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)).

 

(b) 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.

 

 

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)* /s/ Adam S. Patti
  Adam S. Patti
  (Principal Executive Officer)

 

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)* /s/ Adam S. Patti  
  Adam S. Patti  
  (Principal Executive Officer)  

 

Date 9/16/13

 

 

By (Signature and Title)* /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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