 50 Percent Hedged FTSE Europe ETF 711,400
2015-08-10 13G 45409B537 / IQ 50 Percent Hedged FTSE Japan ETF 726,900
2015-08-10 13G HFXI / New York Life Investments ETF Trust - NYLI FTSE International Equity Currency Neutral ETF 734,600
2015-08-10 13G/A GSY / Invesco Actively Managed Exchange-Traded Fund Trust - Invesco Ultra Short Duration ETF 67,074
2015-08-10 13G/A MNA / New York Life Investments ETF Trust - NYLI Merger Arbitrage ETF 567,655
2015-08-10 13G/A BJK / VanEck ETF Trust - VanEck Gaming ETF 294,118 299,338
2015-07-10 13G/A MNA / New York Life Investments ETF Trust - NYLI Merger Arbitrage ETF 567,655
2015-07-10 13G/A GSY / Invesco Actively Managed Exchange-Traded Fund Trust - Invesco Ultra Short Duration ETF 565,814
2015-07-10 13G/A BJK / VanEck ETF Trust - VanEck Gaming ETF 289,963 294,118
2015-06-10 13G/A GSY / Invesco Actively Managed Exchange-Traded Fund Trust - Invesco Ultra Short Duration ETF 642,722
2015-06-10 13G/A MNA / New York Life Investments ETF Trust - NYLI Merger Arbitrage ETF 567,655
2015-06-10 13G/A BJK / VanEck ETF Trust - VanEck Gaming ETF 292,691 289,963
2015-05-08 13G/A MNA / New York Life Investments ETF Trust - NYLI Merger Arbitrage ETF 567,655
2015-05-08 13G/A GSY / Invesco Actively Managed Exchange-Traded Fund Trust - Invesco Ultra Short Duration ETF 659,122
2015-05-08 13G/A BJK / VanEck ETF Trust - VanEck Gaming ETF 316,456 292,691
2015-04-10 13G/A GSY / Invesco Actively Managed Exchange-Traded Fund Trust - Invesco Ultra Short Duration ETF 659,122
2015-04-10 13G/A MNA / New York Life Investments ETF Trust - NYLI Merger Arbitrage ETF 567,655
2015-04-10 13G/A BJK / VanEck ETF Trust - VanEck Gaming ETF 303,832 316,456
2015-03-10 13G/A GSY / Invesco Actively Managed Exchange-Traded Fund Trust - Invesco Ultra Short Duration ETF 659,122
2015-03-10 13G/A MNA / New York Life Investments ETF Trust - NYLI Merger Arbitrage ETF 567,655
2015-03-10 13G/A BJK / VanEck ETF Trust - VanEck Gaming ETF 303,832
2015-02-11 13G/A GSY / Invesco Actively Managed Exchange-Traded Fund Trust - Invesco Ultra Short Duration ETF 659,122
2015-02-11 13G/A BJK / VanEck ETF Trust - VanEck Gaming ETF 301,223
2015-02-11 13G/A MNA / New York Life Investments ETF Trust - NYLI Merger Arbitrage ETF 379,107
2015-01-12 13G BJK / VanEck ETF Trust - VanEck Gaming ETF 300,069
2015-01-12 13G GSY / Invesco Actively Managed Exchange-Traded Fund Trust - Invesco Ultra Short Duration ETF 659,122
2015-01-12 13G/A MNA / New York Life Investments ETF Trust - NYLI Merger Arbitrage ETF 379,107
2014-12-10 13G/A MNA / New York Life Investments ETF Trust - NYLI Merger Arbitrage ETF 379,107
2014-11-10 13G/A MNA / New York Life Investments ETF Trust - NYLI Merger Arbitrage ETF 379,107
2014-11-10 13G/A CARZ / First Trust Exchange-Traded Fund II - First Trust S-Network Future Vehicles & Technology ETF 0
2014-10-09 13G/A MNA / New York Life Investments ETF Trust - NYLI Merger Arbitrage ETF 379,107
2014-10-09 13G/A CARZ / First Trust Exchange-Traded Fund II - First Trust S-Network Future Vehicles & Technology ETF 289,545
2014-09-10 13G/A CARZ / First Trust Exchange-Traded Fund II - First Trust S-Network Future Vehicles & Technology ETF 289,545
2014-09-10 13G/A MNA / New York Life Investments ETF Trust - NYLI Merger Arbitrage ETF 379,107
2014-09-10 13G/A ALRCX / ALPS/Alerian MLP Infras Index C 0
2014-08-07 13G/A CARZ / First Trust Exchange-Traded Fund II - First Trust S-Network Future Vehicles & Technology ETF 289,545
2014-08-07 13G/A ALRCX / ALPS/Alerian MLP Infras Index C 135,574
2014-08-07 13G MNA / New York Life Investments ETF Trust - NYLI Merger Arbitrage ETF 379,107
2014-07-14 13G/A CARZ / First Trust Exchange-Traded Fund II - First Trust S-Network Future Vehicles & Technology ETF 280,325
2014-07-14 13G/A ALRCX / ALPS/Alerian MLP Infras Index C 535,574
2014-06-13 13G/A CARZ / First Trust Exchange-Traded Fund II - First Trust S-Network Future Vehicles & Technology ETF 276,759
2014-05-14 13G/A CARZ / First Trust Exchange-Traded Fund II - First Trust S-Network Future Vehicles & Technology ETF 267,411
2014-05-14 13G/A ALRCX / ALPS/Alerian MLP Infras Index C 535,574
2014-04-16 13G/A CARZ / First Trust Exchange-Traded Fund II - First Trust S-Network Future Vehicles & Technology ETF 228,291
2014-04-16 13G/A ALRCX / ALPS/Alerian MLP Infras Index C 340,899
2014-03-14 13G/A ALRCX / ALPS/Alerian MLP Infras Index C 249,499
2014-02-14 13G CARZ / First Trust Exchange-Traded Fund II - First Trust S-Network Future Vehicles & Technology ETF 198,259
2014-02-14 13G/A ALRCX / ALPS/Alerian MLP Infras Index C 249,499
2014-01-10 13G ALRCX / ALPS/Alerian MLP Infras Index C 149,499