As filed with the U.S. Securities and Exchange Commission on July 27, 2021
File Nos. 333-92935 and 811-09729
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-1A
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933 | ☒ | |||
Post-Effective Amendment No. 2,484 | ☒ |
and/or
REGISTRATION STATEMENT
UNDER
THE INVESTMENT COMPANY ACT OF 1940 | ☒ | |||
Amendment No. 2,484 | ☒ |
(Check appropriate box or boxes)
iShares Trust
(Exact Name of Registrant as Specified in Charter)
c/o State Street Bank and Trust Company
1 Lincoln Street
Mail Stop SFC0805
Boston, MA 02111
(Address of Principal Executive Office)(Zip Code)
Registrants Telephone Number, including Area Code: (415) 670-2000
The Corporation Trust Company
1209 Orange Street
Wilmington, DE 19801
(Name and Address of Agent for Service)
With Copies to:
MARGERY K. NEALE, ESQ. WILLKIE FARR & GALLAGHER LLP 787 SEVENTH AVENUE NEW YORK, NY 10019-6099 |
DEEPA DAMRE SMITH, ESQ. BLACKROCK FUND ADVISORS 400 HOWARD STREET SAN FRANCISCO, CA 94105 |
It is proposed that this filing will become effective (check appropriate box):
☐ |
Immediately upon filing pursuant to paragraph (b) |
☐ |
On (date) pursuant to paragraph (b) |
☐ |
60 days after filing pursuant to paragraph (a)(1) |
☒ |
On July 30, 2021 pursuant to paragraph (a)(1) |
☐ |
75 days after filing pursuant to paragraph (a)(2) |
☐ |
On (date) pursuant to paragraph (a)(2) |
If appropriate, check the following box:
☐ |
This post-effective amendment designates a new effective date for a previously filed post-effective amendment. |
July 30, 2021 | |
2021 Prospectus |
• |
iShares U.S.
Telecommunications ETF | IYZ | CBOE BZX
|
Ticker: IYZ | Stock Exchange: Cboe BZX |
1 | The amount rounded to 0.00%. |
1 Year | 3 Years | 5 Years | 10 Years | |||
$43 | $135 | $235 | $530 |
1 | The Fund’s year-to-date return as of June 30, 2021 was 11.40%. |
One Year | Five Years | Ten Years | |||
(Inception Date: 5/22/2000) | |||||
Return Before Taxes | 4.08% | 3.63% | 5.28% | ||
Return After Taxes on Distributions1 | 3.36% | 2.89% | 4.65% | ||
Return After Taxes on Distributions and Sale of Fund Shares1 | 2.81% | 2.67% | 4.13% | ||
Dow Jones U.S. Select Telecommunications Index (Index returns do not reflect deductions for fees, expenses, or taxes) | 4.33% | 3.74% | 5.50% | ||
Russell 1000 Telecommunications RIC 22.5/45 Capped Index2 (Index returns do not reflect deductions for fees, expenses, or taxes) | N/A | N/A | N/A |
1 | After-tax returns in the table above are calculated using the historical highest individual U.S. federal marginal income tax rates and do not reflect the impact of state or local taxes. Actual after-tax returns depend on an investor’s tax situation and may differ from those shown, and after-tax returns shown are not relevant to tax-exempt investors or investors who hold shares through tax-deferred arrangements, such as 401(k) plans or individual retirement accounts (“IRAs”). Fund returns after taxes on distributions and sales of Fund shares are calculated assuming that an investor has sufficient capital gains of the same character from other investments to offset any capital losses from the sale of Fund shares. As a result, Fund returns after taxes on distributions and sales of Fund shares may exceed Fund returns before taxes and/or returns after taxes on distributions. |
2 | Effective September 20, 2021, the Fund’s Underlying Index will change from the Dow Jones U.S. Select Telecommunications Index to the Russell 1000 Telecommunications RIC 22.5/45 Capped Index. The inception date of the Russell 1000 Telecommunications RIC 22.5/45 Capped Index is July 9. |
■ | General Impact. This outbreak has resulted in travel restrictions, closed international borders, enhanced health screenings at ports of entry and elsewhere, disruption of, and delays in, healthcare service preparation and delivery, prolonged quarantines, cancellations, supply chain disruptions, lower consumer demand, temporary and permanent closures of stores, restaurants and other commercial establishments, layoffs, defaults and other significant economic impacts, as well as general concern and uncertainty. |
■ | Market Volatility. The outbreak has also resulted in extreme volatility, severe losses, and disruptions in markets which can adversely impact the Fund and its investments, including impairing hedging activity to the extent a Fund engages in such activity, as expected correlations between related markets or instruments may no longer apply. In addition, to the extent the Fund invests in short-term instruments that have negative yields, the Fund’s value may be impaired as a result. Certain |
issuers of equity securities have cancelled or announced the suspension of dividends. The outbreak has, and may continue to, negatively affect the credit ratings of some fixed-income securities and their issuers. | |
■ | Market Closures. Certain local markets have been or may be subject to closures, and there can be no assurance that trading will continue in any local markets in which the Fund may invest, when any resumption of trading will occur or, once such markets resume trading, whether they will face further closures. Any suspension of trading in markets in which the Fund invests will have an impact on the Fund and its investments and will impact the Fund’s ability to purchase or sell securities in such markets. |
■ | Operational Risk. The outbreak could also impair the information technology and other operational systems upon which the Fund’s service providers, including BFA, rely, and could otherwise disrupt the ability of employees of the Fund’s service providers to perform critical tasks relating to the Fund, for example, due to the service providers’ employees performing tasks in alternate locations than under normal operating conditions or the illness of certain employees of the Fund’s service providers. |
■ | Governmental Interventions. Governmental and quasi-governmental authorities and regulators throughout the world have responded to the outbreak and the resulting economic disruptions with a variety of fiscal and monetary policy changes, including direct capital infusions into companies and other issuers, new monetary policy tools, and lower interest rates. An unexpected or sudden reversal of these policies, or the ineffectiveness of such policies, is likely to increase market volatility, which could adversely affect the Fund’s investments. |
■ | Pre-Existing Conditions. Public health crises caused by the outbreak may exacerbate other pre-existing political, social and economic risks in certain countries or globally, which could adversely affect the Fund and its investments and could result in increased premiums or discounts to the Fund's NAV. |
iShares U.S. Telecommunications ETF | |||||||||
Year
Ended
03/31/21 |
Year
Ended
03/31/20 |
Year
Ended
03/31/19 |
Year
Ended
03/31/18 |
Year
Ended
03/31/17 |
|||||
Net asset value, beginning of year | $ 24.88 | $ 29.73 | $ 27.06 | $ 32.38 | $ 30.71 | ||||
Net investment income(a) | 0.82 | 0.71 | 0.49 | 0.74 | 0.66 | ||||
Net realized and unrealized gain (loss)(b) | 7.50 | (4.80) | 2.71 | (5.08) | 1.87 | ||||
Net increase (decrease) from investment operations | 8.32 | (4.09) | 3.20 | (4.34) | 2.53 | ||||
Distributions (c) | |||||||||
From net investment income | (0.81) | (0.76) | (0.53) | (0.98) | (0.86) | ||||
Total distributions | (0.81) | (0.76) | (0.53) | (0.98) | (0.86) | ||||
Net asset value, end of year | $ 32.39 | $ 24.88 | $ 29.73 | $ 27.06 | $ 32.38 | ||||
Total Return | |||||||||
Based on net asset value | 33.82% | (13.99)% | 11.91% | (13.63)% | 8.25% | ||||
Ratios to Average Net Assets | |||||||||
Total expenses | 0.42% | 0.42% | 0.42% | 0.43% | 0.44% | ||||
Net investment income | 2.82% | 2.40% | 1.73% | 2.41% | 2.02% | ||||
Supplemental Data | |||||||||
Net assets, end of year (000) | $425,882 | $292,379 | $463,756 | $316,596 | $519,768 | ||||
Portfolio turnover rate(d) | 40% | 41% | 35% | 86% | 47% | ||||
(a) Based on average shares outstanding. |
|||||||||
(b) The amounts reported for a share outstanding may not accord with the change in aggregate gains and losses in securities for the fiscal period due to the timing of capital share transactions in relation to the fluctuating market values of the Fund’s underlying securities. | |||||||||
(c) Distributions for annual periods determined in accordance with U.S. federal income tax regulations. | |||||||||
(d) Portfolio turnover rate excludes in-kind transactions. |
Call: |
1-800-iShares
or 1-800-474-2737 (toll free)
Monday through Friday, 8:30 a.m. to 6:30 p.m. (Eastern time) |
Email: | iSharesETFs@blackrock.com |
Write: |
c/o
BlackRock Investments, LLC
1 University Square Drive, Princeton, NJ 08540 |
Fund | Ticker | Listing Exchange | ||
iShares Biotechnology ETF | IBB | Nasdaq | ||
iShares Core S&P 500 ETF | IVV | NYSE Arca | ||
iShares Core S&P Mid-Cap ETF | IJH | NYSE Arca | ||
iShares Core S&P Small-Cap ETF | IJR | NYSE Arca | ||
iShares Core S&P Total U.S. Stock Market ETF | ITOT | NYSE Arca | ||
iShares Core S&P U.S. Growth ETF | IUSG | Nasdaq | ||
iShares Core S&P U.S. Value ETF | IUSV | Nasdaq | ||
iShares ESG Screened S&P 500 ETF | XVV | Cboe BZX | ||
iShares ESG Screened S&P Mid-Cap ETF | XJH | Cboe BZX | ||
iShares ESG Screened S&P Small-Cap ETF | XJR | Cboe BZX | ||
iShares Europe ETF | IEV | NYSE Arca | ||
iShares Expanded Tech Sector ETF | IGM | NYSE Arca | ||
iShares Expanded Tech-Software Sector ETF | IGV | Cboe BZX | ||
iShares Factors US Blend Style ETF | STLC | Cboe BZX | ||
iShares Factors US Growth Style ETF | STLG | Cboe BZX | ||
iShares Factors US Mid Blend Style ETF | STMB | Cboe BZX | ||
iShares Factors US Small Blend Style ETF | STSB | Cboe BZX | ||
iShares Factors US Value Style ETF | STLV | Cboe BZX | ||
iShares Focused Value Factor ETF | FOVL | NYSE Arca | ||
iShares Global Consumer Staples ETF | KXI | NYSE Arca | ||
iShares Global Energy ETF | IXC | NYSE Arca | ||
iShares Global Financials ETF | IXG | NYSE Arca | ||
iShares Global Industrials ETF | EXI | NYSE Arca | ||
iShares Global Infrastructure ETF | IGF | Nasdaq | ||
iShares Global Utilities ETF | JXI | NYSE Arca | ||
iShares International Developed Property ETF | WPS | NYSE Arca | ||
iShares International Developed Small Cap Value Factor ETF | ISVL | Cboe BZX | ||
iShares International Preferred Stock ETF | IPFF | Cboe BZX | ||
iShares JPX-Nikkei 400 ETF | JPXN | NYSE Arca | ||
iShares Micro-Cap ETF | IWC | NYSE Arca | ||
iShares Mortgage Real Estate ETF | REM | Cboe BZX | ||
iShares North American Natural Resources ETF | IGE | Cboe BZX | ||
iShares North American Tech-Multimedia Networking ETF | IGN | NYSE Arca | ||
iShares Preferred and Income Securities ETF | PFF | Nasdaq | ||
iShares Residential and Multisector Real Estate ETF | REZ | NYSE Arca | ||
iShares Russell 1000 ETF | IWB | NYSE Arca | ||
iShares Russell 1000 Growth ETF | IWF | NYSE Arca | ||
iShares Russell 1000 Pure U.S. Revenue ETF | AMCA | Nasdaq | ||
iShares Russell 1000 Value ETF | IWD | NYSE Arca | ||
iShares Russell 2000 ETF | IWM | NYSE Arca | ||
iShares Russell 2000 Growth ETF | IWO | NYSE Arca | ||
iShares Russell 2000 Value ETF | IWN | NYSE Arca | ||
iShares Russell 3000 ETF | IWV | NYSE Arca |
Fund | Ticker | Listing Exchange | ||
iShares Russell Mid-Cap ETF | IWR | NYSE Arca | ||
iShares Russell Mid-Cap Growth ETF | IWP | NYSE Arca | ||
iShares Russell Mid-Cap Value ETF | IWS | NYSE Arca | ||
iShares Russell Top 200 ETF | IWL | NYSE Arca | ||
iShares Russell Top 200 Growth ETF | IWY | NYSE Arca | ||
iShares Russell Top 200 Value ETF | IWX | NYSE Arca | ||
iShares S&P 100 ETF | OEF | NYSE Arca | ||
iShares S&P 500 Growth ETF | IVW | NYSE Arca | ||
iShares S&P 500 Value ETF | IVE | NYSE Arca | ||
iShares S&P Mid-Cap 400 Growth ETF | IJK | NYSE Arca | ||
iShares S&P Mid-Cap 400 Value ETF | IJJ | NYSE Arca | ||
iShares S&P Small-Cap 600 Growth ETF | IJT | Nasdaq | ||
iShares S&P Small-Cap 600 Value ETF | IJS | NYSE Arca | ||
iShares Semiconductor ETF | SOXX | Nasdaq | ||
iShares U.S. Aerospace & Defense ETF | ITA | Cboe BZX | ||
iShares U.S. Broker-Dealers & Securities Exchanges ETF | IAI | NYSE Arca | ||
iShares U.S. Healthcare Providers ETF | IHF | NYSE Arca | ||
iShares U.S. Home Construction ETF | ITB | Cboe BZX | ||
iShares U.S. Infrastructure ETF | IFRA | Cboe BZX | ||
iShares U.S. Insurance ETF | IAK | NYSE Arca | ||
iShares U.S. Medical Devices ETF | IHI | NYSE Arca | ||
iShares U.S. Oil & Gas Exploration & Production ETF | IEO | Cboe BZX | ||
iShares U.S. Oil Equipment & Services ETF | IEZ | NYSE Arca | ||
iShares U.S. Pharmaceuticals ETF | IHE | NYSE Arca | ||
iShares U.S. Real Estate ETF | IYR | NYSE Arca | ||
iShares U.S. Regional Banks ETF | IAT | NYSE Arca | ||
iShares U.S. Telecommunications ETF | IYZ | Cboe BZX | ||
iShares US Small Cap Value Factor ETF | SVAL | Cboe BZX |
• | iShares Biotechnology ETF1 |
• | iShares Core S&P 500 ETF |
• | iShares Core S&P Mid-Cap ETF |
• | iShares Core S&P Small-Cap ETF |
• | iShares Core S&P Total U.S. Stock Market ETF |
• | iShares Core S&P U.S. Growth ETF |
• | iShares Core S&P U.S. Value ETF |
• | iShares ESG Screened S&P 500 ETF |
• | iShares ESG Screened S&P Mid-Cap ETF |
• | iShares ESG Screened S&P Small-Cap ETF |
• | iShares Europe ETF |
• | iShares Expanded Tech Sector ETF |
• | iShares Expanded Tech-Software Sector ETF |
• | iShares Factors US Blend Style ETF |
• | iShares Factors US Growth Style ETF |
• | iShares Factors US Mid Blend Style ETF |
• | iShares Factors US Small Blend Style ETF |
• | iShares Factors US Value Style ETF |
• | iShares Focused Value Factor ETF |
• | iShares Global Consumer Staples ETF |
• | iShares Global Energy ETF |
• | iShares Global Financials ETF |
• | iShares Global Industrials ETF |
• | iShares Global Infrastructure ETF |
• | iShares Global Utilities ETF2 |
• | iShares International Developed Property ETF |
• | iShares International Developed Small Cap Value Factor ETF |
• | iShares International Preferred Stock ETF |
• | iShares JPX-Nikkei 400 ETF |
• | iShares Micro-Cap ETF |
• | iShares Mortgage Real Estate ETF |
• | iShares North American Natural Resources ETF |
• | iShares North American Tech-Multimedia Networking ETF |
• | iShares Preferred and Income Securities ETF |
• | iShares Residential and Multisector Real Estate ETF3 |
• | iShares Russell 1000 ETF |
• | iShares Russell 1000 Growth ETF |
• | iShares Russell 1000 Pure U.S. Revenue ETF |
• | iShares Russell 1000 Value ETF |
• | iShares Russell 2000 ETF |
• | iShares Russell 2000 Growth ETF |
• | iShares Russell 2000 Value ETF |
• | iShares Russell 3000 ETF |
• | iShares Russell Mid-Cap ETF |
• | iShares Russell Mid-Cap Growth ETF |
• | iShares Russell Mid-Cap Value ETF |
• | iShares Russell Top 200 ETF |
• | iShares Russell Top 200 Growth ETF |
• | iShares Russell Top 200 Value ETF |
• | iShares S&P 100 ETF |
• | iShares S&P 500 Growth ETF |
• | iShares S&P 500 Value ETF |
• | iShares S&P Mid-Cap 400 Growth ETF |
• | iShares S&P Mid-Cap 400 Value ETF |
• | iShares S&P Small-Cap 600 Growth ETF |
• | iShares S&P Small-Cap 600 Value ETF |
• | iShares Semiconductor ETF4 |
• | iShares U.S. Aerospace & Defense ETF |
• | iShares U.S. Broker-Dealers & Securities Exchanges ETF |
• | iShares U.S. Healthcare Providers ETF |
• | iShares U.S. Home Construction ETF |
• | iShares U.S. Infrastructure ETF |
• | iShares U.S. Insurance ETF |
• | iShares U.S. Medical Devices ETF |
• | iShares U.S. Oil & Gas Exploration & Production ETF |
• | iShares U.S. Oil Equipment & Services ETF |
• | iShares U.S. Pharmaceuticals ETF |
• | iShares U.S. Real Estate ETF5 |
• | iShares U.S. Regional Banks ETF |
• | iShares U.S. Telecommunications ETF6 |
• | iShares US Small Cap Value Factor ETF |
1 | On June 21, 2021, the Fund’s Underlying Index changed from the NASDAQ Biotechnology Index to the ICE Biotechnology Index. On June 21, 2021, the name of the Fund changed from the iShares NASDAQ Biotechnology ETF to the iShares Biotechnology ETF. |
2 | On May 3, 2021, the Fund’s Underlying Index changed from the S&P Global 1200 Utilities Index to the S&P Global 1200 Utilities (Sector) Capped Index. |
3 | On September 18, 2020, the name of the Fund changed from the iShares Residential Real Estate ETF to the iShares Residential and Multisector Real Estate ETF. |
4 | On June 21, 2021, the Fund’s Underlying Index changed from the PHLX Semiconductor Sector Index to the ICE Semiconductor Index. On June 21, 2021, the name of the Fund changed from the iShares PHLX Semiconductor ETF to the iShares Semiconductor ETF. |
5 | On January 25, 2021, the Fund’s Underlying Index changed from the Dow Jones U.S. Real Estate Index to the Dow Jones U.S. Real Estate Capped Index. |
6 | On September 20, 2021, the Fund’s Underlying Index will change from the Dow Jones U.S. Select Telecommunications Index to the Russell 1000 Telecommunications RIC 22.5/45 Capped Index. |
Diversified Funds | Non-Diversified Funds | |
iShares Core S&P 500 ETF | iShares Biotechnology ETF | |
iShares Core S&P Mid-Cap ETF | iShares ESG Screened S&P 500 ETF | |
iShares Core S&P Small-Cap ETF | iShares ESG Screened S&P Mid-Cap ETF | |
iShares Core S&P Total U.S. Stock Market ETF | iShares ESG Screened S&P Small-Cap ETF | |
iShares Core S&P U.S. Growth ETF* | iShares Expanded Tech Sector ETF | |
iShares Core S&P U.S. Value ETF | iShares Expanded Tech-Software Sector ETF | |
iShares Europe ETF | iShares Factors US Blend Style ETF | |
iShares Global Consumer Staples ETF | iShares Factors US Growth Style ETF | |
iShares Global Financials ETF | iShares Factors US Mid Blend Style ETF | |
iShares Global Industrials ETF | iShares Factors US Small Blend Style ETF | |
iShares Global Infrastructure ETF | iShares Factors US Value Style ETF | |
iShares Global Utilities ETF | iShares Focused Value Factor ETF | |
iShares International Developed Property ETF | iShares Global Energy ETF | |
iShares JPX-Nikkei 400 ETF | iShares International Developed Small Cap Value Factor ETF | |
iShares Micro-Cap ETF | iShares International Preferred Stock ETF | |
iShares North American Natural Resources ETF | iShares Mortgage Real Estate ETF | |
iShares Preferred and Income Securities ETF | iShares North American Tech-Multimedia Networking ETF | |
iShares Russell 1000 ETF | iShares Residential and Multisector Real Estate ETF | |
iShares Russell 1000 Growth ETF* | iShares Semiconductor ETF | |
iShares Russell 1000 Pure U.S. Revenue ETF | iShares U.S. Aerospace & Defense ETF | |
iShares Russell 1000 Value ETF | iShares U.S. Broker-Dealers & Securities Exchanges ETF | |
iShares Russell 2000 ETF | iShares U.S. Healthcare Providers ETF | |
iShares Russell 2000 Growth ETF | iShares U.S. Home Construction ETF | |
iShares Russell 2000 Value ETF | iShares U.S. Insurance ETF | |
iShares Russell 3000 ETF | iShares U.S. Medical Devices ETF | |
iShares Russell Mid-Cap ETF | iShares U.S. Oil & Gas Exploration & Production ETF |
Diversified Funds | Non-Diversified Funds | |
iShares Russell Mid-Cap Growth ETF | iShares U.S. Oil Equipment & Services ETF | |
iShares Russell Mid-Cap Value ETF | iShares U.S. Pharmaceuticals ETF | |
iShares Russell Top 200 ETF | iShares U.S. Regional Banks ETF | |
iShares Russell Top 200 Growth ETF* | iShares U.S. Telecommunications ETF | |
iShares Russell Top 200 Value ETF | ||
iShares S&P 100 ETF* | ||
iShares S&P 500 Growth ETF* | ||
iShares S&P 500 Value ETF | ||
iShares S&P Mid-Cap 400 Growth ETF | ||
iShares S&P Mid-Cap 400 Value ETF | ||
iShares S&P Small-Cap 600 Growth ETF | ||
iShares S&P Small-Cap 600 Value ETF | ||
iShares U.S. Infrastructure ETF | ||
iShares U.S. Real Estate ETF | ||
iShares US Small Cap Value Factor ETF |
* | The iShares Core S&P U.S. Growth ETF, iShares Russell 1000 Growth ETF, iShares Russell Top 200 Growth ETF, iShares S&P 100 ETF and iShares S&P 500 Growth ETF intend to be diversified in approximately the same proportion as their Underlying Indexes are diversified. The iShares Core S&P U.S. Growth ETF, iShares Russell 1000 Growth ETF, iShares Russell Top 200 Growth ETF, iShares S&P 100 ETF and iShares S&P 500 Growth ETF may become non-diversified, as defined in the 1940 Act, solely as a result of a change in relative market capitalization or index weighting of one or more constituents of their Underlying Indexes. Shareholder approval will not be sought if the iShares Core S&P U.S. Growth ETF, iShares Russell 1000 Growth ETF, iShares Russell Top 200 Growth ETF, iShares S&P 100 ETF or iShares S&P 500 Growth ETF crosses from diversified to non-diversified status due solely to a change in its relative market capitalization or index weighting of one or more constituents of its Underlying Index. The Funds disclose their portfolio holdings and weightings at www.iShares.com. |
• | Communications of Data Files: A Fund may make available through the facilities of the National Securities Clearing Corporation (“NSCC”) or through posting on the www.iShares.com, prior to the opening of trading on each business day, a list of a Fund’s holdings (generally pro-rata) that Authorized Participants could deliver to a Fund to settle purchases of a Fund (i.e. Deposit Securities) or that Authorized Participants would receive from a Fund to settle redemptions of a Fund (i.e. Fund Securities). These files are known as the Portfolio Composition File and the Fund Data File (collectively, “Files”). The Files are applicable for the next trading day and are provided to the NSCC and/or posted on www.iShares.com after the close of markets in the U.S. |
• | Communications with Authorized Participants and Liquidity Providers: Certain employees of BFA are responsible for interacting with Authorized Participants and liquidity providers with respect to discussing custom basket proposals as described in the Custom Baskets section of this SAI. As part of these discussions, these employees may discuss with an Authorized Participant or liquidity provider the securities a Fund is willing to accept for a creation, and securities that a Fund will provide on a redemption. |
• | Communications with Listing Exchanges: From time to time, employees of BFA may discuss portfolio holdings information with the applicable primary listing exchange for a Fund as needed to meet the exchange listing standards. |
• | Communications with Other Portfolio Managers: Certain information may be provided to employees of BFA who manage funds that invest a significant percentage of their assets in shares of an underlying fund as necessary to manage the fund’s investment objective and strategy. |
• | Communication of Other Information: Certain explanatory information regarding the Files is released to Authorized Participants and liquidity providers on a daily basis, but is only done so after the Files are posted to www.iShares.com. |
• | Third-Party Service Providers: Certain portfolio holdings information may be disclosed to Fund Trustees and their counsel, outside counsel for the Funds, auditors and to certain third-party service providers (i.e., fund administrator, custodian, proxy voting service) for which a non-disclosure, confidentiality agreement or other obligation is in place with such service providers, as may be necessary to conduct business in the ordinary course in a manner consistent with applicable policies, agreements with the Funds, the terms of the current registration statements and federal securities laws and regulations thereunder. |
• | Liquidity Metrics: “Liquidity Metrics,” which seek to ascertain a Fund’s liquidity profile under BlackRock’s global liquidity risk methodology, include but are not limited to: (a) disclosure regarding the number of days needed to liquidate a portfolio or the portfolio’s underlying investments; and (b) the percentage of a Fund’s NAV invested in a particular liquidity tier under BlackRock’s global liquidity risk methodology. The dissemination of position-level liquidity metrics data and any non-public regulatory data pursuant to the Liquidity Rule (including SEC liquidity tiering) is not permitted unless pre-approved. Disclosure of portfolio-level liquidity metrics prior to 60 calendar days after calendar quarter-end requires a non-disclosure or confidentiality agreement and approval of the Trust’s Chief Compliance Officer. Portfolio-level liquidity metrics disclosure subsequent to 60 calendar days after calendar quarter-end requires the approval of portfolio management and must be disclosed to all parties requesting the information if disclosed to any party. |
• | no single Underlying Index component may have a weight greater than 22.5% of the Index; and |
• | the sum of the weights of the Index components that are individually greater than 4.5% may not be greater than 45% of the Index. |
• | Underlying Index eligibility is limited to common stocks traded primarily on the New York Stock Exchange (“NYSE”), NYSE American and NASDAQ, excluding master limited partnerships (MLPs), royalty trusts, business development companies (BDCs), and American depository receipts (ADRs). |
• | Initial Public Offering (“IPO”) securities that have been trading for less than 3 months prior to the reconstitution day are excluded. |
• | The securities must have a minimum float-adjusted market capitalization of U.S. $300 million or greater, and three-month Average Daily Trading Value (“ADTV”) of U.S. $1 million or greater on selection day. |
• | The securities must be classified as having a focus (deriving 50% or more revenues) in one of the 95 infrastructure-related industries as defined by RBICS in either Category 1 or 2, where Category 1 companies are infrastructure enablers and Category 2 companies are infrastructure asset owners and operators. |
• | An eligible company must derive 50% or more of its annual revenues from the U.S. to be included in the Underlying Index. |
• | If a company has multiple share classes, only the most liquid issue based on the highest three-month ADTV on selection day will be included. |
• | stocks must trade at or above $1.00 on the last business day of August to be eligible for inclusion. If a stock in the index has a price lower than $1, it can remain in the index if the average price for the month is greater than $1; |
• | for ranking and membership determination, all common share classes for a single company are combined to determine total market capitalization; |
• | in cases where there are multiple common stock share classes and the share classes act independently of each other, each class is considered for inclusion separately; and |
• | also excluded are preferred and convertible preferred stock, participating preferred stock, redeemable shares, warrants and rights, trust receipts, royalty trusts, limited liability issuers, OTC bulletin boards and pink sheet stocks, mutual funds, limited partnerships, and foreign stocks. |
• | The Underlying Index’s Composite Score is less than 80% of the Target Index’s Composite Score. |
• | The Underlying Index has fewer than 40 securities. |
• | The Underlying Index includes a security with weight greater than 20% of the Underlying Index. |
• | The largest 5 securities by weight in the Underlying Index have a weight that is greater than 50% of the Underlying Index. |
• | If a company has issued multiple lines of equity capital, only one eligible line is included. The eligible line is the line with the highest 252 days ADDTV. A minimum of 200 days of daily observations are required to calculate ADDTV. If a line has missing ADDTV, the line is excluded. If all lines have no ADDTV, the line with the highest free float market cap is selected. |
• | Securities ranked within the top 10% highest risk or with missing data are excluded. Risk is defined as the 1 year trailing realized volatility of daily total returns. A minimum of 200 days of daily return observations are required to calculate volatility. |
• | Securities ranked within the top 10% highest leverage or with missing data are excluded. Leverage is defined as total debt to total assets sourced from third party data provider. |
• | Also excluded are preferred and convertible preferred stock, participating preferred stock, redeemable shares, warrants and rights, trust receipts, royalty trusts, limited liability issuers, OTC bulletin boards and pink sheet stocks, mutual funds, limited partnerships, and foreign stocks. |
• | ● If a company has issued multiple lines of equity capital, only one eligible line is included. The eligible line is the line with the highest 60 days ADDTV. A minimum of 30 days of daily observations are required to calculate ADDTV. If a line has missing ADDTV, the line is excluded. If all lines have no ADDTV, the line with the highest free float market cap is selected. |
• | ● Securities ranked within the least liquid 20% by count (i.e. approximately 400 securities) based on 60-day ADDTV are excluded. |
• | ● Securities ranked within the top 20% highest risk or with missing data are excluded. Risk is defined as the 1-year trailing realized volatility of daily total returns. A minimum of 200 days of daily return observations are required to calculate volatility. |
• | ● Securities ranked within the top 20% highest leverage or with missing data are excluded. Leverage is defined as total debt to total assets sourced from a third party data provider. |
• | ● Also excluded are preferred and convertible preferred stock, participating preferred stock, redeemable shares, warrants and rights, trust receipts, royalty trusts, limited liability issuers, OTC bulletin boards and pink sheet stocks, mutual funds, limited partnerships, and foreign stocks. |
• | ● The Underlying Index’s Composite Score is less than 90% of the Target Index’s Composite Score. |
• | ● The Underlying Index has fewer than 200 securities. |
1. | Concentrate its investments (i.e., hold 25% or more of its total assets in the stocks of a particular industry or group of industries), except that each Fund will concentrate to approximately the same extent that its Underlying Index concentrates in the stocks of such particular industry or group of industries. For purposes of this limitation, securities of the U.S. government (including its agencies and instrumentalities), repurchase agreements collateralized by U.S. |
government securities, and securities of state or municipal governments and their political subdivisions are not considered to be issued by members of any industry. | |
2. | Borrow money, except that (i) each Fund may borrow from banks for temporary or emergency (not leveraging) purposes, including the meeting of redemption requests which might otherwise require the untimely disposition of securities, and (ii) each Fund may, to the extent consistent with its investment policies, enter into repurchase agreements, reverse repurchase agreements, forward roll transactions and similar investment strategies and techniques. To the extent that it engages in transactions described in (i) and (ii), each Fund will be limited so that no more than 33 1/3% of the value of its total assets (including the amount borrowed) is derived from such transactions. Any borrowings which come to exceed this amount will be reduced in accordance with applicable law. |
3. | Issue any senior security, except as permitted under the 1940 Act, as amended, and as interpreted, modified or otherwise permitted by regulatory authority having jurisdiction, from time to time. |
4. | Make loans, except as permitted under the 1940 Act, as amended, and as interpreted, modified or otherwise permitted by regulatory authority having jurisdiction, from time to time. |
5. | Purchase or sell real estate, real estate mortgages, commodities or commodity contracts, but this restriction shall not prevent each Fund from trading in futures contracts and options on futures contracts (including options on currencies to the extent consistent with each Fund’s investment objective and policies). |
6. | Engage in the business of underwriting securities issued by other persons, except to the extent that each Fund may technically be deemed to be an underwriter under the 1933 Act, in disposing of portfolio securities. |
1. | Concentrate its investments (i.e., hold 25% or more of its total assets in the stocks of a particular industry or group of industries), except that each Fund will concentrate to approximately the same extent that its Underlying Index concentrates in the stocks of such particular industry or group of industries. For purposes of this limitation, securities of the U.S. government (including its agencies and instrumentalities), repurchase agreements collateralized by U.S. government securities, and securities of state or municipal governments and their political subdivisions are not considered to be issued by members of any industry. |
2. | Borrow money, except that (i) each Fund may borrow from banks for temporary or emergency (not leveraging) purposes, including the meeting of redemption requests which might otherwise require the untimely disposition of securities, and (ii) each Fund may, to the extent consistent with its investment policies, enter into repurchase agreements, reverse repurchase agreements, forward roll transactions and similar investment strategies and techniques. To the extent that it engages in transactions described in (i) and (ii), each Fund will be limited so that no more than 33 1/3% of the value of its total assets (including the amount borrowed) is derived from such transactions. Any borrowings which come to exceed this amount will be reduced in accordance with applicable law. |
3. | Issue “senior securities” as defined in the 1940 Act and the rules, regulations and orders thereunder, except as permitted under the 1940 Act and the rules, regulations and orders thereunder. |
4. | Make loans. This restriction does not apply to: (i) the purchase of debt obligations in which each Fund may invest consistent with its investment objectives and policies; (ii) repurchase agreements and reverse repurchase agreements; and (iii) loans of its portfolio securities, to the fullest extent permitted under the 1940 Act. |
5. | Purchase or sell real estate, real estate mortgages, commodities or commodity contracts, but this restriction shall not prevent each Fund from trading in futures contracts and options on futures contracts (including options on currencies to the extent consistent with each Fund’s investment objective and policies). |
6. | Engage in the business of underwriting securities issued by other persons, except to the extent that each Fund may technically be deemed to be an underwriter under the 1933 Act in disposing of portfolio securities. |
1. | Concentrate its investments (i.e., hold 25% or more of its total assets in the stocks of a particular industry or group of |
industries), except that each Fund will concentrate to approximately the same extent that its Underlying Index concentrates in the stocks of such particular industry or group of industries. For purposes of this limitation, securities of the U.S. government (including its agencies and instrumentalities), repurchase agreements collateralized by U.S. government securities, and securities of state or municipal governments and their political subdivisions are not considered to be issued by members of any industry. | |
2. | Borrow money, except that (i) each Fund may borrow from banks for temporary or emergency (not leveraging) purposes, including the meeting of redemption requests which might otherwise require the untimely disposition of securities, and (ii) each Fund may, to the extent consistent with its investment policies, enter into repurchase agreements, reverse repurchase agreements, forward roll transactions and similar investment strategies and techniques. To the extent that it engages in transactions described in (i) and (ii), each Fund will be limited so that no more than 33 1/3% of the value of its total assets (including the amount borrowed) is derived from such transactions. Any borrowings which come to exceed this amount will be reduced in accordance with applicable law. |
3. | Issue any senior security, except as permitted under the 1940 Act, as amended, and as interpreted, modified or otherwise permitted by regulatory authority having jurisdiction, from time to time. |
4. | Make loans, except as permitted under the 1940 Act. |
5. | Purchase or sell real estate, real estate mortgages, commodities or commodity contracts, but this restriction shall not prevent each Fund from trading in futures contracts and options on futures contracts (including options on currencies to the extent consistent with each Fund’s investment objective and policies). |
6. | Engage in the business of underwriting securities issued by other persons, except to the extent that each Fund may technically be deemed to be an underwriter under the 1933 Act in disposing of portfolio securities. |
1. | Concentrate its investments (i.e., invest 25% or more of its total assets in the securities of a particular industry or group of industries), except that each Fund will concentrate to approximately the same extent that its Underlying Index concentrates in the securities of such particular industry or group of industries. For purposes of this limitation, securities of the U.S. government (including its agencies and instrumentalities), repurchase agreements collateralized by U.S. government securities, and securities of state or municipal governments and their political subdivisions are not considered to be issued by members of any industry. |
2. | Borrow money, except that (i) each Fund may borrow from banks for temporary or emergency (not leveraging) purposes, including the meeting of redemption requests which might otherwise require the untimely disposition of securities; and (ii) each Fund may, to the extent consistent with its investment policies, enter into repurchase agreements, reverse repurchase agreements, forward roll transactions and similar investment strategies and techniques. To the extent that it engages in transactions described in (i) and (ii), each Fund will be limited so that no more than 33 1/3% of the value of its total assets (including the amount borrowed) is derived from such transactions. Any borrowings which come to exceed this amount will be reduced in accordance with applicable law. |
3. | Issue any senior security, except as permitted under the 1940 Act, as interpreted, modified or otherwise permitted by regulatory authority having jurisdiction, from time to time. |
4. | Make loans, except as permitted under the 1940 Act, as interpreted, modified or otherwise permitted by regulatory authority having jurisdiction, from time to time. |
5. | Purchase or sell real estate unless acquired as a result of ownership of securities or other instruments (but this restriction shall not prevent each Fund from investing in securities of companies engaged in the real estate business or securities or other instruments backed by real estate or mortgages), or commodities or commodity contracts (but this restriction shall not prevent each Fund from trading in futures contracts and options on futures contracts, including options on currencies to the extent consistent with each Fund’s investment objective and policies). |
6. | Engage in the business of underwriting securities issued by other persons, except to the extent that each Fund may technically be deemed to be an underwriter under the 1933 Act, in disposing of portfolio securities. |
1. | Concentrate its investments in a particular industry, as that term is used in the 1940 Act, except that each Fund will concentrate to approximately the same extent that its Underlying Index concentrates in the securities of a particular industry or group of industries. |
2. | Borrow money, except as permitted under the 1940 Act. |
3. | Issue senior securities to the extent such issuance would violate the 1940 Act. |
4. | Purchase or hold real estate, except each Fund may purchase and hold securities or other instruments that are secured by, or linked to, real estate or interests therein, securities of REITs, mortgage-related securities and securities of issuers engaged in the real estate business, and each Fund may purchase and hold real estate as a result of the ownership of securities or other instruments. |
5. | Underwrite securities issued by others, except to the extent that the sale of portfolio securities by each Fund may be deemed to be an underwriting or as otherwise permitted by applicable law. |
6. | Purchase or sell commodities or commodity contracts, except as permitted by the 1940 Act. |
7. | Make loans to the extent prohibited by the 1940 Act. |
Name (Age) | Position |
Principal
Occupation(s)
During the Past 5 Years |
Other
Directorships
Held by Trustee |
|||
Robert
S. Kapito1
(64) |
Trustee
(since 2009). |
President, BlackRock, Inc. (since 2006); Vice Chairman of BlackRock, Inc. and Head of BlackRock’s Portfolio Management Group (since its formation in 1998) and BlackRock, Inc.’s predecessor entities (since 1988); Trustee, University of Pennsylvania (since 2009); President of Board of Directors, Hope & Heroes Children’s Cancer Fund (since 2002). | Director of BlackRock, Inc. (since 2006); Director of iShares, Inc. (since 2009); Trustee of iShares U.S. ETF Trust (since 2011). | |||
Salim
Ramji2
(51) |
Trustee (since 2019). | Senior Managing Director, BlackRock, Inc. (since 2014); Global Head of BlackRock’s ETF and Index Investments Business (since 2019); Head of BlackRock’s U.S. Wealth Advisory Business (2015-2019); Global Head of Corporate Strategy, BlackRock, Inc. (2014-2015); Senior Partner, McKinsey & Company (2010-2014). | Director of iShares, Inc. (since 2019); Trustee of iShares U.S. ETF Trust (since 2019). |
1 | Robert S. Kapito is deemed to be an “interested person” (as defined in the 1940 Act) of the Trust due to his affiliations with BlackRock, Inc. and its affiliates. |
2 | Salim Ramji is deemed to be an “interested person” (as defined in the 1940 Act) of the Trust due to his affiliations with BlackRock, Inc. and its affiliates. |
Name (Age) | Position |
Principal
Occupation(s)
During the Past 5 Years |
Other
Directorships
Held by Trustee |
|||
Cecilia
H. Herbert
(72) |
Trustee
(since 2005); Independent Board Chair (since 2016). |
Chair
of the Finance Committee (since 2019) and Trustee and Member of the Finance, Audit and Quality Committees of Stanford Health Care (since 2016); Trustee of WNET, New York's public media company (since 2011) and Member of the Audit Committee (since
2018) and Investment Committee (since 2011); Chair (1994-2005) and Member (since 1992) of the Investment Committee, Archdiocese of San Francisco; Trustee of Forward Funds (14 portfolios) (2009-2018); Trustee of Salient MF Trust (4 portfolios)
(2015-2018); Director (1998-2013) and President (2007-2011) of the Board of Directors, Catholic Charities CYO; Trustee (2002-2011) and Chair of the Finance and Investment Committee (2006-2010) of the Thacher School; Director of the Senior Center of
Jackson Hole (since 2020).
|
Director of iShares, Inc. (since 2005); Trustee of iShares U.S. ETF Trust (since 2011); Independent Board Chair of iShares, Inc. and iShares U.S. ETF Trust (since 2016); Trustee of Thrivent Church Loan and Income Fund (since 2019). | |||
Jane
D. Carlin
(65) |
Trustee
(since 2015); Risk Committee Chair (since 2016). |
Consultant (since 2012); Member of the Audit Committee (2012-2018), Chair of the Nominating and Governance Committee (2017-2018) and Director of PHH Corporation (mortgage solutions) (2012-2018); Managing Director and Global Head of Financial Holding Company Governance & Assurance and the Global Head of Operational Risk Management of Morgan Stanley (2006-2012). | Director of iShares, Inc. (since 2015); Trustee of iShares U.S. ETF Trust (since 2015); Member of the Audit Committee (since 2016), Chair of the Audit Committee (since 2020) and Director of The Hanover Insurance Group, Inc. (since 2016). | |||
Richard
L. Fagnani
(66) |
Trustee
(since 2017); Audit Committee Chair (since 2019). |
Partner, KPMG LLP (2002-2016). | Director of iShares, Inc. (since 2017); Trustee of iShares U.S. ETF Trust (since 2017). | |||
John
E. Kerrigan
(66) |
Trustee
(since 2005); Nominating and Governance and Equity Plus Committee Chairs (since 2019). |
Chief Investment Officer, Santa Clara University (since 2002). | Director of iShares, Inc. (since 2005); Trustee of iShares U.S. ETF Trust (since 2011). |
Name (Age) | Position |
Principal
Occupation(s)
During the Past 5 Years |
Other
Directorships
Held by Trustee |
|||
Drew
E. Lawton
(62) |
Trustee
(since 2017); 15(c) Committee Chair (since 2017). |
Senior Managing Director of New York Life Insurance Company (2010-2015). | Director of iShares, Inc. (since 2017); Trustee of iShares U.S. ETF Trust (since 2017). | |||
John
E. Martinez
(60) |
Trustee
(since 2003); Securities Lending Committee Chair (since 2019). |
Director of Real Estate Equity Exchange, Inc. (since 2005); Director of Cloudera Foundation (2017-2020); and Director of Reading Partners (2012-2016). | Director of iShares, Inc. (since 2003); Trustee of iShares U.S. ETF Trust (since 2011). | |||
Madhav
V. Rajan
(56) |
Trustee
(since 2011); Fixed Income Plus Committee Chair (since 2019). |
Dean, and George Pratt Shultz Professor of Accounting, University of Chicago Booth School of Business (since 2017); Advisory Board Member (since 2016) and Director (since 2020) of C.M. Capital Corporation; Chair of the Board for the Center for Research in Security Prices, LLC (since 2020); Robert K. Jaedicke Professor of Accounting, Stanford University Graduate School of Business (2001-2017); Professor of Law (by courtesy), Stanford Law School (2005-2017); Senior Associate Dean for Academic Affairs and Head of MBA Program, Stanford University Graduate School of Business (2010-2016). |
Director
of iShares, Inc. (since 2011);
Trustee of iShares U.S. ETF Trust (since 2011). |
Name (Age) | Position |
Principal
Occupation(s)
During the Past 5 Years |
||
Armando
Senra
(50) |
President (since 2019). | Managing Director, BlackRock, Inc. (since 2007); Head of U.S., Canada and Latam iShares, BlackRock, Inc. (since 2019); Head of Latin America Region, BlackRock, Inc. (2006-2019); Managing Director, Bank of America Merrill Lynch (1994-2006). |
Name (Age) | Position |
Principal
Occupation(s)
During the Past 5 Years |
||
Trent
Walker
(47) |
Treasurer
and Chief Financial Officer
(since 2020). |
Managing Director of BlackRock, Inc. (since September 2019); Chief Financial Officer of iShares Delaware Trust Sponsor LLC, BlackRock Funds, BlackRock Funds II, BlackRock Funds IV, BlackRock Funds V and BlackRock Funds VI (since 2021); Executive Vice President of PIMCO (2016-2019); Senior Vice President of PIMCO (2008-2015); Treasurer (2013-2019) and Assistant Treasurer (2007-2017) of PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO ETF Trust, PIMCO Equity Series, PIMCO Equity Series VIT, PIMCO Managed Accounts Trust, 2 PIMCO-sponsored interval funds and 21 PIMCO-sponsored closed-end funds. | ||
Charles
Park
(53) |
Chief Compliance Officer (since 2006). | Chief Compliance Officer of BlackRock Advisors, LLC and the BlackRock-advised Funds in the Equity-Bond Complex, the Equity-Liquidity Complex and the Closed-End Complex (since 2014); Chief Compliance Officer of BFA (since 2006). | ||
Deepa
Damre Smith
(46) |
Secretary (since 2019). | Managing Director, BlackRock, Inc. (since 2014); Director, BlackRock, Inc. (2009-2013). | ||
Scott
Radell
(52) |
Executive
Vice President
(since 2012). |
Managing Director, BlackRock, Inc. (since 2009); Head of Portfolio Solutions, BlackRock, Inc. (since 2009). | ||
Alan
Mason
(60) |
Executive
Vice President
(since 2016). |
Managing Director, BlackRock, Inc. (since 2009). | ||
Marybeth
Leithead
(58) |
Executive
Vice President
(since 2019). |
Managing Director, BlackRock, Inc. (since 2017); Chief Operating Officer of Americas iShares (since 2017); Portfolio Manager, Municipal Institutional & Wealth Management (2009-2016). |
Name | Fund |
Dollar
Range of Equity
Securities in Named Fund |
Aggregate
Dollar Range
of Equity Securities in all Registered Investment Companies Overseen by Trustee in Family of Investment Companies |
|||
Robert S. Kapito | None | None | None | |||
Salim Ramji | iShares Broad USD Investment Grade Corporate Bond ETF | $10,001-$50,000 | Over $100,000 | |||
iShares Commodity Curve Carry Strategy ETF | $50,001-$100,000 | |||||
iShares Core MSCI Emerging Markets ETF | Over $100,000 | |||||
iShares Core MSCI Total International Stock ETF | $1-$10,000 | |||||
iShares Core S&P 500 ETF | $1-$10,000 | |||||
iShares Core S&P Mid-Cap ETF | Over $100,000 | |||||
iShares Core S&P Small-Cap ETF | $50,001-$100,000 | |||||
iShares Core S&P Total U.S. Stock Market ETF | $1-$10,000 | |||||
iShares Expanded Tech Sector ETF | $1-$10,000 | |||||
iShares Expanded Tech-Software Sector ETF | $1-$10,000 | |||||
iShares GSCI Commodity Dynamic Roll Strategy ETF | $10,001-$50,000 |
Name | Fund |
Dollar
Range of Equity
Securities in Named Fund |
Aggregate
Dollar Range
of Equity Securities in all Registered Investment Companies Overseen by Trustee in Family of Investment Companies |
|||
iShares MSCI USA ESG Select ETF | $1-$10,000 | |||||
iShares Robotics and Artificial Intelligence Multisector ETF | $1-$10,000 | |||||
iShares TIPS Bond ETF | $10,001-$50,000 | |||||
Cecilia H. Herbert | iShares California Muni Bond ETF | $10,001-$50,000 | Over $100,000 | |||
iShares Core Dividend Growth ETF | $50,001-$100,000 | |||||
iShares Core MSCI Emerging Markets ETF | $1-$10,000 | |||||
iShares Core MSCI Total International Stock ETF | $10,001-$50,000 | |||||
iShares Core S&P 500 ETF | Over $100,000 | |||||
iShares Core S&P U.S. Growth ETF | Over $100,000 | |||||
iShares Core S&P U.S. Value ETF | Over $100,000 | |||||
iShares iBoxx $ High Yield Corporate Bond ETF | $10,001-$50,000 | |||||
iShares International Select Dividend ETF | $50,001-$100,000 | |||||
iShares MSCI EAFE ETF | $1-$10,000 | |||||
iShares MSCI Japan ETF | $10,001-$50,000 | |||||
iShares MSCI USA Value Factor ETF | Over $100,000 | |||||
iShares National Muni Bond ETF | $10,001-$50,000 | |||||
iShares Preferred and Income Securities ETF | $10,001-$50,000 | |||||
Jane D. Carlin | iShares Core MSCI EAFE ETF | Over $100,000 | Over $100,000 | |||
iShares Core MSCI Emerging Markets ETF | $10,001-$50,000 | |||||
iShares Core S&P Mid-Cap ETF | $10,001-$50,000 | |||||
iShares Core S&P Small-Cap ETF | Over $100,000 | |||||
iShares Core U.S. Aggregate Bond ETF | $50,001-$100,000 | |||||
iShares Global Tech ETF | $50,001-$100,000 | |||||
iShares iBoxx $ High Yield Corporate Bond ETF | Over $100,000 | |||||
iShares MSCI ACWI ETF | Over $100,000 | |||||
iShares MSCI ACWI ex U.S. ETF | Over $100,000 | |||||
iShares MSCI EAFE Small-Cap ETF | $10,001-$50,000 | |||||
iShares MSCI Emerging Markets Small-Cap ETF | $10,001-$50,000 | |||||
iShares MSCI USA Min Vol Factor ETF | $50,001-$100,000 | |||||
iShares Select Dividend ETF | $10,001-$50,000 | |||||
Richard L. Fagnani | iShares Core Dividend Growth ETF | $10,001-$50,000 | Over $100,000 | |||
iShares Core MSCI EAFE ETF | $10,001-$50,000 | |||||
iShares Exponential Technologies ETF | $10,001-$50,000 |
Name | Fund |
Dollar
Range of Equity
Securities in Named Fund |
Aggregate
Dollar Range
of Equity Securities in all Registered Investment Companies Overseen by Trustee in Family of Investment Companies |
|||
iShares Global Clean Energy ETF | $10,001-$50,000 | |||||
iShares MBS ETF | $10,001-$50,000 | |||||
iShares MSCI All Country Asia ex Japan ETF | $10,001-$50,000 | |||||
iShares MSCI EAFE Value ETF | $10,001-$50,000 | |||||
iShares MSCI Emerging Markets Multifactor ETF | $10,001-$50,000 | |||||
iShares MSCI Emerging Markets Small-Cap ETF | $10,001-$50,000 | |||||
iShares MSCI Japan ETF | $10,001-$50,000 | |||||
iShares MSCI Singapore ETF | $10,001-$50,000 | |||||
iShares MSCI USA Equal Weighted ETF | $10,001-$50,000 | |||||
iShares MSCI USA Quality Factor ETF | $10,001-$50,000 | |||||
iShares Robotics and Artificial Intelligence Multisector ETF | $10,001-$50,000 | |||||
iShares U.S. Infrastructure ETF | $10,001-$50,000 | |||||
John E. Kerrigan | iShares Core MSCI EAFE ETF | $10,001-$50,000 | Over $100,000 | |||
iShares Core S&P 500 ETF | Over $100,000 | |||||
iShares Core S&P Small-Cap ETF | $10,001-$50,000 | |||||
iShares ESG Advanced MSCI EAFE ETF | $1-$10,000 | |||||
iShares ESG Advanced MSCI USA ETF | $1-$10,000 | |||||
iShares ESG Aware MSCI EAFE ETF | $10,001-$50,000 | |||||
iShares ESG Aware MSCI EM ETF | Over $100,000 | |||||
iShares ESG Aware MSCI USA ETF | Over $100,000 | |||||
iShares ESG Aware MSCI USA Small-Cap ETF | $1-$10,000 | |||||
iShares Global Clean Energy ETF | Over $100,000 | |||||
iShares Global Infrastructure ETF | Over $100,000 | |||||
iShares Global Tech ETF | $50,001-$100,000 | |||||
iShares MSCI ACWI ex U.S. ETF | Over $100,000 | |||||
iShares MSCI EAFE Growth ETF | Over $100,000 | |||||
iShares MSCI KLD 400 Social ETF | $10,001-$50,000 | |||||
iShares MSCI USA ESG Select ETF | $1-$10,000 | |||||
iShares MSCI USA Min Vol Factor ETF | $10,001-$50,000 | |||||
iShares MSCI USA Quality Factor ETF | $10,001-$50,000 | |||||
iShares MSCI USA Value Factor ETF | $50,001-$100,000 | |||||
iShares U.S. Medical Devices ETF | $10,001-$50,000 | |||||
Drew E. Lawton | BlackRock Short Maturity Bond ETF | Over $100,000 | Over $100,000 | |||
BlackRock Ultra Short-Term Bond ETF | Over $100,000 |
Name | Fund |
Dollar
Range of Equity
Securities in Named Fund |
Aggregate
Dollar Range
of Equity Securities in all Registered Investment Companies Overseen by Trustee in Family of Investment Companies |
|||
iShares 0-5 Year High Yield Corporate Bond ETF | $50,001-$100,000 | |||||
iShares Biotechnology ETF | $50,001-$100,000 | |||||
iShares Core Dividend Growth ETF | Over $100,000 | |||||
iShares Core MSCI Total International Stock ETF | Over $100,000 | |||||
iShares Core S&P Total U.S. Stock Market ETF | Over $100,000 | |||||
iShares Expanded Tech Sector ETF | Over $100,000 | |||||
iShares Exponential Technologies ETF | Over $100,000 | |||||
John E. Martinez | iShares 1-5 Year Investment Grade Corporate Bond ETF | Over $100,000 | Over $100,000 | |||
iShares Core 5-10 Year USD Bond ETF | Over $100,000 | |||||
iShares Core International Aggregate Bond ETF | Over $100,000 | |||||
iShares Core MSCI International Developed Markets ETF | $10,001-$50,000 | |||||
iShares Global Consumer Staples ETF | Over $100,000 | |||||
iShares Russell 1000 ETF | Over $100,000 | |||||
iShares Russell 1000 Value ETF | Over $100,000 | |||||
iShares Russell 2000 ETF | Over $100,000 | |||||
Madhav V. Rajan | BlackRock Short Maturity Bond ETF | Over $100,000 | Over $100,000 | |||
iShares Broad USD High Yield Corporate Bond ETF | Over $100,000 | |||||
iShares Mortgage Real Estate ETF | Over $100,000 | |||||
iShares Preferred and Income Securities ETF | Over $100,000 |
Name |
iShares
Biotechnology
ETF |
iShares
Core
S&P 500 ETF |
iShares
Core S&P
Mid-Cap ETF |
iShares
Core S&P
Small-Cap ETF |
||||
Independent Trustees: | ||||||||
Jane D. Carlin | $4,484 | $ 106,802 | $ 27,361 | $0 | ||||
Richard L. Fagnani | 4,763 | 113,451 | 29,064 | 0 | ||||
Cecilia H. Herbert | 5,087 | 121,168 | 31,041 | 0 | ||||
John E. Kerrigan | 4,758 | 113,332 | 29,034 | 0 | ||||
Drew E. Lawton | 4,598 | 109,533 | 28,061 | 0 | ||||
John E. Martinez | 4,484 | 106,802 | 27,361 | 0 | ||||
Madhav V. Rajan | 4,484 | 106,802 | 27,361 | 0 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $ 0 | $ 0 | $ 0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name |
iShares
Core
S&P Total U.S. Stock Market ETF |
iShares
Core
S&P U.S. Growth ETF |
iShares
Core
S&P U.S. Value ETF |
iShares
ESG
Screened S&P 500 ETF1 |
||||
Independent Trustees: | ||||||||
Jane D. Carlin | $ 14,873 | $ 4,742 | $ 4,109 | $14 | ||||
Richard L. Fagnani | 15,799 | 5,037 | 4,365 | 15 | ||||
Cecilia H. Herbert | 16,874 | 5,379 | 4,662 | 16 | ||||
John E. Kerrigan | 15,782 | 5,031 | 4,360 | 15 | ||||
Drew E. Lawton | 15,253 | 4,863 | 4,214 | 14 | ||||
John E. Martinez | 14,873 | 4,742 | 4,109 | 14 | ||||
Madhav V. Rajan | 14,873 | 4,742 | 4,109 | 14 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $ 0 | $ 0 | $ 0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name |
iShares
ESG
Screened S&P Mid-Cap ETF2 |
iShares
ESG
Screened S&P Small-Cap ETF3 |
iShares
Europe ETF |
iShares
Expanded
Tech Sector ETF |
||||
Independent Trustees: | ||||||||
Jane D. Carlin | $ 9 | $4 | $ 527 | $1,463 | ||||
Richard L. Fagnani | 10 | 5 | 560 | 1,554 | ||||
Cecilia H. Herbert | 10 | 5 | 598 | 1,659 | ||||
John E. Kerrigan | 10 | 5 | 560 | 1,552 | ||||
Drew E. Lawton | 9 | 5 | 541 | 1,500 | ||||
John E. Martinez | 9 | 4 | 527 | 1,463 | ||||
Madhav V. Rajan | 9 | 4 | 527 | 1,463 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $ 0 | $0 | $ 0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name |
iShares
Expanded
Tech-Software Sector ETF |
iShares
Factors US
Blend Style ETF |
iShares
Factors US
Growth Style ETF |
iShares
Factors US
Mid Blend Style ETF |
||||
Independent Trustees: | ||||||||
Jane D. Carlin | $ 2,301 | $3 | $2 | $3 | ||||
Richard L. Fagnani | 2,445 | 3 | 2 | 3 | ||||
Cecilia H. Herbert | 2,611 | 3 | 3 | 3 | ||||
John E. Kerrigan | 2,442 | 3 | 2 | 3 | ||||
Drew E. Lawton | 2,360 | 3 | 2 | 3 | ||||
John E. Martinez | 2,301 | 3 | 2 | 3 | ||||
Madhav V. Rajan | 2,301 | 3 | 2 | 3 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $ 0 | $0 | $0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name |
iShares
Factors US
Small Blend Style ETF |
iShares
Factors US
Value Style ETF |
iShares
Focused
Value Factor ETF |
iShares
Global Consumer Staples ETF |
||||
Independent Trustees: | ||||||||
Jane D. Carlin | $3 | $3 | $ 18 | $187 | ||||
Richard L. Fagnani | 3 | 3 | 19 | 198 | ||||
Cecilia H. Herbert | 4 | 4 | 21 | 212 | ||||
John E. Kerrigan | 3 | 3 | 19 | 198 | ||||
Drew E. Lawton | 3 | 3 | 19 | 191 | ||||
John E. Martinez | 3 | 3 | 18 | 187 | ||||
Madhav V. Rajan | 3 | 3 | 18 | 187 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $0 | $0 | $ 0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name |
iShares
Global Energy ETF |
iShares
Global Financials ETF |
iShares
Global Industrials ETF |
iShares
Global Infrastructure ETF |
||||
Independent Trustees: | ||||||||
Jane D. Carlin | $ 596 | $ 196 | $ 156 | $1,391 | ||||
Richard L. Fagnani | 633 | 209 | 166 | 1,478 | ||||
Cecilia H. Herbert | 676 | 223 | 177 | 1,578 | ||||
John E. Kerrigan | 633 | 208 | 166 | 1,476 | ||||
Drew E. Lawton | 611 | 201 | 160 | 1,427 | ||||
John E. Martinez | 596 | 196 | 156 | 1,391 | ||||
Madhav V. Rajan | 596 | 196 | 156 | 1,397 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $ 0 | $ 0 | $ 0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name |
iShares
Global Utilities ETF |
iShares
International
Developed Property ETF |
iShares
International Developed
Small Cap Value Factor ETF4 |
iShares
International Preferred Stock ETF |
||||
Independent Trustees: | ||||||||
Jane D. Carlin | $65 | $38 | $3 | $28 | ||||
Richard L. Fagnani | 69 | 40 | 3 | 30 | ||||
Cecilia H. Herbert | 74 | 43 | 4 | 32 | ||||
John E. Kerrigan | 69 | 40 | 3 | 30 | ||||
Drew E. Lawton | 67 | 39 | 3 | 29 | ||||
John E. Martinez | 65 | 38 | 3 | 28 | ||||
Madhav V. Rajan | 65 | 38 | 3 | 28 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $ 0 | $ 0 | $0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name |
iShares
JPX-Nikkei 400 ETF |
iShares
Micro-Cap ETF |
iShares
Mortgage
Real Estate ETF |
iShares
North
American Natural Resources ETF |
||||
Independent Trustees: | ||||||||
Jane D. Carlin | $38 | $ 632 | $ 685 | $174 | ||||
Richard L. Fagnani | 41 | 671 | 727 | 185 | ||||
Cecilia H. Herbert | 44 | 717 | 777 | 197 | ||||
John E. Kerrigan | 41 | 671 | 726 | 184 | ||||
Drew E. Lawton | 39 | 648 | 702 | 178 | ||||
John E. Martinez | 38 | 632 | 685 | 174 | ||||
Madhav V. Rajan | 38 | 632 | 685 | 174 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $ 0 | $ 0 | $ 0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name |
iShares
North
American Tech-Multimedia Networking ETF |
iShares
Preferred
and Income Securities ETF |
iShares
Residential and
Multisector Real Estate ETF |
iShares
Russell
1000 ETF |
||||
Independent Trustees: | ||||||||
Jane D. Carlin | $46 | $ 8,161 | $226 | $11,651 | ||||
Richard L. Fagnani | 49 | 8,669 | 240 | 12,377 | ||||
Cecilia H. Herbert | 52 | 9,258 | 256 | 13,218 | ||||
John E. Kerrigan | 49 | 8,659 | 240 | 12,364 | ||||
Drew E. Lawton | 47 | 8,369 | 232 | 11,949 | ||||
John E. Martinez | 46 | 8,161 | 226 | 11,651 | ||||
Madhav V. Rajan | 46 | 8,161 | 226 | 11,651 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $ 0 | $ 0 | $ 0 | $ 0 |
Name |
iShares
North
American Tech-Multimedia Networking ETF |
iShares
Preferred
and Income Securities ETF |
iShares
Residential and
Multisector Real Estate ETF |
iShares
Russell
1000 ETF |
||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name |
iShares
Russell
1000 Growth ETF |
iShares
Russell
1000 Pure U.S. Revenue ETF |
iShares
Russell
1000 Value ETF |
iShares
Russell
2000 ETF |
||||
Independent Trustees: | ||||||||
Jane D. Carlin | $28,620 | $2 | $ 23,212 | $30,183 | ||||
Richard L. Fagnani | 30,402 | 2 | 24,658 | 32,062 | ||||
Cecilia H. Herbert | 32,470 | 2 | 26,335 | 34,243 | ||||
John E. Kerrigan | 30,370 | 2 | 24,632 | 32,029 | ||||
Drew E. Lawton | 29,352 | 2 | 23,806 | 30,955 | ||||
John E. Martinez | 28,620 | 2 | 23,212 | 30,183 | ||||
Madhav V. Rajan | 28,620 | 2 | 23,212 | 30,183 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $ 0 | $0 | $ 0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name |
iShares
Russell
2000 Growth ETF |
iShares
Russell
2000 Value ETF |
iShares
Russell
3000 ETF |
iShares
Russell
Mid-Cap ETF |
||||
Independent Trustees: | ||||||||
Jane D. Carlin | $ 5,447 | $ 7,398 | $ 4,877 | $12,344 | ||||
Richard L. Fagnani | 5,786 | 7,859 | 5,181 | 13,113 | ||||
Cecilia H. Herbert | 6,180 | 8,393 | 5,534 | 14,005 | ||||
John E. Kerrigan | 5,780 | 7,851 | 5,176 | 13,099 | ||||
Drew E. Lawton | 5,586 | 7,587 | 5,002 | 12,660 | ||||
John E. Martinez | 5,447 | 7,398 | 4,877 | 12,344 | ||||
Madhav V. Rajan | 5,447 | 7,398 | 4,877 | 12,344 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $ 0 | $ 0 | $ 0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name |
iShares
Russell
Mid-Cap Growth ETF |
iShares
Russell
Mid-Cap Value ETF |
iShares
Russell
Top 200 ETF |
iShares
Russell
Top 200 Growth ETF |
||||
Independent Trustees: | ||||||||
Jane D. Carlin | $6,653 | $ 5,978 | $ 395 | $1,609 | ||||
Richard L. Fagnani | 7,068 | 6,351 | 419 | 1,709 | ||||
Cecilia H. Herbert | 7,548 | 6,782 | 448 | 1,825 | ||||
John E. Kerrigan | 7,060 | 6,344 | 419 | 1,707 | ||||
Drew E. Lawton | 6,824 | 6,131 | 405 | 1,650 | ||||
John E. Martinez | 6,653 | 5,978 | 395 | 1,609 |
Name |
iShares
Russell
Mid-Cap Growth ETF |
iShares
Russell
Mid-Cap Value ETF |
iShares
Russell
Top 200 ETF |
iShares
Russell
Top 200 Growth ETF |
||||
Madhav V. Rajan | 6,653 | 5,978 | 395 | 1,609 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $ 0 | $ 0 | $ 0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name |
iShares
Russell
Top 200 Value ETF |
iShares
S&P
100 ETF |
iShares
S&P
500 Growth ETF |
iShares
S&P
500 Value ETF |
||||
Independent Trustees: | ||||||||
Jane D. Carlin | $ 526 | $ 3,180 | $ 14,069 | $9,688 | ||||
Richard L. Fagnani | 559 | 3,377 | 14,944 | 10,291 | ||||
Cecilia H. Herbert | 597 | 3,607 | 15,961 | 10,991 | ||||
John E. Kerrigan | 558 | 3,374 | 14,929 | 10,281 | ||||
Drew E. Lawton | 539 | 3,261 | 14,428 | 9,936 | ||||
John E. Martinez | 526 | 3,180 | 14,069 | 9,688 | ||||
Madhav V. Rajan | 526 | 3,180 | 14,069 | 9,688 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $ 0 | $ 0 | $ 0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name |
iShares
S&P
Mid-Cap 400 Growth ETF |
iShares
S&P
Mid-Cap 400 Value ETF |
iShares
S&P
Small-Cap 600 Growth ETF |
iShares
S&P
Small-Cap 600 Value ETF |
||||
Independent Trustees: | ||||||||
Jane D. Carlin | $3,648 | $ 3,695 | $0 | $4,013 | ||||
Richard L. Fagnani | 3,875 | 3,925 | 0 | 4,263 | ||||
Cecilia H. Herbert | 4,139 | 4,192 | 0 | 4,553 | ||||
John E. Kerrigan | 3,871 | 3,921 | 0 | 4,258 | ||||
Drew E. Lawton | 3,741 | 3,790 | 0 | 4,115 | ||||
John E. Martinez | 3,648 | 3,695 | 0 | 4,013 | ||||
Madhav V. Rajan | 3,648 | 3,695 | 0 | 4,013 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $ 0 | $ 0 | $0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name |
iShares
Semiconductor
ETF |
iShares
U.S.
Aerospace & Defense ETF |
iShares
U.S.
Broker-Dealers & Securities Exchanges ETF |
iShares
U.S.
Healthcare Providers ETF |
||||
Jane D. Carlin | $2,848 | $ 1,352 | $ 187 | $521 | ||||
Richard L. Fagnani | 3,025 | 1,437 | 198 | 554 | ||||
Cecilia H. Herbert | 3,231 | 1,534 | 212 | 591 | ||||
John E. Kerrigan | 3,022 | 1,435 | 198 | 553 | ||||
Drew E. Lawton | 2,921 | 1,387 | 192 | 535 | ||||
John E. Martinez | 2,848 | 1,352 | 187 | 521 | ||||
Madhav V. Rajan | 2,848 | 1,352 | 187 | 521 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $ 0 | $ 0 | $ 0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name |
iShares
U.S. Home Construction ETF |
iShares
U.S.
Infrastructure ETF |
iShares
U.S.
Insurance ETF |
iShares
U.S.
Medical Devices ETF |
||||
Independent Trustees: | ||||||||
Jane D. Carlin | $ 1,206 | $ 158 | $ 39 | $3,456 | ||||
Richard L. Fagnani | 1,281 | 168 | 41 | 3,672 | ||||
Cecilia H. Herbert | 1,368 | 180 | 44 | 3,921 | ||||
John E. Kerrigan | 1,279 | 168 | 41 | 3,668 | ||||
Drew E. Lawton | 1,236 | 162 | 40 | 3,545 | ||||
John E. Martinez | 1,206 | 158 | 39 | 3,456 | ||||
Madhav V. Rajan | 1,206 | 158 | 39 | 3,456 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $ 0 | $ 0 | $ 0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name |
iShares
U.S.
Oil & Gas Exploration & Production ETF |
iShares
U.S.
Oil Equipment & Services ETF |
iShares
U.S.
Pharmaceuticals ETF |
iShares
U.S.
Real Estate ETF |
||||
Independent Trustees: | ||||||||
Jane D. Carlin | $ 111 | $ 169 | $ 162 | $2,073 | ||||
Richard L. Fagnani | 118 | 180 | 172 | 2,202 | ||||
Cecilia H. Herbert | 126 | 192 | 183 | 2,352 | ||||
John E. Kerrigan | 118 | 180 | 172 | 2,200 | ||||
Drew E. Lawton | 114 | 174 | 166 | 2,126 | ||||
John E. Martinez | 111 | 169 | 162 | 2,073 | ||||
Madhav V. Rajan | 111 | 169 | 162 | 2,073 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $ 0 | $ 0 | $ 0 | $0 | ||||
Salim Ramji | 0 | 0 | 0 | 0 |
Name |
iShares
U.S.
Regional Banks ETF |
iShares
U.S.
Telecommunications ETF |
iShares
US Small
Cap Value Factor5 |
|||
Independent Trustees: | ||||||
Jane D. Carlin | $ 307 | $ 194 | $52 | |||
Richard L. Fagnani | 326 | 206 | 55 | |||
Cecilia H. Herbert | 348 | 220 | 58 | |||
John E. Kerrigan | 326 | 206 | 55 | |||
Drew E. Lawton | 315 | 199 | 53 | |||
John E. Martinez | 307 | 194 | 52 | |||
Madhav V. Rajan | 307 | 194 | 52 | |||
Interested Trustees: | ||||||
Robert S. Kapito | $ 0 | $ 0 | $0 | |||
Salim Ramji | 0 | 0 | 0 |
Name |
Pension
or
Retirement Benefits Accrued As Part of Trust Expenses6 |
Estimated
Annual
Benefits Upon Retirement6 |
Total
Compensation From the Funds and Fund Complex7 |
|||
Independent Trustees: | ||||||
Jane D. Carlin | Not Applicable | Not Applicable | 350,000 | |||
Richard L. Fagnani | Not Applicable | Not Applicable | 366,421 | |||
Cecilia H. Herbert | Not Applicable | Not Applicable | 395,833 | |||
John E. Kerrigan | Not Applicable | Not Applicable | 370,833 | |||
Drew E. Lawton | Not Applicable | Not Applicable | 353,921 | |||
John E. Martinez | Not Applicable | Not Applicable | 350,000 | |||
Madhav V. Rajan | Not Applicable | Not Applicable | 350,000 | |||
Interested Trustees: | ||||||
Robert S. Kapito | Not Applicable | Not Applicable | $0 | |||
Salim Ramji | Not Applicable | Not Applicable | 0 |
1 | For the iShares ESG Screened S&P 500 ETF, compensation reported is from the Fund's inception date of September 22, 2020 to March 31, 2021. |
2 | For the iShares ESG Screened S&P Mid-Cap ETF, compensation reported is from the Fund's inception date of September 22, 2020 to March 31, 2021. |
3 | For the iShares ESG Screened S&P Small-Cap ETF, compensation reported is from the Fund's inception date of September 22, 2020 to March 31, 2021. |
4 | For the iShares International Developed Small Cap Value Factor ETF, compensation reported is from the Fund's inception date of March 23, 2021 to March 31, 2021. |
5 | For the iShares US Small Cap Value Factor ETF, compensation reported is from the Fund's inception date of October 27, 2020 to March 31, 2021. |
6 | No Trustee or officer is entitled to any pension or retirement benefits from the Trust. |
7 | Also includes compensation for service on the Board of Trustees of iShares U.S. ETF Trust and the Board of Directors of iShares, Inc. |
1 | With respect to the iShares Residential and Multisector Real Estate ETF, beneficial ownership of shares held in the names of the DTC participants is provided as of July 16, 2021. |
Fund | Name |
Percentage
of Ownership |
||
iShares Biotechnology ETF |
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
18.79% | ||
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
11.99% | |||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
11.27% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
8.44% | |||
iShares Core S&P 500 ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
15.85% | ||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
9.00% | |||
Pershing
LLC
One Pershing Plaza Jersey City, NJ 07399 |
6.64% | |||
iShares Core S&P Mid-Cap ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
14.07% | ||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
10.59% | |||
Pershing
LLC
One Pershing Plaza Jersey City, NJ 07399 |
6.87% | |||
Wells
Fargo Clearing Services LLC
2801 Market Street St Louis, MO 63103 |
5.13% | |||
iShares Core S&P Small-Cap ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
16.84% | ||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
12.45% |
Fund | Name |
Percentage
of Ownership |
||
Pershing
LLC
One Pershing Plaza Jersey City, NJ 07399 |
8.40% | |||
iShares Core S&P Total U.S. Stock Market ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
27.15% | ||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
7.66% | |||
Wells
Fargo Clearing Services LLC
2801 Market Street St Louis, MO 63103 |
6.47% | |||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
5.95% | |||
Wells
Fargo Bank, National Association
733 Marquette Ave 4th Floor Minneapolis, MN 55402 |
5.63% | |||
iShares Core S&P U.S. Growth ETF |
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
29.36% | ||
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
14.84% | |||
LPL
Financial Corporation
9785 Towne Centre Drive San Diego, CA 92121-1968 |
13.12% | |||
Edward
D. Jones & Co.
12555 Manchester Road Saint Louis, MO 63131 |
8.74% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
6.64% | |||
iShares Core S&P U.S. Value ETF |
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
34.67% | ||
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
16.55% | |||
LPL
Financial Corporation
9785 Towne Centre Drive San Diego, CA 92121-1968 |
8.64% |
Fund | Name |
Percentage
of Ownership |
||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
6.91% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
6.43% | |||
iShares ESG Screened S&P 500 ETF |
Citibank,
N.A.
3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
76.44% | ||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
6.51% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
5.60% | |||
iShares ESG Screened S&P Mid-Cap ETF |
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
26.72% | ||
Citibank,
N.A.
3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
25.25% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
11.94% | |||
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
10.78% | |||
JPMorgan
Chase Bank, National Association
500 Stanton Christiana Road Newark, DE 19713 |
7.07% | |||
iShares ESG Screened S&P Small-Cap ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
21.77% | ||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
18.02% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
14.72% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
14.53% |
Fund | Name |
Percentage
of Ownership |
||
JPMorgan
Chase Bank, National Association
500 Stanton Christiana Road Newark, DE 19713 |
8.08% | |||
Pershing
LLC
One Pershing Plaza Jersey City, NJ 07399 |
6.09% | |||
iShares Europe ETF |
JPMorgan
Chase Bank, National Association
500 Stanton Christiana Road Newark, DE 19713 |
33.52% | ||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
8.23% | |||
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
6.75% | |||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
5.77% | |||
Citibank,
N.A.
3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
5.16% | |||
Euroclear
Bank
1, Boulevard du Roi Albert II 1210 Brussels, Belgium |
5.03% | |||
iShares Expanded Tech Sector ETF |
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
16.09% | ||
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
15.01% | |||
JPMorgan
Chase Bank, National Association
500 Stanton Christiana Road Newark, DE 19713 |
10.59% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
5.51% | |||
Citibank,
N.A.
3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
5.10% | |||
iShares Expanded Tech-Software Sector ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
15.55% | ||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
14.56% |
Fund | Name |
Percentage
of Ownership |
||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
7.97% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
6.11% | |||
Citibank,
N.A.
3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
5.96% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
5.40% | |||
iShares Factors US Blend Style ETF |
State
Street Bank and Trust Company
1776 Heritage Drive North Quincy, MA 02171 |
96.67% | ||
iShares Factors US Growth Style ETF |
State
Street Bank and Trust Company
1776 Heritage Drive North Quincy, MA 02171 |
70.00% | ||
ABN
AMRO Clearing Chicago LLC
175 West Jackson Boulevard Chicago, IL 60604 |
21.38% | |||
iShares Factors US Mid Blend Style ETF |
State
Street Bank and Trust Company
1776 Heritage Drive North Quincy, MA 02171 |
96.00% | ||
iShares Factors US Small Blend Style ETF |
State
Street Bank and Trust Company
1776 Heritage Drive North Quincy, MA 02171 |
76.00% | ||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
15.71% | |||
iShares Factors US Value Style ETF |
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
85.99% | ||
Morgan
Stanley & Co. Incorporated
One Pierrepont Plaza 8th Floor Brooklyn, NY 11201 |
5.52% | |||
iShares Focused Value Factor ETF |
State
Street Bank and Trust Company
1776 Heritage Drive North Quincy, MA 02171 |
29.57% |
Fund | Name |
Percentage
of Ownership |
||
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
13.56% | |||
Pershing
LLC
One Pershing Plaza Jersey City, NJ 07399 |
11.73% | |||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
8.26% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
6.97% | |||
ABN
AMRO Clearing Chicago LLC
175 West Jackson Boulevard Chicago, IL 60604 |
6.89% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
5.36% | |||
iShares Global Consumer Staples ETF |
JPMorgan
Chase Bank, National Association
500 Stanton Christiana Road Newark, DE 19713 |
19.38% | ||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
12.19% | |||
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
9.54% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
6.42% | |||
Citibank,
N.A.
3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
5.21% | |||
iShares Global Energy ETF |
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
12.45% | ||
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
12.38% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
8.83% |
Fund | Name |
Percentage
of Ownership |
||
Citibank,
N.A.
3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
6.46% | |||
iShares Global Financials ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
27.06% | ||
Pershing
LLC
One Pershing Plaza Jersey City, NJ 07399 |
10.19% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
9.29% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
7.58% | |||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
6.59% | |||
LPL
Financial Corporation
9785 Towne Centre Drive San Diego, CA 92121-1968 |
5.56% | |||
iShares Global Industrials ETF |
BlackRock
Institutional Trust Company, N.A.
400 Howard Street San Francisco, CA 94105 |
16.09% | ||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
13.83% | |||
Bank
of America, National Association
GWIM TRUST OPERATIONS 411 N. Akard Street 5th Floor Dallas, TX 75201 |
10.21% | |||
The
Bank of New York Mellon
111 Sanders Creek Parkway 2nd Floor East Syracuse, NY 13057 |
6.88% | |||
JPMorgan
Chase Bank, National Association
500 Stanton Christiana Road Newark, DE 19713 |
6.46% | |||
Brown
Brothers Harriman & Co.
525 Washington Blvd. 11th Floor Jersey City, NJ 07310 |
6.22% | |||
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
5.76% |
Fund | Name |
Percentage
of Ownership |
||
iShares Global Infrastructure ETF |
Northern
Trust Company (The)
801 South Canal Street Chicago, IL 60607 |
24.02% | ||
JPMorgan
Chase Bank, National Association
500 Stanton Christiana Road Newark, DE 19713 |
21.02% | |||
State
Street Bank and Trust Company
1776 Heritage Drive North Quincy, MA 02171 |
7.06% | |||
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
6.20% | |||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
5.13% | |||
iShares Global Utilities ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
15.13% | ||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
12.66% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
8.86% | |||
Ameriprise
Enterprise Investment Services, Inc.
901 3rd Avenue South Minneapolis, MN 55474 |
7.70% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
6.21% | |||
Citibank,
N.A.
3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
5.69% | |||
iShares International Developed Property ETF |
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
26.75% | ||
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
16.55% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
7.88% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
7.28% |
Fund | Name |
Percentage
of Ownership |
||
JPMorgan
Chase Bank, National Association
500 Stanton Christiana Road Newark, DE 19713 |
7.06% | |||
iShares International Developed Small Cap Value Factor ETF |
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
17.77% | ||
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
16.49% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
15.21% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
8.93% | |||
J.P.
Morgan Securities, LLC/JPMC
500 Stanton Christiana Road Newark, DE 19713 |
7.51% | |||
Goldman
Sachs & Co. LLC
200 West Street New York, NY 10282-2198 |
7.38% | |||
iShares International Preferred Stock ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
13.16% | ||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
11.48% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
8.12% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
6.92% | |||
Ameriprise
Enterprise Investment Services, Inc.
901 3rd Avenue South Minneapolis, MN 55474 |
6.50% | |||
Pershing
LLC
One Pershing Plaza Jersey City, NJ 07399 |
5.22% | |||
iShares JPX-Nikkei 400 ETF |
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
11.47% | ||
J.P.
Morgan Securities, LLC/JPMC
500 Stanton Christiana Road Newark, DE 19713 |
10.63% |
Fund | Name |
Percentage
of Ownership |
||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
9.84% | |||
Northern
Trust Company (The)
801 South Canal Street Chicago, IL 60607 |
8.34% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
8.16% | |||
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
6.68% | |||
The
Bank of New York Mellon
111 Sanders Creek Parkway 2nd Floor East Syracuse, NY 13057 |
5.47% | |||
iShares Micro-Cap ETF |
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
25.91% | ||
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
22.89% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
10.94% | |||
State
Street Bank and Trust Company
1776 Heritage Drive North Quincy, MA 02171 |
5.21% | |||
Pershing
LLC
One Pershing Plaza Jersey City, NJ 07399 |
5.07% | |||
iShares Mortgage Real Estate ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
15.54% | ||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
12.53% | |||
Pershing
LLC
One Pershing Plaza Jersey City, NJ 07399 |
10.93% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
8.67% | |||
Citibank,
N.A.
3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
6.37% |
Fund | Name |
Percentage
of Ownership |
||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
6.32% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
6.01% | |||
iShares North American Natural Resources ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
13.48% | ||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
12.65% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
11.89% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
11.69% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
5.95% | |||
VANGUARD
Marketing Corporation
100 Vanguard Boulevard Malvern, PA 19355 |
5.06% | |||
iShares North American Tech-Multimedia Networking ETF |
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
25.93% | ||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
16.55% | |||
Wells
Fargo Clearing Services LLC
2801 Market Street St Louis, MO 63103 |
9.60% | |||
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
8.97% | |||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
5.42% | |||
iShares Preferred and Income Securities ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
16.28% |
Fund | Name |
Percentage
of Ownership |
||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
13.54% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
6.64% | |||
Wells
Fargo Clearing Services LLC
2801 Market Street St Louis, MO 63103 |
6.18% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
5.37% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
5.11% | |||
iShares Residential and Multisector Real Estate ETF1 |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
18.40% | ||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
16.32% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
11.58% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
6.17% | |||
Pershing
LLC
One Pershing Plaza Jersey City, NJ 07399 |
5.89% | |||
Ameriprise
Enterprise Investment Services, Inc.
901 3rd Avenue South Minneapolis, MN 55474 |
5.09% | |||
iShares Russell 1000 ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
19.48% | ||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
14.96% | |||
Pershing
LLC
One Pershing Plaza Jersey City, NJ 07399 |
6.11% | |||
Edward
D. Jones & Co.
12555 Manchester Road Saint Louis, MO 63131 |
5.47% |
Fund | Name |
Percentage
of Ownership |
||
State
Street Bank and Trust Company
1776 Heritage Drive North Quincy, MA 02171 |
5.11% | |||
iShares Russell 1000 Growth ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
15.68% | ||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
14.42% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
10.71% | |||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
8.12% | |||
iShares Russell 1000 Pure U.S. Revenue ETF |
Merrill
Lynch, Pierce, Fenner & Smith Incorporated
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
23.10% | ||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
19.83% | |||
LPL
Financial Corporation
9785 Towne Centre Drive San Diego, CA 92121-1968 |
17.00% | |||
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
6.47% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
6.12% | |||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
5.30% | |||
iShares Russell 1000 Value ETF |
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
14.58% | ||
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
11.78% |
Fund | Name |
Percentage
of Ownership |
||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
11.70% | |||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
5.43% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
5.32% | |||
iShares Russell 2000 ETF |
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
11.15% | ||
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
10.46% | |||
Wells
Fargo Clearing Services LLC
2801 Market Street St Louis, MO 63103 |
7.65% | |||
Bank
of America, National Association
GWIM TRUST OPERATIONS 411 N. Akard Street 5th Floor Dallas, TX 75201 |
6.01% | |||
iShares Russell 2000 Growth ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
11.70% | ||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
10.70% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
9.04% | |||
Pershing
LLC
One Pershing Plaza Jersey City, NJ 07399 |
5.93% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
5.40% | |||
Wells
Fargo Clearing Services LLC
2801 Market Street St Louis, MO 63103 |
5.09% | |||
iShares Russell 2000 Value ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
11.84% | ||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
11.00% |
Fund | Name |
Percentage
of Ownership |
||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
9.39% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
7.60% | |||
Pershing
LLC
One Pershing Plaza Jersey City, NJ 07399 |
5.25% | |||
Edward
D. Jones & Co.
12555 Manchester Road Saint Louis, MO 63131 |
5.09% | |||
iShares Russell 3000 ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
18.24% | ||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
15.92% | |||
Pershing
LLC
One Pershing Plaza Jersey City, NJ 07399 |
6.30% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
5.57% | |||
iShares Russell Mid-Cap ETF |
Bank
of America, National Association
GWIM TRUST OPERATIONS 411 N. Akard Street 5th Floor Dallas, TX 75201 |
13.25% | ||
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
8.51% | |||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
7.04% | |||
Wells
Fargo Clearing Services LLC
2801 Market Street St Louis, MO 63103 |
6.69% | |||
Wells
Fargo Bank, National Association
733 Marquette Ave 4th Floor Minneapolis, MN 55402 |
5.39% | |||
Fund | Name |
Percentage
of Ownership |
||
iShares Russell Mid-Cap Growth ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
12.48% | ||
Pershing
LLC
One Pershing Plaza Jersey City, NJ 07399 |
11.18% | |||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
9.71% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
9.44% | |||
iShares Russell Mid-Cap Value ETF |
Pershing
LLC
One Pershing Plaza Jersey City, NJ 07399 |
14.81% | ||
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
11.53% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
9.95% | |||
Edward
D. Jones & Co.
12555 Manchester Road Saint Louis, MO 63131 |
8.01% | |||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
7.33% | |||
iShares Russell Top 200 ETF |
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
16.22% | ||
BMO
Harris Bank N.A.
111 West Monroe Street, Floor 6E Chicago, IL 60690 |
16.13% | |||
Reliance
Trust Company, FIS TrustDesk MKE
11277 West Park Place, Suite 300 Milwaukee, WI 53224 |
14.22% | |||
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
11.76% | |||
Ameriprise
Enterprise Investment Services, Inc.
901 3rd Avenue South Minneapolis, MN 55474 |
7.82% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
7.43% |
Fund | Name |
Percentage
of Ownership |
||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
5.85% | |||
iShares Russell Top 200 Growth ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
19.94% | ||
Reliance
Trust Company, FIS TrustDesk MKE
11277 West Park Place, Suite 300 Milwaukee, WI 53224 |
13.01% | |||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
9.54% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
8.67% | |||
SEI
Private Trust Company/C/O GWP
1 Freedom Valley Drive Oaks, PA 19456 |
7.29% | |||
Ameriprise
Enterprise Investment Services, Inc.
901 3rd Avenue South Minneapolis, MN 55474 |
5.82% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
5.55% | |||
iShares Russell Top 200 Value ETF |
Reliance
Trust Company, FIS TrustDesk MKE
11277 West Park Place, Suite 300 Milwaukee, WI 53224 |
25.41% | ||
SEI
Private Trust Company/C/O GWP
1 Freedom Valley Drive Oaks, PA 19456 |
20.76% | |||
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
16.97% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
8.99% | |||
iShares S&P 100 ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
13.99% | ||
Edward
D. Jones & Co.
12555 Manchester Road Saint Louis, MO 63131 |
13.17% | |||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
11.92% |
Fund | Name |
Percentage
of Ownership |
||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
8.96% | |||
Bank
of America, National Association
GWIM TRUST OPERATIONS 411 N. Akard Street 5th Floor Dallas, TX 75201 |
8.60% | |||
iShares S&P 500 Growth ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
18.63% | ||
JPMorgan
Chase Bank, National Association
500 Stanton Christiana Road Newark, DE 19713 |
10.52% | |||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
9.31% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
9.15% | |||
Edward
D. Jones & Co.
12555 Manchester Road Saint Louis, MO 63131 |
5.67% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
5.35% | |||
iShares S&P 500 Value ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
18.54% | ||
JPMorgan
Chase Bank, National Association
500 Stanton Christiana Road Newark, DE 19713 |
12.73% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
10.10% | |||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
7.94% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
5.76% |
Fund | Name |
Percentage
of Ownership |
||
Wells
Fargo Clearing Services LLC
2801 Market Street St Louis, MO 63103 |
5.61% | |||
iShares S&P Mid-Cap 400 Growth ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
16.92% | ||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
9.65% | |||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
8.86% | |||
Wells
Fargo Bank, National Association
733 Marquette Ave 4th Floor Minneapolis, MN 55402 |
8.02% | |||
Wells
Fargo Clearing Services LLC
2801 Market Street St Louis, MO 63103 |
6.22% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
5.56% | |||
iShares S&P Mid-Cap 400 Value ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
16.99% | ||
Pershing
LLC
One Pershing Plaza Jersey City, NJ 07399 |
13.29% | |||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
10.01% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
7.72% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
7.50% | |||
iShares S&P Small-Cap 600 Growth ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
19.23% | ||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
12.26% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
9.24% |
Fund | Name |
Percentage
of Ownership |
||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
7.19% | |||
Wells
Fargo Clearing Services LLC
2801 Market Street St Louis, MO 63103 |
5.68% | |||
iShares S&P Small-Cap 600 Value ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
20.52% | ||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
15.18% | |||
Edward
D. Jones & Co.
12555 Manchester Road Saint Louis, MO 63131 |
14.29% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
7.25% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
5.64% | |||
iShares Semiconductor ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
14.38% | ||
Citibank,
N.A.
3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
12.12% | |||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
9.09% | |||
JPMorgan
Chase Bank, National Association
500 Stanton Christiana Road Newark, DE 19713 |
8.77% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
5.66% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
5.62% | |||
The
Bank of New York Mellon
111 Sanders Creek Parkway 2nd Floor East Syracuse, NY 13057 |
5.10% | |||
Fund | Name |
Percentage
of Ownership |
||
iShares U.S. Aerospace & Defense ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
13.86% | ||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
10.51% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
8.44% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
7.06% | |||
Ameriprise
Enterprise Investment Services, Inc.
901 3rd Avenue South Minneapolis, MN 55474 |
6.13% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
5.78% | |||
Citibank,
N.A.
3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
5.72% | |||
Pershing
LLC
One Pershing Plaza Jersey City, NJ 07399 |
5.62% | |||
iShares U.S. Broker-Dealers & Securities Exchanges ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
35.90% | ||
Citibank,
N.A.
3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
13.36% | |||
The
Bank of New York Mellon
111 Sanders Creek Parkway 2nd Floor East Syracuse, NY 13057 |
7.03% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
6.75% | |||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
5.37% | |||
iShares U.S. Healthcare Providers ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
28.33% |
Fund | Name |
Percentage
of Ownership |
||
Citibank,
N.A.
3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
12.17% | |||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
11.27% | |||
Pershing
LLC
One Pershing Plaza Jersey City, NJ 07399 |
6.97% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
5.93% | |||
iShares U.S. Home Construction ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
13.89% | ||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
11.52% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
8.29% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
7.23% | |||
JPMorgan
Chase Bank, National Association
500 Stanton Christiana Road Newark, DE 19713 |
7.10% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
6.38% | |||
iShares U.S. Infrastructure ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
12.74% | ||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
12.38% | |||
Brown
Brothers Harriman & Co.
525 Washington Blvd. 11th Floor Jersey City, NJ 07310 |
11.35% | |||
Citibank,
N.A.
3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
8.63% |
Fund | Name |
Percentage
of Ownership |
||
Pershing
LLC
One Pershing Plaza Jersey City, NJ 07399 |
7.98% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
6.82% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
6.49% | |||
iShares U.S. Insurance ETF |
BNP
Paribas, New York Branch/Custody Services
525 Washington BLVD. Jersey City, NJ 07310 |
24.74% | ||
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
12.52% | |||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
8.27% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
7.82% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
7.39% | |||
iShares U.S. Medical Devices ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
15.02% | ||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
11.43% | |||
Citibank,
N.A.
3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
6.61% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
6.47% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
5.25% | |||
Pershing
LLC
One Pershing Plaza Jersey City, NJ 07399 |
5.16% | |||
Fund | Name |
Percentage
of Ownership |
||
iShares U.S. Oil & Gas Exploration & Production ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
17.86% | ||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
10.92% | |||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
9.66% | |||
Raymond,
James & Associates, Inc.
880 Carillon Parkway P.O. Box 12749 St. Petersburg, FL 33733 |
8.99% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
7.14% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
5.83% | |||
Wells
Fargo Clearing Services LLC
2801 Market Street St Louis, MO 63103 |
5.74% | |||
iShares U.S. Oil Equipment & Services ETF |
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
14.38% | ||
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
13.33% | |||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
12.99% | |||
Wells
Fargo Clearing Services LLC
2801 Market Street St Louis, MO 63103 |
7.86% | |||
Pershing
LLC
One Pershing Plaza Jersey City, NJ 07399 |
7.78% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
6.15% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
5.93% |
Fund | Name |
Percentage
of Ownership |
||
Citibank,
N.A.
3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
5.67% | |||
iShares U.S. Pharmaceuticals ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
15.67% | ||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
12.26% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
8.43% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
7.28% | |||
Wells
Fargo Clearing Services LLC
2801 Market Street St Louis, MO 63103 |
6.71% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
6.10% | |||
iShares U.S. Real Estate ETF |
Barclays
Bank PLC (New York Branch)
745 Seventh Avenue New York, New York 10019 |
16.88% | ||
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
16.11% | |||
CIBC
World Markets Inc./CDS
161 Bay Street 10th Floor Toronto, ON M5J 258 CA |
7.63% | |||
iShares U.S. Regional Banks ETF |
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
14.39% | ||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
10.02% | |||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
8.92% |
Fund | Name |
Percentage
of Ownership |
||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
7.60% | |||
Wells
Fargo Clearing Services LLC
2801 Market Street St Louis, MO 63103 |
7.10% | |||
Raymond,
James & Associates, Inc.
880 Carillon Parkway P.O. Box 12749 St. Petersburg, FL 33733 |
6.05% | |||
iShares U.S. Telecommunications ETF |
Morgan
Stanley & Co. Incorporated
One Pierrepont Plaza 8th Floor Brooklyn, NY 11201 |
21.40% | ||
Morgan
Stanley Smith Barney LLC
One New York Plaza New York, NY 10004 |
10.91% | |||
National
Financial Services LLC
499 Washington Blvd Jersey City, NJ 07310 |
10.09% | |||
State
Street Bank and Trust Company
1776 Heritage Drive North Quincy, MA 02171 |
8.10% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub
101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
6.84% | |||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
6.23% | |||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
5.46% | |||
Wells
Fargo Clearing Services LLC
2801 Market Street St Louis, MO 63103 |
5.07% | |||
iShares US Small Cap Value Factor ETF |
State
Street Bank and Trust Company
1776 Heritage Drive North Quincy, MA 02171 |
32.82% | ||
TD
Ameritrade Clearing, Inc.
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
20.19% | |||
Charles
Schwab & Co., Inc.
101 Montgomery Street San Francisco, CA 94014 |
13.71% |
Fund | Name |
Percentage
of Ownership |
||
Interactive
Brokers Retail Equity Clearing
8 Greenwich Office Park Greenwich, CT 06831 |
6.80% |
1 | With respect to the iShares Residential and Multisector Real Estate ETF, beneficial ownership of shares held in the names of the DTC participants is provided as of July 16, 2021. |
Fund |
Management
Fee for the Fiscal Year Ended March 31, 2021 |
Fund
Inception Date |
Management
Fees Paid Net of Waivers for Fiscal Year Ended March 31, 2021 |
Management
Fees Paid Net of Waivers for Fiscal Year Ended March 31, 2020 |
Management
Fees Paid Net of Waivers for Fiscal Year Ended March 31, 2019 |
|||||
iShares Biotechnology ETF | 0.45% | 02/05/01 | $ 43,022,522 | 33,317,845 | 40,352,267 | |||||
iShares Core S&P 500 ETF1 | 0.03% | 05/15/00 | 69,436,582 | $ 74,924,021 | $ 62,132,849 | |||||
iShares Core S&P Mid-Cap ETF2 | 0.05% | 05/22/00 | 24,781,969 | 33,218,024 | 32,885,361 |
Fund |
Management
Fee for the Fiscal Year Ended March 31, 2021 |
Fund
Inception Date |
Management
Fees Paid Net of Waivers for Fiscal Year Ended March 31, 2021 |
Management
Fees Paid Net of Waivers for Fiscal Year Ended March 31, 2020 |
Management
Fees Paid Net of Waivers for Fiscal Year Ended March 31, 2019 |
|||||
iShares Core S&P Small-Cap ETF3 | 0.06% | 05/22/00 | 29,516,775 | 30,926,871 | 29,770,009 | |||||
iShares Core S&P Total U.S. Stock Market ETF | 0.03% | 01/20/04 | 8,566,779 | 6,752,170 | 4,621,214 | |||||
iShares Core S&P U.S. Growth ETF4,5 | 0.04% | 07/24/00 | 3,779,834 | 2,802,987 | 2,053,877 | |||||
iShares Core S&P U.S. Value ETF6,7 | 0.04% | 07/24/00 | 2,764,320 | 2,410,447 | 1,821,335 | |||||
iShares ESG Screened S&P 500 ETF | 0.08% | 09/22/20 | 4,340 | N/A | N/A | |||||
iShares ESG Screened S&P Mid-Cap ETF | 0.12% | 09/22/20 | 7,032 | N/A | N/A | |||||
iShares ESG Screened S&P Small-Cap ETF | 0.12% | 09/22/20 | 4,603 | N/A | N/A | |||||
iShares Europe ETF | 0.59% | 07/25/00 | 8,644,209 | 10,144,672 | 13,701,876 | |||||
iShares Expanded Tech Sector ETF | 0.43% | 03/13/01 | 11,758,120 | 7,891,981 | 7,000,292 | |||||
iShares Expanded Tech-Software Sector ETF | 0.43% | 07/10/01 | 21,759,846 | 12,995,214 | 9,059,494 | |||||
iShares Factors US Blend Style ETF | 0.25% | 04/14/20 | 13,553 | N/A | N/A | |||||
iShares Factors US Growth Style ETF | 0.25% | 01/14/20 | 12,194 | 2,452 | N/A | |||||
iShares Factors US Mid Blend Style ETF | 0.30% | 04/14/20 | 16,653 | N/A | N/A | |||||
iShares Factors US Small Blend Style ETF | 0.35% | 04/14/20 | 20,838 | N/A | N/A | |||||
iShares Factors US Value Style ETF | 0.25% | 01/14/20 | 15,225 | 2,360 | N/A | |||||
iShares Focused Value Factor ETF | 0.25% | 03/19/19 | 60,220 | 75,293 | 2,584 | |||||
iShares Global Consumer Staples ETF | 0.43% | 09/12/06 | 2,645,526 | 3,590,044 | 2,775,830 | |||||
iShares Global Energy ETF | 0.43% | 11/12/01 | 4,371,486 | 4,063,298 | 6,618,817 | |||||
iShares Global Financials ETF | 0.43% | 11/12/01 | 1,199,466 | 1,605,234 | 2,193,570 | |||||
iShares Global Industrials ETF | 0.43% | 09/12/06 | 1,249,849 | 1,037,852 | 1,066,835 | |||||
iShares Global Infrastructure ETF | 0.43% | 12/10/07 | 13,298,158 | 14,567,869 | 12,129,701 | |||||
iShares Global Utilities ETF | 0.43% | 09/12/06 | 653,563 | 975,604 | 808,901 | |||||
iShares International Developed Property ETF | 0.48% | 07/30/07 | 418,471 | 573,387 | 740,643 | |||||
iShares International Developed Small Cap Value Factor ETF8 | 0.40% | 03/23/21 | 397 | N/A | N/A | |||||
iShares International Preferred Stock ETF | 0.55% | 11/15/11 | 218,824 | 237,144 | 351,058 | |||||
iShares JPX-Nikkei 400 ETF | 0.48% | 10/23/01 | 431,089 | 504,105 | 552,066 | |||||
iShares Micro-Cap ETF | 0.60% | 08/12/05 | 5,201,740 | 4,949,924 | 5,879,853 | |||||
iShares Mortgage Real Estate ETF | 0.48% | 05/01/07 | 5,232,076 | 6,239,681 | 5,537,565 | |||||
iShares North American Natural Resources ETF | 0.43% | 10/22/01 | 1,561,611 | 2,539,091 | 4,158,779 | |||||
iShares North American Tech-Multimedia Networking ETF | 0.43% | 07/10/01 | 243,993 | 440,707 | 295,744 | |||||
iShares Preferred and Income Securities ETF | 0.46% | 03/26/07 | 78,580,680 | 74,532,199 | 71,662,596 | |||||
iShares Residential and Multisector Real Estate ETF | 0.48% | 05/01/07 | 1,826,559 | 2,433,983 | 1,557,123 | |||||
iShares Russell 1000 ETF | 0.15% | 05/15/00 | 35,516,656 | 31,099,669 | 28,891,918 | |||||
iShares Russell 1000 Growth ETF | 0.19% | 05/22/00 | 109,342,698 | 88,623,531 | 81,066,625 | |||||
iShares Russell 1000 Pure U.S. Revenue ETF | 0.15% | 08/08/17 | 5,098 | 10,775 | 15,037 | |||||
iShares Russell 1000 Value ETF | 0.19% | 05/22/00 | 73,057,751 | 75,215,158 | 72,296,148 | |||||
iShares Russell 2000 ETF | 0.19% | 05/22/00 | 90,697,637 | 82,712,541 | 86,432,537 | |||||
iShares Russell 2000 Growth ETF | 0.24% | 07/24/00 | 23,925,121 | 21,923,827 | 23,820,419 | |||||
iShares Russell 2000 Value ETF | 0.24% | 07/24/00 | 23,543,815 | 21,691,959 | 23,374,879 | |||||
iShares Russell 3000 ETF | 0.20% | 05/22/00 | 19,785,315 | 19,171,357 | 17,791,366 | |||||
iShares Russell Mid-Cap ETF | 0.19% | 07/17/01 | 41,419,168 | 38,318,932 | 34,171,037 | |||||
iShares Russell Mid-Cap Growth ETF | 0.23% | 07/17/01 | 31,531,084 | 26,392,390 | 22,011,635 | |||||
iShares Russell Mid-Cap Value ETF | 0.23% | 07/17/01 | 24,870,342 | 26,350,943 | 26,404,854 | |||||
iShares Russell Top 200 ETF | 0.15% | 09/22/09 | 1,134,570 | 424,813 | 250,017 | |||||
iShares Russell Top 200 Growth ETF | 0.20% | 09/22/09 | 5,931,864 | 3,141,738 | 2,332,597 | |||||
iShares Russell Top 200 Value ETF | 0.20% | 09/22/09 | 1,497,672 | 932,744 | 687,009 |
Fund |
Management
Fee for the Fiscal Year Ended March 31, 2021 |
Fund
Inception Date |
Management
Fees Paid Net of Waivers for Fiscal Year Ended March 31, 2021 |
Management
Fees Paid Net of Waivers for Fiscal Year Ended March 31, 2020 |
Management
Fees Paid Net of Waivers for Fiscal Year Ended March 31, 2019 |
|||||
iShares S&P 100 ETF | 0.20% | 10/23/00 | 13,525,268 | 10,413,242 | 9,563,478 | |||||
iShares S&P 500 Growth ETF | 0.18% | 05/22/00 | 53,306,907 | 42,676,987 | 38,556,294 | |||||
iShares S&P 500 Value ETF | 0.18% | 05/22/00 | 30,589,520 | 28,889,406 | 27,220,301 | |||||
iShares S&P Mid-Cap 400 Growth ETF9 | 0.17% | 07/24/00 | 14,082,702 | 17,626,271 | 18,717,827 | |||||
iShares S&P Mid-Cap 400 Value ETF10 | 0.18% | 07/24/00 | 10,954,940 | 15,415,355 | 14,907,782 | |||||
iShares S&P Small-Cap 600 Growth ETF11 | 0.18% | 07/24/00 | 10,104,212 | 13,150,607 | 15,147,750 | |||||
iShares S&P Small-Cap 600 Value ETF12 | 0.18% | 07/24/00 | 11,995,641 | 15,214,258 | 15,183,210 | |||||
iShares Semiconductor ETF | 0.43% | 07/10/01 | 17,190,459 | 8,388,652 | 6,666,118 | |||||
iShares U.S. Aerospace & Defense ETF | 0.42% | 05/01/06 | 11,919,557 | 21,997,510 | 23,331,067 | |||||
iShares U.S. Broker-Dealers & Securities Exchanges ETF | 0.41% | 05/01/06 | 647,588 | 993,296 | 1,386,691 | |||||
iShares U.S. Healthcare Providers ETF | 0.42% | 05/01/06 | 4,161,177 | 3,633,778 | 3,478,792 | |||||
iShares U.S. Home Construction ETF | 0.41% | 05/01/06 | 7,732,555 | 5,122,351 | 4,768,073 | |||||
iShares U.S. Infrastructure ETF | 0.40% | 04/03/18 | 292,940 | 25,910 | 13,679 | |||||
iShares U.S. Insurance ETF | 0.42% | 05/01/06 | 271,933 | 427,882 | 471,811 | |||||
iShares U.S. Medical Devices ETF | 0.41% | 05/01/06 | 32,322,722 | 17,643,706 | 11,341,826 | |||||
iShares U.S. Oil & Gas Exploration & Production ETF | 0.42% | 05/01/06 | 778,748 | 924,540 | 1,841,405 | |||||
iShares U.S. Oil Equipment & Services ETF | 0.41% | 05/01/06 | 504,616 | 403,788 | 1,041,699 | |||||
iShares U.S. Pharmaceuticals ETF | 0.42% | 05/01/06 | 1,465,895 | 1,433,214 | 1,706,911 | |||||
iShares U.S. Real Estate ETF | 0.41% | 06/12/00 | 16,342,186 | 18,802,776 | 16,465,653 | |||||
iShares U.S. Regional Banks ETF | 0.41% | 05/01/06 | 1,180,280 | 1,770,835 | 3,277,841 | |||||
iShares U.S. Telecommunications ETF | 0.42% | 05/22/00 | 1,562,055 | 1,774,010 | 1,886,454 | |||||
iShares US Small Cap Value Factor ETF13 | 0.30% | 10/27/20 | 43,166 | N/A | N/A |
1 | Effective June 25, 2020, the management fee for the iShares Core S&P 500 ETF is 0.03%. Prior to June 25, 2020, the management fee for the iShares Core S&P 500 ETF was 0.04%. |
2 | Effective June 25, 2020, the management fee for the iShares Core S&P Mid-Cap ETF is 0.05%. From December 13, 2019 to June 24, 2020, the management fee for the iShares Core S&P Mid-Cap ETF was 0.06%. Prior to December 13, 2019, the management fee for the iShares Core S&P Mid-Cap ETF was 0.07%. |
3 | Effective June 25, 2020, the management fee for the iShares Core S&P Small-Cap ETF is 0.06%. Prior to June 25, 2020, the management fee for the iShares Core S&P Small-Cap ETF was 0.07%. |
4 | Effective June 26, 2018, the management fee for the iShares Core S&P U.S. Growth ETF is 0.04%. Prior to June 26, 2018, the management fee for the iShares Core S&P U.S. Growth ETF was 0.05%. |
5 | For the iShares Core S&P U.S. Growth ETF, BFA contractually agreed to waive a portion of its management fee such that the Fund’s total annual fund operating expenses after fee waiver will not exceed 0.04% effective June 1, 2018 through May 30, 2023. The contractual waiver was discontinued beginning on June 26, 2018. For the fiscal year ended March 31, 2019, BFA waived $29,398 of management fees. |
6 | Effective June 26, 2018, the management fee for the iShares Core S&P U.S. Value ETF is 0.04%. Prior to June 26, 2018, the management fee for the iShares Core S&P U.S. Value ETF was 0.05%. |
7 | For the iShares Core S&P U.S. Value ETF, BFA contractually agreed to waive a portion of its management fee such that the Fund’s total annual fund operating expenses after fee waiver will not exceed 0.04% effective June 1, 2018 through May 30, 2023. The contractual waiver was discontinued beginning on June 26, 2018. For the fiscal year ended March 31, 2019, BFA waived $26,299 of management fees. |
8 | For the iShares International Developed Small Cap Value Factor ETF, BFA contractually agreed to waive a portion of its management fee such that the Fund’s total annual fund operating expenses after fee waiver will not exceed 0.30% effective November 9, 2020 through March 31, 2023. The contractual waiver may be terminated prior to March 31, 2023 only upon written agreement of the Trust and BFA. For the fiscal year ended March 31, 2021, BFA waived $132 of management fees. |
9 | Effective October 19, 2020, the management fee for the iShares S&P Mid-Cap 400 Growth ETF is 0.17%. Prior to October 19, 2020, the management fee for the iShares S&P Mid-Cap 400 Growth ETF was 0.24%. |
10 | Effective October 19, 2020, the management fee for the iShares S&P Mid-Cap 400 Value ETF is 0.18%. Prior to October 19, 2020, the management fee for the iShares S&P Mid-Cap 400 Value ETF was 0.25%. |
11 | Effective October 19, 2020, the management fee for the iShares S&P Small-Cap 600 Growth ETF is 0.18%. Prior to October 19, 2020, the management fee for the iShares S&P Small-Cap 600 Growth ETF was 0.25%. |
12 | Effective October 19, 2020, the management fee for the iShares S&P Small-Cap 600 Value ETF is 0.18%. Prior to October 19, 2020, the management fee for the iShares S&P Small-Cap 600 Value ETF was 0.25%. |
13 | Effective November 9, 2020, for the iShares US Small Cap Value Factor ETF, BFA contractually agreed to waive a portion of its management fee such that the Fund’s total annual fund operating expenses after fee waiver will not exceed 0.20% effective November 9, 2020 through March 31, 2023. The contractual waiver may be terminated prior to March 31, 2023 only upon written agreement of the Trust and BFA. For the fiscal year ended March 31, 2021, BFA waived $21,391 of management fees. |
Jennifer Hsui | ||||
Types of Accounts | Number | Total Assets | ||
Registered Investment Companies | 195 | $634,081,000,000 | ||
Other Pooled Investment Vehicles | 57 | 86,063,000,000 | ||
Other Accounts | 25 | 28,568,000,000 |
Alan Mason | ||||
Types of Accounts | Number | Total Assets | ||
Registered Investment Companies | 200 | $634,811,000,000 | ||
Other Pooled Investment Vehicles | 0 | N/A | ||
Other Accounts | 2 | 845,000,000 |
Greg Savage | ||||
Types of Accounts | Number | Total Assets | ||
Registered Investment Companies | 193 | $622,526,000,000 | ||
Other Pooled Investment Vehicles | 30 | 2,605,000,000 | ||
Other Accounts | 65 | 15,924,000,000 |
Amy Whitelaw | ||||
Types of Accounts | Number | Total Assets | ||
Registered Investment Companies | 195 | $631,439,000,000 | ||
Other Pooled Investment Vehicles | 96 | 44,113,000,000 | ||
Other Accounts | 3 | 131,000,000 |
Jennifer Hsui | ||||
Types of Accounts |
Number
of Other
Accounts with Performance Fees Managed by Portfolio Manager |
Aggregate
of Total Assets |
||
Registered Investment Companies | 0 | N/A | ||
Other Pooled Investment Vehicles | 0 | N/A |
Jennifer Hsui | ||||
Types of Accounts |
Number
of Other
Accounts with Performance Fees Managed by Portfolio Manager |
Aggregate
of Total Assets |
||
Other Accounts | 0 | N/A |
Alan Mason | ||||
Types of Accounts |
Number
of Other
Accounts with Performance Fees Managed by Portfolio Manager |
Aggregate
of Total Assets |
||
Registered Investment Companies | 0 | N/A | ||
Other Pooled Investment Vehicles | 0 | N/A | ||
Other Accounts | 0 | N/A |
Greg Savage | ||||
Types of Accounts |
Number
of Other
Accounts with Performance Fees Managed by Portfolio Manager |
Aggregate
of Total Assets |
||
Registered Investment Companies | 0 | N/A | ||
Other Pooled Investment Vehicles | 0 | N/A | ||
Other Accounts | 1 | $2,998,410,000 |
Amy Whitelaw | ||||
Types of Accounts |
Number
of Other
Accounts with Performance Fees Managed by Portfolio Manager |
Aggregate
of Total Assets |
||
Registered Investment Companies | 0 | N/A | ||
Other Pooled Investment Vehicles | 0 | N/A | ||
Other Accounts | 0 | N/A |
Jennifer Hsui | |||||||||||||||
Dollar Range | |||||||||||||||
Fund | None | $1 to $10k |
$10,001
to $50k |
$50,001
to $100k |
$100,001
to $500k |
$500,001
to $1m |
over
$1m |
||||||||
iShares Biotechnology ETF | X | ||||||||||||||
iShares Core S&P 500 ETF | X | ||||||||||||||
iShares Core S&P Mid-Cap ETF | X | ||||||||||||||
iShares Core S&P Small-Cap ETF | X | ||||||||||||||
iShares Core S&P Total U.S. Stock Market ETF | X | ||||||||||||||
iShares Core S&P U.S. Growth ETF | X | ||||||||||||||
iShares Core S&P U.S. Value ETF | X | ||||||||||||||
iShares ESG Screened S&P 500 ETF | X | ||||||||||||||
iShares ESG Screened S&P Mid-Cap ETF | X | ||||||||||||||
iShares ESG Screened S&P Small-Cap ETF | X | ||||||||||||||
iShares Europe ETF | X | ||||||||||||||
iShares Expanded Tech Sector ETF | X | ||||||||||||||
iShares Expanded Tech-Software Sector ETF | X | ||||||||||||||
iShares Factors US Blend Style ETF | X | ||||||||||||||
iShares Factors US Growth Style ETF | X | ||||||||||||||
iShares Factors US Mid Blend Style ETF | X | ||||||||||||||
iShares Factors US Small Blend Style ETF | X | ||||||||||||||
iShares Factors US Value Style ETF | X | ||||||||||||||
iShares Focused Value Factor ETF | X | ||||||||||||||
iShares Global Consumer Staples ETF | X | ||||||||||||||
iShares Global Energy ETF | X | ||||||||||||||
iShares Global Financials ETF | X | ||||||||||||||
iShares Global Industrials ETF | X | ||||||||||||||
iShares Global Infrastructure ETF | X | ||||||||||||||
iShares Global Utilities ETF | X | ||||||||||||||
iShares International Developed Property ETF | X | ||||||||||||||
iShares International Developed Small Cap Value Factor ETF | X | ||||||||||||||
iShares International Preferred Stock ETF | X | ||||||||||||||
iShares JPX-Nikkei 400 ETF | X | ||||||||||||||
iShares Micro-Cap ETF | X | ||||||||||||||
iShares Mortgage Real Estate ETF | X | ||||||||||||||
iShares North American Natural Resources ETF | X | ||||||||||||||
iShares North American Tech-Multimedia Networking ETF | X | ||||||||||||||
iShares Preferred and Income Securities ETF | X | ||||||||||||||
iShares Residential and Multisector Real Estate ETF | X | ||||||||||||||
iShares Russell 1000 ETF | X | ||||||||||||||
iShares Russell 1000 Growth ETF | X | ||||||||||||||
iShares Russell 1000 Pure U.S. Revenue ETF | X | ||||||||||||||
iShares Russell 1000 Value ETF | X | ||||||||||||||
iShares Russell 2000 ETF | X | ||||||||||||||
iShares Russell 2000 Growth ETF | X | ||||||||||||||
iShares Russell 2000 Value ETF | X | ||||||||||||||
iShares Russell 3000 ETF | X |
Jennifer Hsui | |||||||||||||||
Dollar Range | |||||||||||||||
Fund | None | $1 to $10k |
$10,001
to $50k |
$50,001
to $100k |
$100,001
to $500k |
$500,001
to $1m |
over
$1m |
||||||||
iShares Russell Mid-Cap ETF | X | ||||||||||||||
iShares Russell Mid-Cap Growth ETF | X | ||||||||||||||
iShares Russell Mid-Cap Value ETF | X | ||||||||||||||
iShares Russell Top 200 ETF | X | ||||||||||||||
iShares Russell Top 200 Growth ETF | X | ||||||||||||||
iShares Russell Top 200 Value ETF | X | ||||||||||||||
iShares S&P 100 ETF | X | ||||||||||||||
iShares S&P 500 Growth ETF | X | ||||||||||||||
iShares S&P 500 Value ETF | X | ||||||||||||||
iShares S&P Mid-Cap 400 Growth ETF | X | ||||||||||||||
iShares S&P Mid-Cap 400 Value ETF | X | ||||||||||||||
iShares S&P Small-Cap 600 Growth ETF | X | ||||||||||||||
iShares S&P Small-Cap 600 Value ETF | X | ||||||||||||||
iShares Semiconductor ETF | X | ||||||||||||||
iShares U.S. Aerospace & Defense ETF | X | ||||||||||||||
iShares U.S. Broker-Dealers & Securities Exchanges ETF | X | ||||||||||||||
iShares U.S. Healthcare Providers ETF | X | ||||||||||||||
iShares U.S. Home Construction ETF | X | ||||||||||||||
iShares U.S. Infrastructure ETF | X | ||||||||||||||
iShares U.S. Insurance ETF | X | ||||||||||||||
iShares U.S. Medical Devices ETF | X | ||||||||||||||
iShares U.S. Oil & Gas Exploration & Production ETF | X | ||||||||||||||
iShares U.S. Oil Equipment & Services ETF | X | ||||||||||||||
iShares U.S. Pharmaceuticals ETF | X | ||||||||||||||
iShares U.S. Real Estate ETF | X | ||||||||||||||
iShares U.S. Regional Banks ETF | X | ||||||||||||||
iShares U.S. Telecommunications ETF | X | ||||||||||||||
iShares US Small Cap Value Factor ETF | X |
Alan Mason | |||||||||||||||
Dollar Range | |||||||||||||||
Fund | None | $1 to $10k |
$10,001
to $50k |
$50,001
to $100k |
$100,001
to $500k |
$500,001
to $1m |
over
$1m |
||||||||
iShares Biotechnology ETF | X | ||||||||||||||
iShares Core S&P 500 ETF | X | ||||||||||||||
iShares Core S&P Mid-Cap ETF | X | ||||||||||||||
iShares Core S&P Small-Cap ETF | X | ||||||||||||||
iShares Core S&P Total U.S. Stock Market ETF | X | ||||||||||||||
iShares Core S&P U.S. Growth ETF | X | ||||||||||||||
iShares Core S&P U.S. Value ETF | X | ||||||||||||||
iShares ESG Screened S&P 500 ETF | X | ||||||||||||||
iShares ESG Screened S&P Mid-Cap ETF | X | ||||||||||||||
iShares ESG Screened S&P Small-Cap ETF | X |
Alan Mason | |||||||||||||||
Dollar Range | |||||||||||||||
Fund | None | $1 to $10k |
$10,001
to $50k |
$50,001
to $100k |
$100,001
to $500k |
$500,001
to $1m |
over
$1m |
||||||||
iShares Europe ETF | X | ||||||||||||||
iShares Expanded Tech Sector ETF | X | ||||||||||||||
iShares Expanded Tech-Software Sector ETF | X | ||||||||||||||
iShares Factors US Blend Style ETF | X | ||||||||||||||
iShares Factors US Growth Style ETF | X | ||||||||||||||
iShares Factors US Mid Blend Style ETF | X | ||||||||||||||
iShares Factors US Small Blend Style ETF | X | ||||||||||||||
iShares Factors US Value Style ETF | X | ||||||||||||||
iShares Focused Value Factor ETF | X | ||||||||||||||
iShares Global Consumer Staples ETF | X | ||||||||||||||
iShares Global Energy ETF | X | ||||||||||||||
iShares Global Financials ETF | X | ||||||||||||||
iShares Global Industrials ETF | X | ||||||||||||||
iShares Global Infrastructure ETF | X | ||||||||||||||
iShares Global Utilities ETF | X | ||||||||||||||
iShares International Developed Property ETF | X | ||||||||||||||
iShares International Developed Small Cap Value Factor ETF | X | ||||||||||||||
iShares International Preferred Stock ETF | X | ||||||||||||||
iShares JPX-Nikkei 400 ETF | X | ||||||||||||||
iShares Micro-Cap ETF | X | ||||||||||||||
iShares Mortgage Real Estate ETF | X | ||||||||||||||
iShares North American Natural Resources ETF | X | ||||||||||||||
iShares North American Tech-Multimedia Networking ETF | X | ||||||||||||||
iShares Preferred and Income Securities ETF | X | ||||||||||||||
iShares Residential and Multisector Real Estate ETF | X | ||||||||||||||
iShares Russell 1000 ETF | X | ||||||||||||||
iShares Russell 1000 Growth ETF | X | ||||||||||||||
iShares Russell 1000 Pure U.S. Revenue ETF | X | ||||||||||||||
iShares Russell 1000 Value ETF | X | ||||||||||||||
iShares Russell 2000 ETF | X | ||||||||||||||
iShares Russell 2000 Growth ETF | X | ||||||||||||||
iShares Russell 2000 Value ETF | X | ||||||||||||||
iShares Russell 3000 ETF | X | ||||||||||||||
iShares Russell Mid-Cap ETF | X | ||||||||||||||
iShares Russell Mid-Cap Growth ETF | X | ||||||||||||||
iShares Russell Mid-Cap Value ETF | X | ||||||||||||||
iShares Russell Top 200 ETF | X | ||||||||||||||
iShares Russell Top 200 Growth ETF | X | ||||||||||||||
iShares Russell Top 200 Value ETF | X | ||||||||||||||
iShares S&P 100 ETF | X | ||||||||||||||
iShares S&P 500 Growth ETF | X | ||||||||||||||
iShares S&P 500 Value ETF | X | ||||||||||||||
iShares S&P Mid-Cap 400 Growth ETF | X |
Alan Mason | |||||||||||||||
Dollar Range | |||||||||||||||
Fund | None | $1 to $10k |
$10,001
to $50k |
$50,001
to $100k |
$100,001
to $500k |
$500,001
to $1m |
over
$1m |
||||||||
iShares S&P Mid-Cap 400 Value ETF | X | ||||||||||||||
iShares S&P Small-Cap 600 Growth ETF | X | ||||||||||||||
iShares S&P Small-Cap 600 Value ETF | X | ||||||||||||||
iShares Semiconductor ETF | X | ||||||||||||||
iShares U.S. Aerospace & Defense ETF | X | ||||||||||||||
iShares U.S. Broker-Dealers & Securities Exchanges ETF | X | ||||||||||||||
iShares U.S. Healthcare Providers ETF | X | ||||||||||||||
iShares U.S. Home Construction ETF | X | ||||||||||||||
iShares U.S. Infrastructure ETF | X | ||||||||||||||
iShares U.S. Insurance ETF | X | ||||||||||||||
iShares U.S. Medical Devices ETF | X | ||||||||||||||
iShares U.S. Oil & Gas Exploration & Production ETF | X | ||||||||||||||
iShares U.S. Oil Equipment & Services ETF | X | ||||||||||||||
iShares U.S. Pharmaceuticals ETF | X | ||||||||||||||
iShares U.S. Real Estate ETF | X | ||||||||||||||
iShares U.S. Regional Banks ETF | X | ||||||||||||||
iShares U.S. Telecommunications ETF | X | ||||||||||||||
iShares US Small Cap Value Factor ETF | X |
Greg Savage | |||||||||||||||
Dollar Range | |||||||||||||||
Fund | None | $1 to $10k |
$10,001
to $50k |
$50,001
to $100k |
$100,001
to $500k |
$500,001
to $1m |
over
$1m |
||||||||
iShares Global Energy ETF | X | ||||||||||||||
iShares Global Financials ETF | X | ||||||||||||||
iShares Global Industrials ETF | X | ||||||||||||||
iShares Global Infrastructure ETF | X | ||||||||||||||
iShares Global Utilities ETF | X | ||||||||||||||
iShares International Developed Property ETF | X | ||||||||||||||
iShares International Developed Small Cap Value Factor ETF | X | ||||||||||||||
iShares International Preferred Stock ETF | X | ||||||||||||||
iShares JPX-Nikkei 400 ETF | X | ||||||||||||||
iShares Micro-Cap ETF | X | ||||||||||||||
iShares Mortgage Real Estate ETF | X | ||||||||||||||
iShares North American Natural Resources ETF | X | ||||||||||||||
iShares North American Tech-Multimedia Networking ETF | X | ||||||||||||||
iShares Preferred and Income Securities ETF | X | ||||||||||||||
iShares Residential and Multisector Real Estate ETF | X | ||||||||||||||
iShares Russell 1000 ETF | X | ||||||||||||||
iShares Russell 1000 Growth ETF | X | ||||||||||||||
iShares Russell 1000 Pure U.S. Revenue ETF | X | ||||||||||||||
iShares Russell 1000 Value ETF | X | ||||||||||||||
iShares Russell 2000 ETF | X | ||||||||||||||
iShares Russell 2000 Growth ETF | X | ||||||||||||||
iShares Russell 2000 Value ETF | X | ||||||||||||||
iShares Russell 3000 ETF | X | ||||||||||||||
iShares Russell Mid-Cap ETF | X | ||||||||||||||
iShares Russell Mid-Cap Growth ETF | X | ||||||||||||||
iShares Russell Mid-Cap Value ETF | X | ||||||||||||||
iShares Russell Top 200 ETF | X | ||||||||||||||
iShares Russell Top 200 Growth ETF | X | ||||||||||||||
iShares Russell Top 200 Value ETF | X | ||||||||||||||
iShares S&P 100 ETF | X | ||||||||||||||
iShares S&P 500 Growth ETF | X | ||||||||||||||
iShares S&P 500 Value ETF | X | ||||||||||||||
iShares S&P Mid-Cap 400 Growth ETF | X | ||||||||||||||
iShares S&P Mid-Cap 400 Value ETF | X | ||||||||||||||
iShares S&P Small-Cap 600 Growth ETF | X | ||||||||||||||
iShares S&P Small-Cap 600 Value ETF | X | ||||||||||||||
iShares Semiconductor ETF | X | ||||||||||||||
iShares U.S. Aerospace & Defense ETF | X | ||||||||||||||
iShares U.S. Broker-Dealers & Securities Exchanges ETF | X | ||||||||||||||
iShares U.S. Healthcare Providers ETF | X | ||||||||||||||
iShares U.S. Home Construction ETF | X | ||||||||||||||
iShares U.S. Infrastructure ETF | X |
Greg Savage | |||||||||||||||
Dollar Range | |||||||||||||||
Fund | None | $1 to $10k |
$10,001
to $50k |
$50,001
to $100k |
$100,001
to $500k |
$500,001
to $1m |
over
$1m |
||||||||
iShares U.S. Insurance ETF | X | ||||||||||||||
iShares U.S. Medical Devices ETF | X | ||||||||||||||
iShares U.S. Oil & Gas Exploration & Production ETF | X | ||||||||||||||
iShares U.S. Oil Equipment & Services ETF | X | ||||||||||||||
iShares U.S. Pharmaceuticals ETF | X | ||||||||||||||
iShares U.S. Real Estate ETF | X | ||||||||||||||
iShares U.S. Regional Banks ETF | X | ||||||||||||||
iShares U.S. Telecommunications ETF | X | ||||||||||||||
iShares US Small Cap Value Factor ETF | X |
Amy Whitelaw | |||||||||||||||
Dollar Range | |||||||||||||||
Fund | None | $1 to $10k |
$10,001
to $50k |
$50,001
to $100k |
$100,001
to $500k |
$500,001
to $1m |
over
$1m |
||||||||
iShares Biotechnology ETF | X | ||||||||||||||
iShares Core S&P 500 ETF | X | ||||||||||||||
iShares Core S&P Mid-Cap ETF | X | ||||||||||||||
iShares Core S&P Small-Cap ETF | X | ||||||||||||||
iShares Core S&P Total U.S. Stock Market ETF | X | ||||||||||||||
iShares Core S&P U.S. Growth ETF | X | ||||||||||||||
iShares Core S&P U.S. Value ETF | X | ||||||||||||||
iShares ESG Screened S&P 500 ETF | X | ||||||||||||||
iShares ESG Screened S&P Mid-Cap ETF | X | ||||||||||||||
iShares ESG Screened S&P Small-Cap ETF | X | ||||||||||||||
iShares Europe ETF | X | ||||||||||||||
iShares Expanded Tech Sector ETF | X | ||||||||||||||
iShares Expanded Tech-Software Sector ETF | X | ||||||||||||||
iShares Factors US Blend Style ETF | X | ||||||||||||||
iShares Factors US Growth Style ETF | X | ||||||||||||||
iShares Factors US Mid Blend Style ETF | X | ||||||||||||||
iShares Factors US Small Blend Style ETF | X | ||||||||||||||
iShares Factors US Value Style ETF | X | ||||||||||||||
iShares Focused Value Factor ETF | X | ||||||||||||||
iShares Global Consumer Staples ETF | X | ||||||||||||||
iShares Global Energy ETF | X | ||||||||||||||
iShares Global Financials ETF | X | ||||||||||||||
iShares Global Industrials ETF | X | ||||||||||||||
iShares Global Infrastructure ETF | X | ||||||||||||||
iShares Global Utilities ETF | X | ||||||||||||||
iShares International Developed Property ETF | X | ||||||||||||||
iShares International Developed Small Cap Value Factor ETF | X | ||||||||||||||
iShares International Preferred Stock ETF | X | ||||||||||||||
iShares JPX-Nikkei 400 ETF | X |
Amy Whitelaw | |||||||||||||||
Dollar Range | |||||||||||||||
Fund | None | $1 to $10k |
$10,001
to $50k |
$50,001
to $100k |
$100,001
to $500k |
$500,001
to $1m |
over
$1m |
||||||||
iShares Micro-Cap ETF | X | ||||||||||||||
iShares Mortgage Real Estate ETF | X | ||||||||||||||
iShares North American Natural Resources ETF | X | ||||||||||||||
iShares North American Tech-Multimedia Networking ETF | X | ||||||||||||||
iShares Preferred and Income Securities ETF | X | ||||||||||||||
iShares Residential and Multisector Real Estate ETF | X | ||||||||||||||
iShares Russell 1000 ETF | X | ||||||||||||||
iShares Russell 1000 Growth ETF | X | ||||||||||||||
iShares Russell 1000 Pure U.S. Revenue ETF | X | ||||||||||||||
iShares Russell 1000 Value ETF | X | ||||||||||||||
iShares Russell 2000 ETF | X | ||||||||||||||
iShares Russell 2000 Growth ETF | X | ||||||||||||||
iShares Russell 2000 Value ETF | X | ||||||||||||||
iShares Russell 3000 ETF | X | ||||||||||||||
iShares Russell Mid-Cap ETF | X | ||||||||||||||
iShares Russell Mid-Cap Growth ETF | X | ||||||||||||||
iShares Russell Mid-Cap Value ETF | X | ||||||||||||||
iShares Russell Top 200 ETF | X | ||||||||||||||
iShares Russell Top 200 Growth ETF | X | ||||||||||||||
iShares Russell Top 200 Value ETF | X | ||||||||||||||
iShares S&P 100 ETF | X | ||||||||||||||
iShares S&P 500 Growth ETF | X | ||||||||||||||
iShares S&P 500 Value ETF | X | ||||||||||||||
iShares S&P Mid-Cap 400 Growth ETF | X | ||||||||||||||
iShares S&P Mid-Cap 400 Value ETF | X | ||||||||||||||
iShares S&P Small-Cap 600 Growth ETF | X | ||||||||||||||
iShares S&P Small-Cap 600 Value ETF | X | ||||||||||||||
iShares Semiconductor ETF | X | ||||||||||||||
iShares U.S. Aerospace & Defense ETF | X | ||||||||||||||
iShares U.S. Broker-Dealers & Securities Exchanges ETF | X | ||||||||||||||
iShares U.S. Healthcare Providers ETF | X | ||||||||||||||
iShares U.S. Home Construction ETF | X | ||||||||||||||
iShares U.S. Infrastructure ETF | X | ||||||||||||||
iShares U.S. Insurance ETF | X | ||||||||||||||
iShares U.S. Medical Devices ETF | X | ||||||||||||||
iShares U.S. Oil & Gas Exploration & Production ETF | X | ||||||||||||||
iShares U.S. Oil Equipment & Services ETF | X | ||||||||||||||
iShares U.S. Pharmaceuticals ETF | X | ||||||||||||||
iShares U.S. Real Estate ETF | X | ||||||||||||||
iShares U.S. Regional Banks ETF | X | ||||||||||||||
iShares U.S. Telecommunications ETF | X | ||||||||||||||
iShares US Small Cap Value Factor ETF | X |
Fund |
Fund
Inception Date |
Administration,
Custodian, Transfer Agency Expenses Paid During Fiscal Year Ended March 31, 2021 |
Administration,
Custodian, Transfer Agency Expenses Paid During Fiscal Year Ended March 31, 2020 |
Administration,
Custodian, Transfer Agency Expenses Paid During Fiscal Year Ended March 31, 2019 |
||||
iShares Biotechnology ETF | 02/05/01 | $ 261,294 | 92,172 | 113,346 | ||||
iShares Core S&P 500 ETF | 05/15/00 | 2,182,733 | $1,896,029 | $1,657,166 | ||||
iShares Core S&P Mid-Cap ETF | 05/22/00 | 656,482 | 625,958 | 583,103 | ||||
iShares Core S&P Small-Cap ETF | 05/22/00 | 692,110 | 604,191 | 577,960 | ||||
iShares Core S&P Total U.S. Stock Market ETF | 01/20/04 | 391,023 | 298,666 | 221,627 | ||||
iShares Core S&P U.S. Growth ETF | 07/24/00 | 142,702 | 116,387 | 81,221 | ||||
iShares Core S&P U.S. Value ETF | 07/24/00 | 116,429 | 102,143 | 84,585 | ||||
iShares ESG Screened S&P 500 ETF | 09/22/20 | 17,072 | N/A | N/A | ||||
iShares ESG Screened S&P Mid-Cap ETF | 09/22/20 | 30,999 | N/A | N/A | ||||
iShares ESG Screened S&P Small-Cap ETF | 09/22/20 | 41,057 | N/A | N/A | ||||
iShares Europe ETF | 07/25/00 | 108,508 | 120,682 | 162,827 | ||||
iShares Expanded Tech Sector ETF | 03/13/01 | 48,703 | 39,286 | 34,840 | ||||
iShares Expanded Tech-Software Sector ETF | 07/10/01 | 76,294 | 46,216 | 33,395 |
Fund |
Fund
Inception Date |
Administration,
Custodian, Transfer Agency Expenses Paid During Fiscal Year Ended March 31, 2021 |
Administration,
Custodian, Transfer Agency Expenses Paid During Fiscal Year Ended March 31, 2020 |
Administration,
Custodian, Transfer Agency Expenses Paid During Fiscal Year Ended March 31, 2019 |
||||
iShares Factors US Blend Style ETF | 04/14/20 | 29,322 | N/A | N/A | ||||
iShares Factors US Growth Style ETF | 01/14/20 | 22,814 | 5,804 | N/A | ||||
iShares Factors US Mid Blend Style ETF | 04/14/20 | 33,246 | N/A | N/A | ||||
iShares Factors US Small Blend Style ETF | 04/14/20 | 53,086 | N/A | N/A | ||||
iShares Factors US Value Style ETF | 01/14/20 | 29,738 | 6,850 | N/A | ||||
iShares Focused Value Factor ETF | 03/19/19 | 20,200 | 20,887 | 915 | ||||
iShares Global Consumer Staples ETF | 09/12/06 | 44,670 | 47,346 | 42,252 | ||||
iShares Global Energy ETF | 11/12/01 | 63,849 | 47,516 | 57,802 | ||||
iShares Global Financials ETF | 11/12/01 | 41,688 | 39,004 | 43,689 | ||||
iShares Global Industrials ETF | 09/12/06 | 36,816 | 32,222 | 33,691 | ||||
iShares Global Infrastructure ETF | 12/10/07 | 163,188 | 150,576 | 128,091 | ||||
iShares Global Utilities ETF | 09/12/06 | 30,229 | 29,009 | 28,281 | ||||
iShares International Developed Property ETF | 07/30/07 | 82,772 | 81,049 | 59,793 | ||||
iShares International Developed Small Cap Value Factor ETF | 03/23/21 | 17,310 | N/A | N/A | ||||
iShares International Preferred Stock ETF | 11/15/11 | 33,345 | 32,669 | 35,211 | ||||
iShares JPX-Nikkei 400 ETF | 10/23/01 | 25,121 | 25,051 | 24,503 | ||||
iShares Micro-Cap ETF | 08/12/05 | 56,803 | 56,035 | 54,641 | ||||
iShares Mortgage Real Estate ETF | 05/01/07 | 29,998 | 32,462 | 27,685 | ||||
iShares North American Natural Resources ETF | 10/22/01 | 24,622 | 27,352 | 28,782 | ||||
iShares North American Tech-Multimedia Networking ETF | 07/10/01 | 18,691 | 19,229 | 17,366 | ||||
iShares Preferred and Income Securities ETF | 03/26/07 | 245,821 | 212,448 | 204,570 | ||||
iShares Residential and Multisector Real Estate ETF | 05/01/07 | 22,546 | 24,332 | 21,181 | ||||
iShares Russell 1000 ETF | 05/15/00 | 331,747 | 287,634 | 274,420 | ||||
iShares Russell 1000 Growth ETF | 05/22/00 | 773,811 | 607,098 | 566,868 | ||||
iShares Russell 1000 Pure U.S. Revenue ETF | 08/08/17 | 22,291 | 23,775 | 25,289 | ||||
iShares Russell 1000 Value ETF | 05/22/00 | 528,366 | 540,592 | 506,526 | ||||
iShares Russell 2000 ETF | 05/22/00 | 664,749 | 530,342 | 540,529 | ||||
iShares Russell 2000 Growth ETF | 07/24/00 | 160,841 | 141,436 | 139,561 | ||||
iShares Russell 2000 Value ETF | 07/24/00 | 177,515 | 146,654 | 154,826 | ||||
iShares Russell 3000 ETF | 05/22/00 | 144,971 | 144,026 | 135,898 | ||||
iShares Russell Mid-Cap ETF | 07/17/01 | 310,416 | 277,934 | 229,417 | ||||
iShares Russell Mid-Cap Growth ETF | 07/17/01 | 191,951 | 159,516 | 127,045 | ||||
iShares Russell Mid-Cap Value ETF | 07/17/01 | 157,748 | 167,221 | 148,536 | ||||
iShares Russell Top 200 ETF | 09/22/09 | 26,387 | 24,222 | 23,628 | ||||
iShares Russell Top 200 Growth ETF | 09/22/09 | 47,824 | 32,418 | 27,835 | ||||
iShares Russell Top 200 Value ETF | 09/22/09 | 28,882 | 27,784 | 26,793 | ||||
iShares S&P 100 ETF | 10/23/00 | 98,438 | 78,778 | 74,017 | ||||
iShares S&P 500 Growth ETF | 05/22/00 | 401,491 | 317,049 | 299,846 | ||||
iShares S&P 500 Value ETF | 05/22/00 | 242,848 | 229,163 | 212,125 | ||||
iShares S&P Mid-Cap 400 Growth ETF | 07/24/00 | 123,900 | 113,788 | 121,152 | ||||
iShares S&P Mid-Cap 400 Value ETF | 07/24/00 | 95,799 | 104,011 | 105,499 | ||||
iShares S&P Small-Cap 600 Growth ETF | 07/24/00 | 106,967 | 101,886 | 119,961 | ||||
iShares S&P Small-Cap 600 Value ETF | 07/24/00 | 118,363 | 108,842 | 103,879 | ||||
iShares Semiconductor ETF | 07/10/01 | 60,977 | 34,569 | 39,531 | ||||
iShares U.S. Aerospace & Defense ETF | 05/01/06 | 46,219 | 79,605 | 66,182 |
Fund |
Fund
Inception Date |
Administration,
Custodian, Transfer Agency Expenses Paid During Fiscal Year Ended March 31, 2021 |
Administration,
Custodian, Transfer Agency Expenses Paid During Fiscal Year Ended March 31, 2020 |
Administration,
Custodian, Transfer Agency Expenses Paid During Fiscal Year Ended March 31, 2019 |
||||
iShares U.S. Broker-Dealers & Securities Exchanges ETF | 05/01/06 | 19,927 | 20,923 | 20,012 | ||||
iShares U.S. Healthcare Providers ETF | 05/01/06 | 27,063 | 25,289 | 20,547 | ||||
iShares U.S. Home Construction ETF | 05/01/06 | 34,373 | 28,534 | 26,653 | ||||
iShares U.S. Infrastructure ETF | 04/03/18 | 28,579 | 23,964 | 21,218 | ||||
iShares U.S. Insurance ETF | 05/01/06 | 20,440 | 21,211 | 20,218 | ||||
iShares U.S. Medical Devices ETF | 05/01/06 | 110,311 | 64,175 | 46,842 | ||||
iShares U.S. Oil & Gas Exploration & Production ETF | 05/01/06 | 20,870 | 20,493 | 22,787 | ||||
iShares U.S. Oil Equipment & Services ETF | 05/01/06 | 20,982 | 20,769 | 20,375 | ||||
iShares U.S. Pharmaceuticals ETF | 05/01/06 | 22,516 | 23,426 | 21,345 | ||||
iShares U.S. Real Estate ETF | 06/12/00 | 63,809 | 71,744 | 61,450 | ||||
iShares U.S. Regional Banks ETF | 05/01/06 | 23,707 | 24,783 | 26,001 | ||||
iShares U.S. Telecommunications ETF | 05/22/00 | 23,091 | 23,296 | 21,769 | ||||
iShares US Small Cap Value Factor ETF | 10/27/20 | 23,242 | N/A | N/A |
Fund |
iShares
Biotechnology ETF |
iShares
Core
S&P 500 ETF |
iShares
Core S&P
Mid-Cap ETF |
iShares
Core S&P
Small-Cap ETF |
Gross
income from
securities lending activities |
$12,628,223 | $ 16,131,963 | $ 17,864,998 | $ 40,162,781 |
Fees
and/or compensation
for securities lending activities and related services |
||||
Securities
lending
income paid to BTC for services as securities lending agent |
2,996,884 | 3,699,587 | 4,065,118 | 9,541,372 |
Cash
collateral
management expenses not included in securities lending income paid to BTC |
496,207 | 761,705 | 1,047,973 | 1,234,529 |
Administrative
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Indemnification
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Rebates
(paid to
borrowers) |
20,851 | 32,334 | 45,039 | 47,064 |
Other
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate
fees/compensation for securities lending activities |
$ 3,513,942 | $ 4,493,626 | $ 5,158,130 | $10,822,965 |
Net
income from securities
lending activities |
$ 9,114,281 | $11,638,337 | $12,706,868 | $ 29,339,816 |
Fund |
iShares
Core S&P
Total U.S. Stock Market ETF |
iShares
Core S&P
U.S. Growth ETF |
iShares
Core S&P
U.S. Value ETF |
iShares
ESG Screened
S&P 500 ETF |
Gross
income from
securities lending activities |
$8,068,949 | $905,048 | $624,178 | $44 |
Fund |
iShares
Core S&P
Total U.S. Stock Market ETF |
iShares
Core S&P
U.S. Growth ETF |
iShares
Core S&P
U.S. Value ETF |
iShares
ESG Screened
S&P 500 ETF |
Fees
and/or compensation
for securities lending activities and related services |
||||
Securities
lending
income paid to BTC for services as securities lending agent |
1,918,868 | 198,432 | 146,427 | 10 |
Cash
collateral
management expenses not included in securities lending income paid to BTC |
258,195 | 62,666 | 19,529 | 0 |
Administrative
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Indemnification
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Rebates
(paid to
borrowers) |
12,832 | 2,298 | 885 | 1 |
Other
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate
fees/compensation for securities lending activities |
$ 2,189,895 | $263,396 | $ 166,841 | $ 11 |
Net
income from securities
lending activities |
$5,879,054 | $ 641,652 | $ 457,337 | $33 |
Fund |
iShares
ESG Screened
S&P Mid-Cap ETF |
iShares
ESG Screened
S&P Small-Cap ETF |
iShares Europe ETF |
iShares
Expanded
Tech Sector ETF |
Gross
income from
securities lending activities |
$166 | $784 | $209,320 | $379,993 |
Fees
and/or compensation
for securities lending activities and related services |
||||
Securities
lending
income paid to BTC for services as securities lending agent |
34 | 178 | 36,932 | 85,268 |
Fund |
iShares
ESG Screened
S&P Mid-Cap ETF |
iShares
ESG Screened
S&P Small-Cap ETF |
iShares Europe ETF |
iShares
Expanded
Tech Sector ETF |
Cash
collateral
management expenses not included in securities lending income paid to BTC |
12 | 14 | 4,142 | 23,723 |
Administrative
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Indemnification
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Rebates
(paid to
borrowers) |
0 | 1 | 0 | 1,187 |
Other
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate
fees/compensation for securities lending activities |
$ 46 | $ 193 | $ 41,074 | $ 110,178 |
Net
income from securities
lending activities |
$120 | $591 | $168,246 | $269,815 |
Fund |
iShares
Expanded Tech-Software
Sector ETF |
iShares
Factors US
Blend Style ETF |
iShares
Factors US
Growth Style ETF |
iShares
Factors US
Mid Blend Style ETF |
Gross
income from
securities lending activities |
$1,700,605 | $4,234 | $4,288 | $2,428 |
Fees
and/or compensation
for securities lending activities and related services |
||||
Securities
lending
income paid to BTC for services as securities lending agent |
372,004 | 993 | 1,002 | 556 |
Cash
collateral
management expenses not included in securities lending income paid to BTC |
121,912 | 24 | 32 | 48 |
Fund |
iShares
Expanded Tech-Software
Sector ETF |
iShares
Factors US
Blend Style ETF |
iShares
Factors US
Growth Style ETF |
iShares
Factors US
Mid Blend Style ETF |
Administrative
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Indemnification
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Rebates
(paid to
borrowers) |
5,283 | 0 | 1 | 1 |
Other
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate
fees/compensation for securities lending activities |
$ 499,199 | $ 1,017 | $ 1,035 | $ 605 |
Net
income from securities
lending activities |
$1,201,406 | $3,217 | $3,253 | $1,823 |
Fund |
iShares
Global
Energy ETF |
iShares
Global
Financials ETF |
iShares
Global
Industrials ETF |
iShares
Global
Infrastructure ETF |
Gross
income from
securities lending activities |
$143,632 | $10,021 | $24,945 | $1,104,234 |
Fees
and/or compensation
for securities lending activities and related services |
||||
Securities
lending
income paid to BTC for services as securities lending agent |
25,609 | 1,728 | 4,371 | 197,253 |
Cash
collateral
management expenses not included in securities lending income paid to BTC |
1,356 | 396 | 657 | 8,382 |
Administrative
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Indemnification
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Fund |
iShares
Global
Energy ETF |
iShares
Global
Financials ETF |
iShares
Global
Industrials ETF |
iShares
Global
Infrastructure ETF |
Rebates
(paid to
borrowers) |
2 | 22 | 0 | 0 |
Other
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate
fees/compensation for securities lending activities |
$ 26,967 | $2,146 | $ 5,028 | $ 205,635 |
Net
income from securities
lending activities |
$116,665 | $ 7,875 | $19,917 | $898,599 |
Fund |
iShares
Global
Utilities ETF |
iShares
International
Developed Property ETF |
iShares
International
Developed Small Cap Value Factor ETF |
iShares
International
Preferred Stock ETF |
Gross
income from
securities lending activities |
$5,533 | $71,629 | $0 | $106 |
Fees
and/or compensation
for securities lending activities and related services |
||||
Securities
lending
income paid to BTC for services as securities lending agent |
939 | 12,415 | 0 | 18 |
Cash
collateral
management expenses not included in securities lending income paid to BTC |
285 | 836 | 0 | 7 |
Fund |
iShares
Global
Utilities ETF |
iShares
International
Developed Property ETF |
iShares
International
Developed Small Cap Value Factor ETF |
iShares
International
Preferred Stock ETF |
Administrative
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Indemnification
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Rebates
(paid to
borrowers) |
26 | 1,346 | 0 | 0 |
Other
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate
fees/compensation for securities lending activities |
$ 1,250 | $ 14,597 | $0 | $25 |
Net
income from securities
lending activities |
$4,283 | $57,032 | $0 | $ 81 |
Fund |
iShares
JPX-Nikkei
400 ETF |
iShares Micro-Cap ETF |
iShares
Mortgage
Real Estate ETF |
iShares
North American
Natural Resources ETF |
Gross
income from
securities lending activities |
$3,602 | $ 5,470,073 | $630,369 | $128,047 |
Fees
and/or compensation
for securities lending activities and related services |
||||
Securities
lending
income paid to BTC for services as securities lending agent |
629 | 1,329,788 | 156,328 | 29,051 |
Fund |
iShares
JPX-Nikkei
400 ETF |
iShares Micro-Cap ETF |
iShares
Mortgage
Real Estate ETF |
iShares
North American
Natural Resources ETF |
Cash
collateral
management expenses not included in securities lending income paid to BTC |
81 | 61,477 | 4,684 | 7,574 |
Administrative
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Indemnification
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Rebates
(paid to
borrowers) |
25 | 3,279 | 329 | 537 |
Other
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate
fees/compensation for securities lending activities |
$ 735 | $1,394,544 | $ 161,341 | $ 37,162 |
Net
income from securities
lending activities |
$2,867 | $ 4,075,529 | $469,028 | $90,885 |
Fund |
iShares
North American
Tech-Multimedia Networking ETF |
iShares
Preferred and Income
Securities ETF |
iShares
Residential
and Multisector Real Estate ETF |
iShares
Russell
1000 ETF |
Gross
income from
securities lending activities |
$137,128 | $3,536,220 | $12,641 | $3,304,421 |
Fees
and/or compensation
for securities lending activities and related services |
||||
Securities
lending
income paid to BTC for services as securities lending agent |
33,459 | 871,194 | 2,985 | 763,169 |
Cash
collateral
management expenses not included in securities lending income paid to BTC |
2,121 | 12,831 | 540 | 165,407 |
Fund |
iShares
North American
Tech-Multimedia Networking ETF |
iShares
Preferred and Income
Securities ETF |
iShares
Residential
and Multisector Real Estate ETF |
iShares
Russell
1000 ETF |
Administrative
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Indemnification
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Rebates
(paid to
borrowers) |
59 | 3,886 | 4 | 7,248 |
Other
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate
fees/compensation for securities lending activities |
$ 35,639 | $ 887,911 | $3,529 | $ 935,824 |
Net
income from securities
lending activities |
$101,489 | $2,648,309 | $ 9,112 | $2,368,597 |
Fund |
iShares
Russell 1000
Growth ETF |
iShares
Russell 1000 Pure
U.S. Revenue ETF |
iShares
Russell 1000
Value ETF |
iShares
Russell
2000 ETF |
Gross
income from
securities lending activities |
$ 7,383,226 | $2,694 | $4,698,440 | $ 86,098,991 |
Fees
and/or compensation
for securities lending activities and related services |
||||
Securities
lending
income paid to BTC for services as securities lending agent |
1,662,250 | 92 | 1,102,240 | 20,699,645 |
Cash
collateral
management expenses not included in securities lending income paid to BTC |
453,573 | 61 | 177,993 | 2,159,010 |
Administrative
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Fund |
iShares
Russell 1000
Growth ETF |
iShares
Russell 1000 Pure
U.S. Revenue ETF |
iShares
Russell 1000
Value ETF |
iShares
Russell
2000 ETF |
Indemnification
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Rebates
(paid to
borrowers) |
48,421 | 0 | 0 | 101,194 |
Other
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate
fees/compensation for securities lending activities |
$ 2,164,244 | $ 153 | $1,280,233 | $22,959,849 |
Net
income from securities
lending activities |
$5,218,982 | $2,541 | $ 3,418,207 | $ 63,139,142 |
Fund |
iShares
Russell 2000
Growth ETF |
iShares
Russell 2000
Value ETF |
iShares
Russell
3000 ETF |
iShares
Russell Mid
Cap ETF |
Gross
income from
securities lending activities |
$24,061,056 | $12,828,252 | $2,230,901 | $7,436,025 |
Fees
and/or compensation
for securities lending activities and related services |
||||
Securities
lending
income paid to BTC for services as securities lending agent |
5,782,524 | 3,097,108 | 529,288 | 1,721,168 |
Cash
collateral
management expenses not included in securities lending income paid to BTC |
654,205 | 257,046 | 82,239 | 370,555 |
Administrative
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Indemnification
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Rebates
(paid to
borrowers) |
28,853 | 9,632 | 2,156 | 11,148 |
Fund |
iShares
Russell 2000
Growth ETF |
iShares
Russell 2000
Value ETF |
iShares
Russell
3000 ETF |
iShares
Russell Mid
Cap ETF |
Other
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate
fees/compensation for securities lending activities |
$ 6,465,582 | $3,363,786 | $ 613,683 | $ 2,102,871 |
Net
income from securities
lending activities |
$17,595,474 | $ 9,464,466 | $1,617,218 | $5,333,154 |
Fund |
iShares
Russell
Mid-Cap Growth ETF |
iShares
Russell
Mid-Cap Value ETF |
iShares
Russell
Top 200 ETF |
iShares
Russell Top 200
Growth ETF |
Gross
income from
securities lending activities |
$6,601,548 | $ 2,858,373 | $24,558 | $94,843 |
Fees
and/or compensation
for securities lending activities and related services |
||||
Securities
lending
income paid to BTC for services as securities lending agent |
1,507,819 | 671,651 | 5,647 | 20,420 |
Cash
collateral
management expenses not included in securities lending income paid to BTC |
387,375 | 113,655 | 745 | 7,189 |
Administrative
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Indemnification
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Rebates
(paid to
borrowers) |
16,282 | 0 | 10 | 61 |
Other
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate
fees/compensation for securities lending activities |
$ 1,911,476 | $ 785,306 | $ 6,402 | $ 27,670 |
Net
income from securities
lending activities |
$ 4,690,072 | $2,073,067 | $ 18,156 | $ 67,173 |
Fund |
iShares
Russell Top 200
Value ETF |
iShares S&P 100 ETF |
iShares
S&P 500
Growth ETF |
iShares
S&P 500
Value ETF |
Gross
income from
securities lending activities |
$ 31,028 | $ 145,755 | $1,140,753 | $ 1,480,185 |
Fees
and/or compensation
for securities lending activities and related services |
||||
Securities
lending
income paid to BTC for services as securities lending agent |
7,240 | 29,981 | 253,402 | 347,616 |
Cash
collateral
management expenses not included in securities lending income paid to BTC |
316 | 12,147 | 74,758 | 40,743 |
Administrative
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Indemnification
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Rebates
(paid to
borrowers) |
0 | 347 | 3,746 | 2,106 |
Other
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate
fees/compensation for securities lending activities |
$ 7,556 | $ 42,475 | $ 331,906 | $ 390,465 |
Net
income from securities
lending activities |
$23,472 | $103,280 | $ 808,847 | $1,089,720 |
Fund |
iShares
S&P Mid-Cap
400 Growth ETF |
iShares
S&P Mid-Cap
400 Value ETF |
iShares
S&P Small-Cap
600 Growth ETF |
iShares
S&P Small-Cap
600 Value ETF |
Gross
income from
securities lending activities |
$2,336,914 | $1,795,865 | $2,777,558 | $7,022,760 |
Fees
and/or compensation
for securities lending activities and related services |
Fund |
iShares
S&P Mid-Cap
400 Growth ETF |
iShares
S&P Mid-Cap
400 Value ETF |
iShares
S&P Small-Cap
600 Growth ETF |
iShares
S&P Small-Cap
600 Value ETF |
Securities
lending
income paid to BTC for services as securities lending agent |
518,515 | 418,720 | 626,787 | 1,702,087 |
Cash
collateral
management expenses not included in securities lending income paid to BTC |
151,515 | 86,740 | 148,085 | 134,043 |
Administrative
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Indemnification
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Rebates
(paid to
borrowers) |
6,346 | 3,732 | 5,766 | 6,130 |
Other
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate
fees/compensation for securities lending activities |
$ 676,376 | $ 509,192 | $ 780,638 | $ 1,842,260 |
Net
income from securities
lending activities |
$1,660,538 | $1,286,673 | $1,996,920 | $ 5,180,500 |
Fund |
iShares
Semiconductor ETF |
iShares
U.S. Aerospace &
Defense ETF |
iShares
U.S. Broker-Dealers &
Securities Exchanges ETF |
iShares
U.S. Healthcare
Providers ETF |
Gross
income from
securities lending activities |
$390,373 | $1,178,981 | $3,871 | $298,066 |
Fees
and/or compensation
for securities lending activities and related services |
Fund |
iShares
Semiconductor ETF |
iShares
U.S. Aerospace &
Defense ETF |
iShares
U.S. Broker-Dealers &
Securities Exchanges ETF |
iShares
U.S. Healthcare
Providers ETF |
Securities
lending
income paid to BTC for services as securities lending agent |
84,079 | 281,168 | 900 | 66,845 |
Cash
collateral
management expenses not included in securities lending income paid to BTC |
28,880 | 37,898 | 202 | 19,180 |
Administrative
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Indemnification
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Rebates
(paid to
borrowers) |
1,966 | 950 | 9 | 1,315 |
Other
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate
fees/compensation for securities lending activities |
$114,925 | $320,016 | $1,111 | $ 87,340 |
Fund |
iShares
Semiconductor ETF |
iShares
U.S. Aerospace &
Defense ETF |
iShares
U.S. Broker-Dealers &
Securities Exchanges ETF |
iShares
U.S. Healthcare
Providers ETF |
Net
income from securities
lending activities |
$275,448 | $858,965 | $2,760 | $210,726 |
Fund |
iShares
U.S. Home
Construction ETF |
iShares
U.S.
Infrastructure ETF |
iShares
U.S.
Insurance ETF |
iShares
U.S. Medical
Devices ETF |
Gross
income from
securities lending activities |
$ 170,541 | $ 9,959 | $14,956 | $1,127,043 |
Fees
and/or compensation
for securities lending activities and related services |
||||
Securities
lending
income paid to BTC for services as securities lending agent |
36,273 | 2,292 | 3,568 | 247,907 |
Cash
collateral
management expenses not included in securities lending income paid to BTC |
13,608 | 261 | 237 | 78,886 |
Administrative
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Indemnification
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Rebates
(paid to
borrowers) |
162 | 2 | 12 | 3,422 |
Other
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate
fees/compensation for securities lending activities |
$ 50,043 | $ 2,555 | $ 3,817 | $ 330,215 |
Net
income from securities
lending activities |
$120,498 | $ 7,404 | $ 11,139 | $ 796,828 |
Fund |
iShares
U.S. Oil & Gas
Exploration & Production ETF |
IShares
U.S. Oil Equipment
& Services ETF |
iShares
U.S.
Pharmaceuticals ETF |
iShares
U.S. Real
Estate ETF |
Gross
income from
securities lending activities |
$77,104 | $128,631 | $165,063 | $213,175 |
Fund |
iShares
U.S. Oil & Gas
Exploration & Production ETF |
IShares
U.S. Oil Equipment
& Services ETF |
iShares
U.S.
Pharmaceuticals ETF |
iShares
U.S. Real
Estate ETF |
Fees
and/or compensation
for securities lending activities and related services |
||||
Securities
lending
income paid to BTC for services as securities lending agent |
18,570 | 31,194 | 38,146 | 50,283 |
Cash
collateral
management expenses not included in securities lending income paid to BTC |
1,783 | 2,620 | 8,774 | 7,655 |
Administrative
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Indemnification
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Rebates
(paid to
borrowers) |
71 | 64 | 299 | 410 |
Other
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate
fees/compensation for securities lending activities |
$ 20,424 | $33,878 | $ 47,219 | $58,348 |
Fund |
iShares
U.S. Oil & Gas
Exploration & Production ETF |
IShares
U.S. Oil Equipment
& Services ETF |
iShares
U.S.
Pharmaceuticals ETF |
iShares
U.S. Real
Estate ETF |
Net
income from securities
lending activities |
$56,680 | $94,753 | $117,844 | $154,827 |
Fund |
iShares
U.S. Regional
Banks ETF |
iShares
U.S.
Telecommunications ETF |
iShares
US Small Cap
Value Factor ETF |
Gross
income from
securities lending activities |
$ 4,070 | $114,275 | $293 |
Fees
and/or compensation
for securities lending activities and related services |
|||
Securities
lending
income paid to BTC for services as securities lending agent |
894 | 26,734 | 47 |
Cash
collateral
management expenses not included in securities lending income paid to BTC |
298 | 5,289 | 41 |
Administrative
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 |
Indemnification
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 |
Rebates
(paid to
borrowers) |
5 | 187 | 0 |
Other
fees not
included in securities lending income paid to BTC |
0 | 0 | 0 |
Aggregate
fees/compensation for securities lending activities |
$ 1,197 | $ 32,210 | $ 88 |
Net
income from securities
lending activities |
$2,873 | $ 82,065 | $205 |
Fund |
Fund
Inception
Date |
Brokerage
Commissions Paid During Fiscal Year Ended March 31, 2021 |
Brokerage
Commissions Paid During Fiscal Year Ended March 31, 2020 |
Brokerage
Commissions Paid During Fiscal Year Ended March 31, 2019 |
||||
iShares Biotechnology ETF | 02/05/01 | $ 834,068 | $ 674,765 | $ 350,923 | ||||
iShares Core S&P 500 ETF | 05/15/00 | 1,409,732 | 1,250,816 | 983,907 | ||||
iShares Core S&P Mid-Cap ETF | 05/22/00 | 2,847,172 | 2,084,841 | 1,861,056 | ||||
iShares Core S&P Small-Cap ETF | 05/22/00 | 6,734,154 | 4,708,435 | 3,355,926 | ||||
iShares Core S&P Total U.S. Stock Market ETF | 01/20/04 | 494,569 | 243,415 | 376,879 | ||||
iShares Core S&P U.S. Growth ETF | 07/24/00 | 72,148 | 176,924 | 85,378 | ||||
iShares Core S&P U.S. Value ETF | 07/24/00 | 205,781 | 210,750 | 143,200 | ||||
iShares ESG Screened S&P 500 ETF | 09/22/20 | 66 | N/A | N/A | ||||
iShares ESG Screened S&P Mid-Cap ETF | 09/22/20 | 273 | N/A | N/A | ||||
iShares ESG Screened S&P Small-Cap ETF | 09/22/20 | 864 | N/A | N/A | ||||
iShares Europe ETF | 07/25/00 | 28,948 | 38,602 | 73,306 | ||||
iShares Expanded Tech Sector ETF | 03/13/01 | 18,927 | 18,969 | 10,688 | ||||
iShares Expanded Tech-Software Sector ETF | 07/10/01 | 102,456 | 110,042 | 55,448 | ||||
iShares Factors US Blend Style ETF | 04/14/20 | 1,161 | N/A | N/A | ||||
iShares Factors US Growth Style ETF | 01/14/20 | 614 | 38 | N/A | ||||
iShares Factors US Mid Blend Style ETF | 04/14/20 | 1,493 | N/A | N/A | ||||
iShares Factors US Small Blend Style ETF | 04/14/20 | 4,416 | N/A | N/A | ||||
iShares Factors US Value Style ETF | 01/14/20 | 2,816 | 109 | N/A | ||||
iShares Focused Value Factor ETF | 03/19/19 | 5,899 | 12,050 | 0 | ||||
iShares Global Consumer Staples ETF | 09/12/06 | 15,923 | 18,174 | 14,813 | ||||
iShares Global Energy ETF | 11/12/01 | 46,221 | 24,006 | 25,871 | ||||
iShares Global Financials ETF | 11/12/01 | 10,348 | 9,318 | 11,079 | ||||
iShares Global Industrials ETF | 09/12/06 | 10,285 | 3,470 | 4,566 | ||||
iShares Global Infrastructure ETF | 12/10/07 | 347,323 | 130,189 | 313,520 | ||||
iShares Global Utilities ETF | 09/12/06 | 6,445 | 4,143 | 5,758 | ||||
iShares International Developed Property ETF | 07/30/07 | 9,990 | 5,283 | 6,022 | ||||
iShares International Developed Small Cap Value Factor ETF | 03/23/21 | 28 | N/A | N/A | ||||
iShares International Preferred Stock ETF | 11/15/11 | 21,220 | 20,039 | 31,655 | ||||
iShares JPX-Nikkei 400 ETF | 10/23/01 | 5,455 | 4,639 | 4,939 | ||||
iShares Micro-Cap ETF | 08/12/05 | 342,706 | 235,016 | 167,681 | ||||
iShares Mortgage Real Estate ETF | 05/01/07 | 570,146 | 501,081 | 260,546 | ||||
iShares North American Natural Resources ETF | 10/22/01 | 26,241 | 37,745 | 28,527 | ||||
iShares North American Tech-Multimedia Networking ETF | 07/10/01 | 8,882 | 10,077 | 3,507 | ||||
iShares Preferred and Income Securities ETF | 03/26/07 | 2,045,323 | 2,183,048 | 1,426,788 | ||||
iShares Residential and Multisector Real Estate ETF | 05/01/07 | 9,842 | 19,227 | 12,787 | ||||
iShares Russell 1000 ETF | 05/15/00 | 199,947 | 165,354 | 145,057 |
Fund |
Fund
Inception
Date |
Brokerage
Commissions Paid During Fiscal Year Ended March 31, 2021 |
Brokerage
Commissions Paid During Fiscal Year Ended March 31, 2020 |
Brokerage
Commissions Paid During Fiscal Year Ended March 31, 2019 |
||||
iShares Russell 1000 Growth ETF | 05/22/00 | 556,228 | 707,442 | 338,714 | ||||
iShares Russell 1000 Pure U.S. Revenue ETF | 08/08/17 | 89 | 592 | 267 | ||||
iShares Russell 1000 Value ETF | 05/22/00 | 860,614 | 898,426 | 651,445 | ||||
iShares Russell 2000 ETF | 05/22/00 | 5,497,730 | 3,864,228 | 2,989,237 | ||||
iShares Russell 2000 Growth ETF | 07/24/00 | 988,881 | 821,463 | 683,155 | ||||
iShares Russell 2000 Value ETF | 07/24/00 | 1,864,464 | 969,394 | 796,255 | ||||
iShares Russell 3000 ETF | 05/22/00 | 95,042 | 114,610 | 114,454 | ||||
iShares Russell Mid-Cap ETF | 07/17/01 | 640,260 | 360,657 | 237,962 | ||||
iShares Russell Mid-Cap Growth ETF | 07/17/01 | 327,319 | 218,731 | 110,510 | ||||
iShares Russell Mid-Cap Value ETF | 07/17/01 | 511,031 | 367,974 | 300,612 | ||||
iShares Russell Top 200 ETF | 09/22/09 | 3,031 | 1,699 | 852 | ||||
iShares Russell Top 200 Growth ETF | 09/22/09 | 16,199 | 25,477 | 10,118 | ||||
iShares Russell Top 200 Value ETF | 09/22/09 | 12,689 | 7,779 | 4,545 | ||||
iShares S&P 100 ETF | 10/23/00 | 52,086 | 36,028 | 30,608 | ||||
iShares S&P 500 Growth ETF | 05/22/00 | 174,278 | 374,287 | 379,985 | ||||
iShares S&P 500 Value ETF | 05/22/00 | 422,154 | 520,693 | 319,577 | ||||
iShares S&P Mid-Cap 400 Growth ETF | 07/24/00 | 455,474 | 473,048 | 485,964 | ||||
iShares S&P Mid-Cap 400 Value ETF | 07/24/00 | 465,920 | 482,724 | 396,262 | ||||
iShares S&P Small-Cap 600 Growth ETF | 07/24/00 | 927,092 | 754,745 | 496,965 | ||||
iShares S&P Small-Cap 600 Value ETF | 07/24/00 | 1,698,044 | 1,299,177 | 714,970 | ||||
iShares Semiconductor ETF | 07/10/01 | 103,868 | 40,713 | 42,714 | ||||
iShares U.S. Aerospace & Defense ETF | 05/01/06 | 210,740 | 115,303 | 282,806 | ||||
iShares U.S. Broker-Dealers & Securities Exchanges ETF | 05/01/06 | 9,128 | 7,740 | 13,368 | ||||
iShares U.S. Healthcare Providers ETF | 05/01/06 | 33,014 | 43,409 | 69,253 | ||||
iShares U.S. Home Construction ETF | 05/01/06 | 50,988 | 49,446 | 48,890 | ||||
iShares U.S. Infrastructure ETF | 04/03/18 | 28,398 | 1,032 | 577 | ||||
iShares U.S. Insurance ETF | 05/01/06 | 1,408 | 1,815 | 2,828 | ||||
iShares U.S. Medical Devices ETF | 05/01/06 | 84,901 | 78,960 | 170,082 | ||||
iShares U.S. Oil & Gas Exploration & Production ETF | 05/01/06 | 28,194 | 23,130 | 13,532 | ||||
iShares U.S. Oil Equipment & Services ETF | 05/01/06 | 124,746 | 27,448 | 47,025 | ||||
iShares U.S. Pharmaceuticals ETF | 05/01/06 | 38,901 | 34,596 | 52,126 | ||||
iShares U.S. Real Estate ETF | 06/12/00 | 296,838 | 180,998 | 178,504 | ||||
iShares U.S. Regional Banks ETF | 05/01/06 | 8,550 | 7,877 | 15,643 | ||||
iShares U.S. Telecommunications ETF | 05/22/00 | 65,572 | 58,227 | 67,997 | ||||
iShares US Small Cap Value Factor ETF | 10/27/20 | 5,286 | N/A | N/A |
Fund | Issuer |
Market
Value of
Investment |
||
iShares Core S&P 500 ETF | JPMorgan Chase & Co. | $ 3,613,771,986 | ||
Bank of America Corp. | 2,286,642,297 | |||
Wells Fargo & Co. | 1,256,522,222 |
Fund | Issuer |
Market
Value of
Investment |
||
Citigroup Inc. | 1,181,321,629 | |||
Morgan Stanley | 906,610,528 | |||
Goldman Sachs Group Inc. (The) | 875,144,868 | |||
iShares Core S&P Total U.S. Stock Market ETF | JPMorgan Chase & Co. | $ 408,298,823 | ||
Bank of America Corp. | 258,354,874 | |||
Wells Fargo & Co. | 141,967,643 | |||
Citigroup Inc. | 133,492,103 | |||
Morgan Stanley | 102,317,438 | |||
Goldman Sachs Group Inc. (The) | 98,921,097 | |||
Virtu Financial Inc. | 2,470,183 | |||
iShares Core S&P U.S. Value ETF | JPMorgan Chase & Co. | $ 238,766,361 | ||
Bank of America Corp. | 151,081,510 | |||
Wells Fargo & Co. | 83,020,429 | |||
Citigroup Inc. | 78,050,783 | |||
Morgan Stanley | 59,901,177 | |||
Goldman Sachs Group Inc. (The) | 57,829,296 | |||
iShares ESG Screened S&P 500 ETF | Bank of America Corp. | $ 291,142 | ||
Citigroup Inc. | 150,374 | |||
Morgan Stanley | 115,403 | |||
iShares Europe ETF | UBS Group AG | $ 9,855,109 | ||
Credit Suisse Group AG | 4,018,877 | |||
iShares Factors US Blend Style ETF | Morgan Stanley | $ 33,316 | ||
Goldman Sachs Group Inc. (The) | 12,426 | |||
iShares Factors US Value Style ETF | JPMorgan Chase & Co. | $ 63,480 | ||
Goldman Sachs Group Inc. (The) | 46,434 | |||
Morgan Stanley | 42,946 | |||
Citigroup Inc. | 22,043 | |||
iShares Focused Value Factor ETF | Goldman Sachs Group Inc. (The) | $ 1,024,491 | ||
Bank of America Corp. | 1,008,494 | |||
Morgan Stanley | 995,368 | |||
iShares Global Financials ETF | JPMorgan Chase & Co. | $ 28,972,261 | ||
Bank of America Corp. | 18,332,483 | |||
Citigroup Inc. | 9,470,886 | |||
Morgan Stanley | 7,273,558 | |||
Goldman Sachs Group Inc. (The) | 7,010,880 | |||
Barclays PLC | 2,589,388 | |||
Credit Suisse Group AG | 1,531,967 | |||
Societe Generale SA | 1,300,010 | |||
Banco Bradesco SA | 1,288,571 | |||
Fund | Issuer |
Market
Value of
Investment |
||
iShares International Preferred Stock ETF | Royal Bank of Canada | $ 5,282,556 | ||
Toronto-Dominion Bank (The) | 5,107,797 | |||
Bank of Montreal | 4,911,402 | |||
iShares Micro-Cap ETF | Cowen Inc. | $ 2,526,512 | ||
iShares Preferred and Income Securities ETF | Wells Fargo & Co. | $ 872,216,158 | ||
Bank of America Corp. | 861,476,648 | |||
JPMorgan Chase & Co. | 699,960,878 | |||
Morgan Stanley | 453,366,916 | |||
Goldman Sachs Group Inc. (The) | 373,861,890 | |||
Citigroup Inc. | 215,387,629 | |||
Cowen Inc. | 12,179,377 | |||
iShares Russell 1000 ETF | JPMorgan Chase & Co. | $ 332,984,857 | ||
Bank of America Corp. | 216,110,694 | |||
Citigroup Inc. | 109,387,118 | |||
Wells Fargo & Co. | 107,072,781 | |||
Morgan Stanley | 78,318,169 | |||
Goldman Sachs Group Inc. (The) | 78,209,898 | |||
iShares Russell 1000 Pure U.S. Revenue ETF | Bank of America Corp. | $ 122,106 | ||
Wells Fargo & Co. | 60,519 | |||
iShares Russell 1000 Value ETF | JPMorgan Chase & Co. | $1,236,430,023 | ||
Bank of America Corp. | 802,456,948 | |||
Citigroup Inc. | 406,168,706 | |||
Wells Fargo & Co. | 397,580,422 | |||
Morgan Stanley | 290,943,793 | |||
Goldman Sachs Group Inc. (The) | 290,400,525 | |||
iShares Russell 2000 ETF | Cowen Inc. | $ 22,285,065 | ||
iShares Russell 2000 Growth ETF | Cowen Inc. | $ 2,794,179 | ||
iShares Russell 2000 Value ETF | Cowen Inc. | $ 6,684,370 | ||
iShares Russell 3000 ETF | JPMorgan Chase & Co. | $ 124,992,552 | ||
Bank of America Corp. | 81,121,323 | |||
Citigroup Inc. | 41,060,173 | |||
Wells Fargo & Co. | 40,188,027 | |||
Morgan Stanley | 29,411,939 | |||
Goldman Sachs Group Inc. (The) | 29,356,098 | |||
iShares Russell Top 200 ETF | JPMorgan Chase & Co. | $ 14,546,338 | ||
Bank of America Corp. | 9,440,669 | |||
Citigroup Inc. | 4,787,386 | |||
Wells Fargo & Co. | 4,673,788 |
Fund | Issuer |
Market
Value of
Investment |
||
Morgan Stanley | 3,417,506 | |||
Goldman Sachs Group Inc. (The) | 3,410,937 | |||
iShares Russell Top 200 Value ETF | JPMorgan Chase & Co. | $ 43,324,810 | ||
Bank of America Corp. | 28,118,229 | |||
Citigroup Inc. | 14,232,155 | |||
Wells Fargo & Co. | 13,931,229 | |||
Morgan Stanley | 10,194,739 | |||
Goldman Sachs Group Inc. (The) | 10,175,259 | |||
iShares S&P 100 ETF | JPMorgan Chase & Co. | $ 145,357,272 | ||
Bank of America Corp. | 91,975,996 | |||
Wells Fargo & Co. | 50,541,343 | |||
Citigroup Inc. | 47,516,371 | |||
Morgan Stanley | 36,466,806 | |||
Goldman Sachs Group Inc. (The) | 35,205,801 | |||
Bank of New York Mellon Corp. (The) | 11,972,410 | |||
iShares S&P 500 Value ETF | JPMorgan Chase & Co. | $ 604,026,110 | ||
Bank of America Corp. | 382,202,260 | |||
Wells Fargo & Co. | 210,022,426 | |||
Citigroup Inc. | 197,452,594 | |||
Morgan Stanley | 151,536,715 | |||
Goldman Sachs Group Inc. (The) | 146,294,895 | |||
iShares U.S. Broker-Dealers & Securities Exchanges ETF | Morgan Stanley | $ 82,809,402 | ||
Goldman Sachs Group Inc. (The) | 79,945,614 | |||
iShares US Small Cap Value Factor ETF | Cowen Inc. | $ 587,638 | ||
Fund |
Fiscal
Year Ended
March 31, 2021 |
Fiscal
Year Ended
March 31, 2020 |
||
iShares Biotechnology ETF | 34% | 29% | ||
iShares Core S&P 500 ETF | 5% | 4% | ||
iShares Core S&P Mid-Cap ETF | 20% | 15% | ||
iShares Core S&P Small-Cap ETF | 20% | 16% | ||
iShares Core S&P Total U.S. Stock Market ETF | 5% | 4% | ||
iShares Core S&P U.S. Growth ETF | 14% | 35% | ||
iShares Core S&P U.S. Value ETF | 25% | 34% | ||
iShares ESG Screened S&P 500 ETF | 6% 1,2 | N/A | ||
iShares ESG Screened S&P Mid-Cap ETF | 11% 1,2 | N/A | ||
iShares ESG Screened S&P Small-Cap ETF | 18% 1,2 | N/A | ||
iShares Europe ETF | 5% | 5% | ||
iShares Expanded Tech Sector ETF | 9% | 10% | ||
iShares Expanded Tech-Software Sector ETF | 22% | 18% | ||
iShares Factors US Blend Style ETF | 97% 3,4 | N/A | ||
iShares Factors US Growth Style ETF | 103% | 13% 5 | ||
iShares Factors US Mid Blend Style ETF | 105% 3,4 | N/A | ||
iShares Factors US Small Blend Style ETF | 111% 3,4 | N/A | ||
iShares Factors US Value Style ETF | 148% | 16% 6 | ||
iShares Focused Value Factor ETF | 70% | 149% 7 | ||
iShares Global Consumer Staples ETF | 7% | 7% | ||
iShares Global Energy ETF | 5% | 7% | ||
iShares Global Financials ETF | 4% | 7% | ||
iShares Global Industrials ETF | 8% | 5% | ||
iShares Global Infrastructure ETF | 25% | 9% | ||
iShares Global Utilities ETF | 7% | 6% | ||
iShares International Developed Property ETF | 16% | 8% | ||
iShares International Developed Small Cap Value Factor ETF | 0% 8,9 | N/A | ||
iShares International Preferred Stock ETF | 68% | 54% | ||
iShares JPX-Nikkei 400 ETF | 10% | 7% | ||
iShares Micro-Cap ETF | 35% | 24% | ||
iShares Mortgage Real Estate ETF | 30% | 29% | ||
iShares North American Natural Resources ETF | 14% | 16% | ||
iShares North American Tech-Multimedia Networking ETF | 38% | 33% | ||
iShares Preferred and Income Securities ETF | 28% | 46% | ||
iShares Residential and Multisector Real Estate ETF | 7% | 12% | ||
iShares Russell 1000 ETF | 5% | 5% | ||
iShares Russell 1000 Growth ETF | 14% | 18% | ||
iShares Russell 1000 Pure U.S. Revenue ETF | 13% | 23% | ||
iShares Russell 1000 Value ETF | 18% | 16% | ||
iShares Russell 2000 ETF | 20% | 18% | ||
iShares Russell 2000 Growth ETF | 35% | 33% | ||
iShares Russell 2000 Value ETF | 28% | 25% | ||
iShares Russell 3000 ETF | 4% | 5% | ||
iShares Russell Mid-Cap ETF | 14% | 10% | ||
iShares Russell Mid-Cap Growth ETF | 23% | 23% | ||
iShares Russell Mid-Cap Value ETF | 25% | 20% | ||
iShares Russell Top 200 ETF | 5% | 5% | ||
iShares Russell Top 200 Growth ETF | 11% | 20% | ||
iShares Russell Top 200 Value ETF | 17% | 17% | ||
iShares S&P 100 ETF | 8% | 4% | ||
iShares S&P 500 Growth ETF | 13% | 27% | ||
iShares S&P 500 Value ETF | 26% | 32% |
Fund |
Fiscal
Year Ended
March 31, 2021 |
Fiscal
Year Ended
March 31, 2020 |
||
iShares S&P Mid-Cap 400 Growth ETF | 50% | 51% | ||
iShares S&P Mid-Cap 400 Value ETF | 43% | 46% | ||
iShares S&P Small-Cap 600 Growth ETF | 52% | 64% | ||
iShares S&P Small-Cap 600 Value ETF | 52% | 53% | ||
iShares Semiconductor ETF | 23% | 14% | ||
iShares U.S. Aerospace & Defense ETF | 49% | 20% | ||
iShares U.S. Broker-Dealers & Securities Exchanges ETF | 37% | 15% | ||
iShares U.S. Healthcare Providers ETF | 27% | 30% | ||
iShares U.S. Home Construction ETF | 14% | 15% | ||
iShares U.S. Infrastructure ETF | 65% | 23% | ||
iShares U.S. Insurance ETF | 10% | 8% | ||
iShares U.S. Medical Devices ETF | 9% | 9% | ||
iShares U.S. Oil & Gas Exploration & Production ETF | 21% | 25% | ||
iShares U.S. Oil Equipment & Services ETF | 71% | 23% | ||
iShares U.S. Pharmaceuticals ETF | 52% | 40% | ||
iShares U.S. Real Estate ETF | 14% | 8% | ||
iShares U.S. Regional Banks ETF | 6% | 5% | ||
iShares U.S. Telecommunications ETF | 40% | 41% | ||
iShares US Small Cap Value Factor ETF | 14% 10,11 | N/A |
Fund |
Shares
Per
Creation Unit |
Approximate
Value Per Creation Unit (U.S.$) |
||
iShares Biotechnology ETF | 50,000 | $7,739,000 | ||
iShares Core S&P 500 ETF | 50,000 | 20,928,000 | ||
iShares Core S&P Mid-Cap ETF | 50,000 | 13,593,000 | ||
iShares Core S&P Small-Cap ETF | 50,000 | 5,527,000 | ||
iShares Core S&P Total U.S. Stock Market ETF | 50,000 | 4,811,000 | ||
iShares Core S&P U.S. Growth ETF | 50,000 | 4,841,000 | ||
iShares Core S&P U.S. Value ETF | 50,000 | 3,572,000 | ||
iShares ESG Screened S&P 500 ETF | 50,000 | 1,599,000 | ||
iShares ESG Screened S&P Mid-Cap ETF | 50,000 | 1,878,000 | ||
iShares ESG Screened S&P Small-Cap ETF | 50,000 | 1,981,000 | ||
iShares Europe ETF | 50,000 | 2,627,000 | ||
iShares Expanded Tech Sector ETF | 50,000 | 19,168,000 | ||
iShares Expanded Tech-Software Sector ETF | 50,000 | 18,046,000 | ||
iShares Factors US Blend Style ETF | 50,000 | 1,976,500 | ||
iShares Factors US Growth Style ETF | 50,000 | 1,705,500 | ||
iShares Factors US Mid Blend Style ETF | 50,000 | 2,137,000 | ||
iShares Factors US Small Blend Style ETF | 50,000 | 2,408,000 | ||
iShares Factors US Value Style ETF | 50,000 | 1,424,000 | ||
iShares Focused Value Factor ETF | 50,000 | 2,778,000 | ||
iShares Global Consumer Staples ETF | 50,000 | 2,996,000 | ||
iShares Global Energy ETF | 150,000 | 3,712,500 | ||
iShares Global Financials ETF | 50,000 | 3,840,000 | ||
iShares Global Industrials ETF | 50,000 | 5,947,500 | ||
iShares Global Infrastructure ETF | 100,000 | 4,664,000 | ||
iShares Global Utilities ETF | 50,000 | 3,123,500 | ||
iShares International Developed Property ETF | 100,000 | 3,771,000 | ||
iShares International Developed Small Cap Value Factor ETF | 100,000 | 3,574,000 | ||
iShares International Preferred Stock ETF | 50,000 | 857,000 | ||
iShares JPX-Nikkei 400 ETF | 150,000 | 10,786,500 | ||
iShares Micro-Cap ETF | 50,000 | 7,354,500 | ||
iShares Mortgage Real Estate ETF | 50,000 | 1,842,500 | ||
iShares North American Natural Resources ETF | 50,000 | 1,426,500 | ||
iShares North American Tech-Multimedia Networking ETF | 50,000 | 3,337,000 | ||
iShares Preferred and Income Securities ETF | 50,000 | 1,930,000 | ||
iShares Residential and Multisector Real Estate ETF | 50,000 | 3,982,500 | ||
iShares Russell 1000 ETF | 50,000 | 11,786,500 | ||
iShares Russell 1000 Growth ETF | 50,000 | 12,977,000 | ||
iShares Russell 1000 Pure U.S. Revenue ETF | 50,000 | 1,820,000 | ||
iShares Russell 1000 Value ETF | 50,000 | 7,873,500 | ||
iShares Russell 2000 ETF | 50,000 | 11,252,500 | ||
iShares Russell 2000 Growth ETF | 50,000 | 15,334,000 |
Fund |
Shares
Per
Creation Unit |
Approximate
Value Per Creation Unit (U.S.$) |
||
iShares Russell 2000 Value ETF | 50,000 | 8,117,500 | ||
iShares Russell 3000 ETF | 50,000 | 12,469,500 | ||
iShares Russell Mid-Cap ETF | 50,000 | 3,884,000 | ||
iShares Russell Mid-Cap Growth ETF | 50,000 | 5,386,000 | ||
iShares Russell Mid-Cap Value ETF | 50,000 | 5,720,500 | ||
iShares Russell Top 200 ETF | 50,000 | 4,991,000 | ||
iShares Russell Top 200 Growth ETF | 50,000 | 7,197,500 | ||
iShares Russell Top 200 Value ETF | 50,000 | 3,291,000 | ||
iShares S&P 100 ETF | 50,000 | 9,493,500 | ||
iShares S&P 500 Growth ETF | 50,000 | 3,476,500 | ||
iShares S&P 500 Value ETF | 50,000 | 7,317,000 | ||
iShares S&P Mid-Cap 400 Growth ETF | 50,000 | 4,077,500 | ||
iShares S&P Mid-Cap 400 Value ETF | 50,000 | 5,334,500 | ||
iShares S&P Small-Cap 600 Growth ETF | 50,000 | 6,527,000 | ||
iShares S&P Small-Cap 600 Value ETF | 50,000 | 5,125,000 | ||
iShares Semiconductor ETF | 50,000 | 21,100,500 | ||
iShares U.S. Aerospace & Defense ETF | 50,000 | 5,320,500 | ||
iShares U.S. Broker-Dealers & Securities Exchanges ETF | 50,000 | 4,859,500 | ||
iShares U.S. Healthcare Providers ETF | 50,000 | 13,136,500 | ||
iShares U.S. Home Construction ETF | 50,000 | 3,661,000 | ||
iShares U.S. Infrastructure ETF | 50,000 | 1,785,000 | ||
iShares U.S. Insurance ETF | 50,000 | 3,952,000 | ||
iShares U.S. Medical Devices ETF1 | 50,000 | 3,050,500 | ||
iShares U.S. Oil & Gas Exploration & Production ETF | 50,000 | 2,471,000 | ||
iShares U.S. Oil Equipment & Services ETF | 50,000 | 641,500 | ||
iShares U.S. Pharmaceuticals ETF | 50,000 | 8,956,500 | ||
iShares U.S. Real Estate ETF | 50,000 | 4,959,000 | ||
iShares U.S. Regional Banks ETF | 50,000 | 2,982,500 | ||
iShares U.S. Telecommunications ETF | 50,000 | 1,643,500 | ||
iShares US Small Cap Value Factor ETF | 50,000 | 6,240,000 |
Fund |
Standard
Creation
Transaction Fee |
Maximum
Additional
Charge for Creations1 |
||
iShares Biotechnology ETF | $300 | 3.0% |
Fund |
Standard
Creation
Transaction Fee |
Maximum
Additional
Charge for Creations1 |
||
iShares Core S&P 500 ETF | 1,250 | 3.0% | ||
iShares Core S&P Mid-Cap ETF | 1,000 | 3.0% | ||
iShares Core S&P Small-Cap ETF | 1,500 | 3.0% | ||
iShares Core S&P Total U.S. Stock Market ETF | 3,000 | 3.0% | ||
iShares Core S&P U.S. Growth ETF | 3,000 | 3.0% | ||
iShares Core S&P U.S. Value ETF | 3,000 | 3.0% | ||
iShares ESG Screened S&P 500 ETF | 1,250 | 3.0% | ||
iShares ESG Screened S&P Mid-Cap ETF | 1,000 | 3.0% | ||
iShares ESG Screened S&P Small-Cap ETF | 1,400 | 3.0% | ||
iShares Europe ETF | 10,000 | 3.0% | ||
iShares Expanded Tech Sector ETF | 650 | 3.0% | ||
iShares Expanded Tech-Software Sector ETF | 250 | 3.0% | ||
iShares Factors US Blend Style ETF | 600 | 3.0% | ||
iShares Factors US Growth Style ETF | 400 | 3.0% | ||
iShares Factors US Mid Blend Style ETF | 800 | 3.0% | ||
iShares Factors US Small Blend Style ETF | 1,650 | 3.0% | ||
iShares Factors US Value Style ETF | 475 | 3.0% | ||
iShares Focused Value Factor ETF | 150 | 3.0% | ||
iShares Global Consumer Staples ETF | 1,800 | 3.0% | ||
iShares Global Energy ETF | 600 | 7.0% | ||
iShares Global Financials ETF | 4,000 | 7.0% | ||
iShares Global Industrials ETF | 2,200 | 7.0% | ||
iShares Global Infrastructure ETF | 1,600 | 7.0% | ||
iShares Global Utilities ETF | 1,600 | 7.0% | ||
iShares International Developed Property ETF | 4,500 | 7.0% | ||
iShares International Developed Small Cap Value Factor ETF | 8,350 | 3.0% | ||
iShares International Preferred Stock ETF | 700 | 3.0% | ||
iShares JPX-Nikkei 400 ETF | 3,000 | 3.0% | ||
iShares Micro-Cap ETF | 3,000 | 3.0% | ||
iShares Mortgage Real Estate ETF | 250 | 3.0% | ||
iShares North American Natural Resources ETF | 500 | 3.0% | ||
iShares North American Tech-Multimedia Networking ETF | 250 | 3.0% | ||
iShares Preferred and Income Securities ETF | 750 | 3.0% | ||
iShares Residential and Multisector Real Estate ETF | 250 | 3.0% | ||
iShares Russell 1000 ETF | 2,500 | 3.0% | ||
iShares Russell 1000 Growth ETF | 1,450 | 3.0% | ||
iShares Russell 1000 Pure U.S. Revenue ETF | 1,200 | 3.0% | ||
iShares Russell 1000 Value ETF | 1,750 | 3.0% | ||
iShares Russell 2000 ETF | 3,000 | 3.0% | ||
iShares Russell 2000 Growth ETF | 2,800 | 3.0% | ||
iShares Russell 2000 Value ETF | 3,000 | 3.0% | ||
iShares Russell 3000 ETF | 3,000 | 3.0% | ||
iShares Russell Mid-Cap ETF | 2,000 | 3.0% | ||
iShares Russell Mid-Cap Growth ETF | 1,150 | 3.0% | ||
iShares Russell Mid-Cap Value ETF | 1,400 | 3.0% | ||
iShares Russell Top 200 ETF | 500 | 3.0% | ||
iShares Russell Top 200 Growth ETF | 300 | 3.0% | ||
iShares Russell Top 200 Value ETF | 300 | 3.0% | ||
iShares S&P 100 ETF | 250 | 3.0% | ||
iShares S&P 500 Growth ETF | 700 | 3.0% | ||
iShares S&P 500 Value ETF | 900 | 3.0% | ||
iShares S&P Mid-Cap 400 Growth ETF | 550 | 3.0% |
Fund |
Standard
Creation
Transaction Fee |
Maximum
Additional
Charge for Creations1 |
||
iShares S&P Mid-Cap 400 Value ETF | 700 | 3.0% | ||
iShares S&P Small-Cap 600 Growth ETF | 900 | 3.0% | ||
iShares S&P Small-Cap 600 Value ETF | 1,100 | 3.0% | ||
iShares Semiconductor ETF | 250 | 3.0% | ||
iShares U.S. Aerospace & Defense ETF | 250 | 3.0% | ||
iShares U.S. Broker-Dealers & Securities Exchanges ETF | 250 | 3.0% | ||
iShares U.S. Healthcare Providers ETF | 250 | 3.0% | ||
iShares U.S. Home Construction ETF | 250 | 3.0% | ||
iShares U.S. Infrastructure ETF | 475 | 3.0% | ||
iShares U.S. Insurance ETF | 250 | 3.0% | ||
iShares U.S. Medical Devices ETF | 250 | 3.0% | ||
iShares U.S. Oil & Gas Exploration & Production ETF | 250 | 3.0% | ||
iShares U.S. Oil Equipment & Services ETF | 250 | 3.0% | ||
iShares U.S. Pharmaceuticals ETF | 250 | 3.0% | ||
iShares U.S. Real Estate ETF | 250 | 3.0% | ||
iShares U.S. Regional Banks ETF | 250 | 3.0% | ||
iShares U.S. Telecommunications ETF | 250 | 3.0% | ||
iShares US Small Cap Value Factor ETF | 675 | 3.0% |
1 | As a percentage of the net asset value per Creation Unit. |
Fund |
Standard
Redemption
Transaction Fee |
Maximum
Additional
Charge for Redemptions* |
||
iShares Biotechnology ETF | $ 300 | 2.0% | ||
iShares Core S&P 500 ETF | 1,250 | 2.0% | ||
iShares Core S&P Mid-Cap ETF | 1,000 | 2.0% | ||
iShares Core S&P Small-Cap ETF | 1,500 | 2.0% |
Fund |
Standard
Redemption
Transaction Fee |
Maximum
Additional
Charge for Redemptions* |
||
iShares Core S&P Total U.S. Stock Market ETF | 3,000 | 2.0% | ||
iShares Core S&P U.S. Growth ETF | 3,000 | 2.0% | ||
iShares Core S&P U.S. Value ETF | 3,000 | 2.0% | ||
iShares ESG Screened S&P 500 ETF | 1,250 | 2.0% | ||
iShares ESG Screened S&P Mid-Cap ETF | 1,000 | 2.0% | ||
iShares ESG Screened S&P Small-Cap ETF | 1,400 | 2.0% | ||
iShares Europe ETF | 10,000 | 2.0% | ||
iShares Expanded Tech Sector ETF | 650 | 2.0% | ||
iShares Expanded Tech-Software Sector ETF | 250 | 2.0% | ||
iShares Factors US Blend Style ETF | 600 | 2.0% | ||
iShares Factors US Growth Style ETF | 400 | 2.0% | ||
iShares Factors US Mid Blend Style ETF | 800 | 2.0% | ||
iShares Factors US Small Blend Style ETF | 1,650 | 2.0% | ||
iShares Factors US Value Style ETF | 475 | 2.0% | ||
iShares Focused Value Factor ETF | 150 | 2.0% | ||
iShares Global Consumer Staples ETF | 1,800 | 2.0% | ||
iShares Global Energy ETF | 600 | 2.0% | ||
iShares Global Financials ETF | 4,000 | 2.0% | ||
iShares Global Industrials ETF | 2,200 | 2.0% | ||
iShares Global Infrastructure ETF | 1,600 | 2.0% | ||
iShares Global Utilities ETF | 1,600 | 2.0% | ||
iShares International Developed Property ETF | 4,500 | 2.0% | ||
iShares International Developed Small Cap Value Factor ETF | 8,350 | 2.0% | ||
iShares International Preferred Stock ETF | 700 | 2.0% | ||
iShares JPX-Nikkei 400 ETF | 3,000 | 2.0% | ||
iShares Micro-Cap ETF | 3,000 | 2.0% | ||
iShares Mortgage Real Estate ETF | 250 | 2.0% | ||
iShares North American Natural Resources ETF | 500 | 2.0% | ||
iShares North American Tech-Multimedia Networking ETF | 250 | 2.0% | ||
iShares Preferred and Income Securities ETF | 750 | 2.0% | ||
iShares Residential and Multisector Real Estate ETF | 250 | 2.0% | ||
iShares Russell 1000 ETF | 2,500 | 2.0% | ||
iShares Russell 1000 Growth ETF | 1,450 | 2.0% | ||
iShares Russell 1000 Pure U.S. Revenue ETF | 1,200 | 2.0% | ||
iShares Russell 1000 Value ETF | 1,750 | 2.0% | ||
iShares Russell 2000 ETF | 3,000 | 2.0% | ||
iShares Russell 2000 Growth ETF | 2,800 | 2.0% | ||
iShares Russell 2000 Value ETF | 3,000 | 2.0% | ||
iShares Russell 3000 ETF | 3,000 | 2.0% | ||
iShares Russell Mid-Cap ETF | 2,000 | 2.0% | ||
iShares Russell Mid-Cap Growth ETF | 1,150 | 2.0% | ||
iShares Russell Mid-Cap Value ETF | 1,400 | 2.0% | ||
iShares Russell Top 200 ETF | 500 | 2.0% | ||
iShares Russell Top 200 Growth ETF | 300 | 2.0% | ||
iShares Russell Top 200 Value ETF | 300 | 2.0% | ||
iShares S&P 100 ETF | 250 | 2.0% | ||
iShares S&P 500 Growth ETF | 700 | 2.0% | ||
iShares S&P 500 Value ETF | 900 | 2.0% | ||
iShares S&P Mid-Cap 400 Growth ETF | 550 | 2.0% | ||
iShares S&P Mid-Cap 400 Value ETF | 700 | 2.0% | ||
iShares S&P Small-Cap 600 Growth ETF | 900 | 2.0% | ||
iShares S&P Small-Cap 600 Value ETF | 1,100 | 2.0% |
Fund |
Standard
Redemption
Transaction Fee |
Maximum
Additional
Charge for Redemptions* |
||
iShares Semiconductor ETF | 250 | 2.0% | ||
iShares U.S. Aerospace & Defense ETF | 250 | 2.0% | ||
iShares U.S. Broker-Dealers & Securities Exchanges ETF | 250 | 2.0% | ||
iShares U.S. Healthcare Providers ETF | 250 | 2.0% | ||
iShares U.S. Home Construction ETF | 250 | 2.0% | ||
iShares U.S. Infrastructure ETF | 475 | 2.0% | ||
iShares U.S. Insurance ETF | 250 | 2.0% | ||
iShares U.S. Medical Devices ETF | 250 | 2.0% | ||
iShares U.S. Oil & Gas Exploration & Production ETF | 250 | 2.0% | ||
iShares U.S. Oil Equipment & Services ETF | 250 | 2.0% | ||
iShares U.S. Pharmaceuticals ETF | 250 | 2.0% | ||
iShares U.S. Real Estate ETF | 250 | 2.0% | ||
iShares U.S. Regional Banks ETF | 250 | 2.0% | ||
iShares U.S. Telecommunications ETF | 250 | 2.0% | ||
iShares US Small Cap Value Factor ETF | 675 | 2.0% |
* | As a percentage of the net asset value per Creation Unit, inclusive of the standard redemption transaction fee. |
Fund |
Non-Expiring
Capital Loss
Carryforward |
|
iShares Biotechnology ETF | $ 1,428,052,267 | |
iShares Core S&P 500 ETF | 4,128,046,808 | |
iShares Core S&P Mid-Cap ETF | 1,737,798,510 | |
iShares Core S&P Small-Cap ETF | 2,388,028,988 | |
iShares Core S&P Total U.S. Stock Market ETF | 358,810,939 |
Fund |
Non-Expiring
Capital Loss
Carryforward |
|
iShares Core S&P U.S. Growth ETF | 365,934,964 | |
iShares Core S&P U.S. Value ETF | 580,422,122 | |
iShares ESG Screened S&P 500 ETF | 34,318 | |
iShares ESG Screened S&P Mid-Cap ETF | 53,137 | |
iShares ESG Screened S&P Small-Cap ETF | 18,543 | |
iShares Europe ETF | 302,262,836 | |
iShares Expanded Tech Sector ETF | 22,125,503 | |
iShares Expanded Tech-Software Sector ETF | 111,306,889 | |
iShares Factors US Blend Style ETF | N/A | |
iShares Factors US Growth Style ETF | 11,990 | |
iShares Factors US Mid Blend Style ETF | N/A | |
iShares Factors US Small Blend Style ETF | N/A | |
iShares Factors US Value Style ETF | 219,929 | |
iShares Focused Value Factor ETF | 9,634,428 | |
iShares Global Consumer Staples ETF | 18,103,372 | |
iShares Global Energy ETF | 160,867,572 | |
iShares Global Financials ETF | 57,818,192 | |
iShares Global Industrials ETF | 22,646,604 | |
iShares Global Infrastructure ETF | 316,510,669 | |
iShares Global Utilities ETF | 38,361,599 | |
iShares International Developed Property ETF | 28,214,572 | |
iShares International Developed Small Cap Value Factor ETF | N/A | |
iShares International Preferred Stock ETF | 20,714,596 | |
iShares JPX-Nikkei 400 ETF | 21,100,759 | |
iShares Micro-Cap ETF | 167,055,446 | |
iShares Mortgage Real Estate ETF | 174,144,121 | |
iShares Residential and Multisector Real Estate ETF | 3,314,269 | |
iShares North American Natural Resources ETF | 477,090,865 | |
iShares North American Tech-Multimedia Networking ETF | 70,375,105 | |
iShares Preferred and Income Securities ETF | 1,737,916,306 | |
iShares Russell 1000 ETF | 613,444,581 | |
iShares Russell 1000 Growth ETF | 1,417,611,778 | |
iShares Russell 1000 Pure U.S. Revenue ETF | 174,043 | |
iShares Russell 1000 Value ETF | 3,119,799,282 | |
iShares Russell 2000 ETF | 8,500,766,227 | |
iShares Russell 2000 Growth ETF | 1,322,036,379 | |
iShares Russell 2000 Value ETF | 1,580,502,649 | |
iShares Russell 3000 ETF | 133,494,308 | |
iShares Russell Mid-Cap ETF | 1,132,451,882 | |
iShares Russell Mid-Cap Growth ETF | 998,195,710 | |
iShares Russell Mid-Cap Value ETF | 1,155,965,224 |
Fund |
Non-Expiring
Capital Loss
Carryforward |
|
iShares Russell Top 200 ETF | 10,254,466 | |
iShares Russell Top 200 Growth ETF | 73,641,477 | |
iShares Russell Top 200 Value ETF | 39,591,117 | |
iShares S&P 100 ETF | 275,370,205 | |
iShares S&P 500 Growth ETF | 1,141,109,830 | |
iShares S&P 500 Value ETF | 1,158,584,208 | |
iShares S&P Mid-Cap 400 Growth ETF | 248,986,573 | |
iShares S&P Mid-Cap 400 Value ETF | 516,161,831 | |
iShares S&P Small-Cap 600 Growth ETF | 161,202,613 | |
iShares S&P Small-Cap 600 Value ETF | 648,307,766 | |
iShares Semiconductor ETF | 83,206,150 | |
iShares U.S. Aerospace & Defense ETF | 722,874,076 | |
iShares U.S. Broker-Dealers & Securities Exchanges ETF | 36,996,700 | |
iShares U.S. Healthcare Providers ETF | 122,243,181 | |
iShares U.S. Home Construction ETF | 145,185,143 | |
iShares U.S. Infrastructure ETF | 3,063,692 | |
iShares U.S. Insurance ETF | 3,367,681 | |
iShares U.S. Medical Devices ETF | 133,226,956 | |
iShares U.S. Oil & Gas Exploration & Production ETF | 184,967,068 | |
iShares U.S. Oil Equipment & Services ETF | 287,690,727 | |
iShares U.S. Pharmaceuticals ETF | 189,661,444 | |
iShares U.S. Real Estate ETF | 322,683,818 | |
iShares U.S. Regional Banks ETF | 20,030,231 | |
iShares U.S. Telecommunications ETF | 229,710,211 | |
iShares US Small Cap Value Factor ETF | 56,600 |
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• | making independent decisions regarding mergers, acquisitions and disposals |
• | establishing appropriate executive compensation structures |
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• | being, or representing, a shareholder with a substantial shareholding in the company |
• | interlocking directorships |
• | having any other interest, business or other relationship which could, or could reasonably be perceived to, materially interfere with the director’s ability to act in the best interests of the company |
1) | publish a disclosure in line with industry-specific SASB guidelines by year-end, if they have not already done so, or disclose a similar set of data in a way that is relevant to their particular business; and |
2) | disclose climate-related risks in line with the TCFD’s recommendations, if they have not already done so. This should include the company’s plan for operating under a scenario where the Paris Agreement’s goal of limiting global warming to less than two degrees is fully realized, as expressed by the TCFD guidelines. |
• | The company has already taken sufficient steps to address the concern |
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• | BlackRock, Inc. board members who serve as senior executives of public companies held in Funds managed by BlackRock |
• | Adopted the Guidelines which are designed to protect and enhance the economic value of the companies in which BlackRock invests on behalf of clients. |
• | Established a reporting structure that separates BIS from employees with sales, vendor management or business partnership roles. In addition, BlackRock seeks to ensure that all engagements with corporate issuers, dissident shareholders or shareholder proponents are managed consistently and without regard to BlackRock’s relationship with such parties. Clients or business partners are not given special treatment or differentiated access to BIS. BIS prioritizes engagements based on factors including but not limited to our need for additional information to make a voting decision or our view on the likelihood that an engagement could lead to positive outcome(s) over time for the economic value of the company. Within the normal course of business, BIS may engage directly with BlackRock clients, business partners and/or third parties, and/or with employees with sales, vendor management or business partnership roles, in discussions regarding our approach to stewardship, general corporate governance matters, client reporting needs, and/or to otherwise ensure that proxy-related client service levels are met. |
• | Determined to engage, in certain instances, an independent fiduciary to vote proxies as a further safeguard to avoid potential conflicts of interest, to satisfy regulatory compliance requirements, or as may be otherwise required by applicable law. In such circumstances, the independent fiduciary provides BlackRock’s proxy voting agent with instructions, in accordance with the Guidelines, as to how to vote such proxies, and BlackRock’s proxy voting agent votes the proxy in accordance with the independent fiduciary’s determination. BlackRock uses an independent fiduciary to vote proxies of (i) any company that is affiliated with BlackRock, Inc., (ii) any public company that includes BlackRock employees on its board of directors, (iii) The PNC Financial Services Group, Inc., (iv) any public company of which a BlackRock, Inc. board member serves as a senior executive, and (v) companies when legal or regulatory requirements compel BlackRock to use an independent fiduciary. In selecting an independent fiduciary, we assess several characteristics, including but not limited to: independence, an ability to analyze proxy issues and vote in the best economic interest of our clients, reputation for reliability and integrity, and operational capacity to accurately deliver the assigned votes in a timely manner. We may engage more than one independent fiduciary, in part in order to mitigate potential or perceived conflicts of interest at an independent fiduciary. The Global Committee appoints and reviews the performance of the independent fiduciar(ies), generally on an annual basis. |
Contents | |
Introduction | A-16 |
Voting guidelines | A-16 |
Boards and directors | A-16 |
- Director elections | A-16 |
- Independence | A-16 |
- Oversight | A-17 |
- Responsiveness to shareholders | A-17 |
- Shareholder rights | A-17 |
- Board composition and effectiveness | A-18 |
- Board size | A-19 |
- CEO and management succession planning | A-19 |
- Classified board of directors / staggered terms | A-19 |
- Contested director elections | A-19 |
- Cumulative voting | A-19 |
- Director compensation and equity programs | A-19 |
- Majority vote requirements | A-19 |
- Risk oversight | A-20 |
- Separation of chairman and CEO | A-20 |
Auditors and audit-related issues | A-20 |
Capital structure proposals | A-21 |
- Equal voting rights | A-21 |
- Blank check preferred stock | A-21 |
- Increase in authorized common shares | A-21 |
- Increase or issuance of preferred stock | A-21 |
- Stock splits | A-22 |
Mergers, asset sales, and other special transactions | A-22 |
- Poison pill plans | A-22 |
- Reimbursement of expenses for successful shareholder campaigns | A-22 |
Executive Compensation | A-22 |
- Advisory resolutions on executive compensation (“Say on Pay”) | A-23 |
- Advisory votes on the frequency of Say on Pay resolutions | A-23 |
- Claw back proposals | A-23 |
- Employee stock purchase plans | A-23 |
- Equity compensation plans | A-23 |
- Golden parachutes | A-23 |
- Option exchanges | A-24 |
- Pay-for-Performance plans | A-24 |
- Supplemental executive retirement plans | A-24 |
Environmental and social issues | A-24 |
- Climate risk | A-25 |
- Corporate political activities | A-26 |
General corporate governance matters | A-26 |
- Adjourn meeting to solicit additional votes | A-26 |
- Bundled proposals | A-26 |
- Exclusive forum provisions | A-26 |
- Multi-jurisdictional companies | A-26 |
- Other business | A-27 |
- Reincorporation | A-27 |
- IPO governance | A-27 |
Contents | |
Shareholder Protections | A-27 |
- Amendment to charter / articles / bylaws | A-27 |
- Proxy access | A-28 |
- Right to act by written consent | A-28 |
- Right to call a special meeting | A-28 |
- Simple majority voting | A-28 |
• | Boards and directors |
• | Auditors and audit-related issues |
• | Capital structure |
• | Mergers, asset sales, and other special transactions |
• | Executive compensation |
• | Environmental and social issues |
• | General corporate governance matters |
• | Shareholder protections |
• | Employment as a senior executive by the company or a subsidiary within the past five years |
• | An equity ownership in the company in excess of 20% |
• | Having any other interest, business, or relationship which could, or could reasonably be perceived to, materially interfere with the director’s ability to act in the best interests of the company |
• | Where the board has failed to exercise oversight with regard to accounting practices or audit oversight, we will consider voting against the current audit committee, and any other members of the board who may be responsible. For example, this may apply to members of the audit committee during a period when the board failed to facilitate quality, independent auditing if substantial accounting irregularities suggest insufficient oversight by that committee |
• | Members of the compensation committee during a period in which executive compensation appears excessive relative to performance and peers, and where we believe the compensation committee has not already substantially addressed this issue |
• | The chair of the nominating / governance committee, or where no chair exists, the nominating / governance committee member with the longest tenure, where the board is not comprised of a majority of independent directors. However, this would not apply in the case of a controlled company |
• | Where it appears the director has acted (at the company or at other companies) in a manner that compromises his / her reliability to represent the best long-term economic interests of shareholders |
• | Where a director has a pattern of poor attendance at combined board and applicable key committee meetings. Excluding exigent circumstances, BlackRock generally considers attendance at less than 75% of the combined board and applicable key committee meetings by a board member to be poor attendance |
• | Where a director serves on an excess number of boards, which may limit his / her capacity to focus on each board’s requirements. The following illustrates the maximum number of boards on which a director may serve, before he / she is considered to be over-committed: |
Public
Company CEO |
#
Outside
Public Boards* |
Total
# of
Public Boards |
|||
Director A | x | 1 | 2 | ||
Director B | 3 | 4 |
* | In addition to the company under review |
• | The independent chair or lead independent director, members of the nominating / governance committee, and / or the longest tenured director(s), where we observe a lack of board responsiveness to shareholders, evidence of board entrenchment, and / or failure to promote adequate board succession planning |
• | The chair of the nominating / governance committee, or where no chair exists, the nominating / governance committee member with the longest tenure, where board member(s) at the most recent election of directors have received withhold votes from more than 30% of shares voted and the board has not taken appropriate action to respond to shareholder concerns. This may not apply in cases where BlackRock did not support the initial withhold vote |
• | The independent chair or lead independent director and / or members of the nominating / governance committee, where a board fails to implement shareholder proposals that receive a majority of votes cast at a prior shareholder meeting, and the proposals, in our view, have a direct and substantial impact on shareholders’ fundamental rights or long-term economic interests |
• | The independent chair or lead independent director and members of the governance committee, where a board implements or renews a poison pill without shareholder approval |
• | The independent chair or lead independent director and members of the governance committee, where a board amends the charter / articles / bylaws such that the effect may be to entrench directors or to significantly reduce shareholder rights |
• | Members of the compensation committee where the company has repriced options without shareholder approval |
• | If a board maintains a classified structure, it is possible that the director(s) with whom we have a particular concern may not be subject to election in the year that the concern arises. In such situations, if we have a concern regarding a committee or committee chair that is not up for re-election, we will generally register our concern by withholding votes from all available members of the relevant committee |
• | The mix of competencies, experience, and other qualities required to effectively oversee and guide management in light of the stated long-term strategy of the company |
• | The process by which candidates are identified and selected, including whether professional firms or other sources outside of incumbent directors’ networks have been engaged to identify and / or assess candidates |
• | The process by which boards evaluate themselves and any significant outcomes of the evaluation process, without divulging inappropriate and / or sensitive details |
• | The consideration given to board diversity, including, but not limited to, gender, ethnicity, race, age, experience, geographic location, skills, and perspective in the nomination process |
Combined
Chair / CEO Model |
Separate
Chair Model |
||||
Chair / CEO | Lead Director | Chair | |||
Board Meetings | Authority to call full meetings of the board of directors |
Attends
full meetings of the board of directors
Authority to call meetings of independent directors Briefs CEO on issues arising from executive sessions |
Authority to call full meetings of the board of directors | ||
Agenda | Primary responsibility for shaping board agendas, consulting with the lead director | Collaborates with chair / CEO to set board agenda and board information | Primary responsibility for shaping board agendas, in conjunction with CEO | ||
Board Communications | Communicates with all directors on key issues and concerns outside of full board meetings | Facilitates discussion among independent directors on key issues and concerns outside of full board meetings, including contributing to the oversight of CEO and management succession planning | Facilitates discussion among independent directors on key issues and concerns outside of full board meetings, including contributing to the oversight of CEO and management succession planning |
• | Appears to have a legitimate financing motive for requesting blank check authority |
• | Has committed publicly that blank check preferred shares will not be used for anti-takeover purposes |
• | Has a history of using blank check preferred stock for financings |
• | Has blank check preferred stock previously outstanding such that an increase would not necessarily provide further anti-takeover protection but may provide greater financing flexibility |
• | The degree to which the proposed transaction represents a premium to the company’s trading price. We consider the share price over multiple time periods prior to the date of the merger announcement. In most cases, business combinations should provide a premium. We may consider comparable transaction analyses provided by the parties’ financial advisors and our own valuation assessments. For companies facing insolvency or bankruptcy, a premium may not apply |
• | There should be clear strategic, operational, and / or financial rationale for the combination |
• | Unanimous board approval and arm’s-length negotiations are preferred. We will consider whether the transaction involves a dissenting board or does not appear to be the result of an arm’s-length bidding process. We may also consider whether executive and / or board members’ financial interests in a given transaction appear likely to affect their ability to place shareholders’ interests before their own |
• | We prefer transaction proposals that include the fairness opinion of a reputable financial advisor assessing the value of the transaction to shareholders in comparison to recent similar transactions |
• | Whether we believe that the triggering event is in the best interest of shareholders |
• | Whether management attempted to maximize shareholder value in the triggering event |
• | The percentage of total premium or transaction value that will be transferred to the management team, rather than shareholders, as a result of the golden parachute payment |
• | Whether excessively large excise tax gross-up payments are part of the pay-out |
• | Whether the pay package that serves as the basis for calculating the golden parachute payment was reasonable in light of performance and peers |
• | Whether the golden parachute payment will have the effect of rewarding a management team that has failed to effectively manage the company |
• | The company has experienced significant stock price decline as a result of macroeconomic trends, not individual company performance |
• | Directors and executive officers are excluded; the exchange is value neutral or value creative to shareholders; tax, accounting, and other technical considerations have been fully contemplated |
• | There is clear evidence that absent repricing, the company will suffer serious employee incentive or retention and recruiting problems |
• | Publish disclosures in line with industry specific SASB guidelines by year-end, if they have not already done so, or disclose a similar set of data in a way that is relevant to their particular business; and |
• | Disclose climate-related risks in line with the TCFD’s recommendations, if they have not already done so. This should include the company’s plan for operating under a scenario where the Paris Agreement’s goal of limiting global warming to less than two degrees is fully realized, as expressed by the TCFD guidelines. |
• | The company has already taken sufficient steps to address the concern |
• | The company is in the process of actively implementing a response |
• | There is a clear and material economic disadvantage to the company in the near-term if the issue is not addressed in the manner requested by the shareholder proposal |
iShares Trust
File Nos. 333-92935 and 811-09729
Part C
Other Information
Item 28. Exhibits:
PEA # 2,484
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Item 29. Persons Controlled By or Under Common Control with Registrant:
None.
Item 30. Indemnification:
The Trust (also referred to in this section as the Fund) is organized as a Delaware statutory trust and is operated pursuant to an Amended and Restated Agreement and Declaration of Trust (the Declaration of Trust) that permits the Trust to indemnify its trustees and officers under certain circumstances. Such indemnification, however, is subject to the limitations imposed by the Securities Act of 1933, as amended (the 1933 Act), and the Investment Company Act of 1940, as amended (the 1940 Act).
Section 10.2 of the Declaration of Trust:
The Declaration of Trust provides that every person who is, or has been, a trustee or officer of the Trust (a Covered Person) shall be indemnified by the Trust to the fullest extent permitted by law against liability and against all expenses reasonably incurred or paid in connection with any claim, action, suit, proceeding in which he or she becomes involved as a party or otherwise by virtue of being or having been a trustee or officer and against amounts paid as incurred in the settlement thereof. However, no indemnification shall be provided to a Covered Person:
(i) who shall have been adjudicated by a court or body before which the proceeding was brought (a) to be liable to the Trust or its shareholders by reason of willful misfeasance, bad faith, gross negligence, or reckless disregard of the duties involved in the conduct of his office or (b) not to have acted in good faith in the reasonable belief that his action was in the best interest of the Trust; or
(ii) in the event of a settlement, unless there has been a determination that such trustee or officer did not engage in willful misfeasance, bad faith, gross negligence, or reckless disregard of the duties involved in the conduct of his office: (a) by the court or other body approving the settlement; (b) by at least a majority of those trustees who neither are interested persons (as defined in the 1940 Act) of the Trust nor are parties to the matter based upon a review of readily-available facts (as opposed to a full trial-type inquiry); or (c) by written opinion of independent legal counsel based upon a review of readily-available facts (as opposed to a full trial-type inquiry); provided, however, that any shareholder, by appropriate legal proceedings, may challenge any such determination by the trustees or by independent counsel.
Article IX of the Registrants Amended and Restated By-Laws:
The Amended and Restated By-Laws provides that the Trust may purchase and maintain insurance on behalf of any Covered Person or employee of the Trust, including any Covered Person or employee of the Trust who is or was serving at the request of the Trust as a trustee, officer, or employee of a corporation, partnership, association, joint venture, trust, or other enterprise, against any liability asserted against and incurred by such Covered Person or employee in any such capacity or arising out of his or her status as such, whether or not the trustees would have the power to indemnify him or her against such liability. The Trust may not acquire or obtain a contract for insurance that protects or purports to protect any trustee or officer of the Trust against any liability to the Trust or its Shareholders to which such trustee or officer otherwise would be subject by reason of willful misfeasance, bad faith, gross negligence, or reckless disregard of the duties involved in the conduct of his or her office.
1933 Act:
Insofar as indemnification for liabilities arising under the 1933 Act may be permitted to directors, officers and controlling persons of the Fund pursuant to the foregoing provisions, or otherwise, the Fund has been advised that in the opinion of the SEC such indemnification is against public policy as expressed in the 1933 Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Fund of expenses incurred or paid by a director, officer or controlling person of the Fund in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the Fund will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the 1933 Act and will be governed by the final adjudication of such issue.
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Section 17 of the Master Services Agreement between Registrant and State Street:
The Master Services Agreement provides that State Street will indemnify, defend and hold harmless the applicable Fund, its Affiliates, and its respective officers, directors, employees, agents and permitted successors and assigns from any and all damages, fines, penalties, deficiencies, losses, liabilities (including judgments and amounts reasonably paid in settlement) and expenses (including interest, court costs, reasonable fees and expenses of attorneys, accountants and other experts or other reasonable fees and expenses of litigation or other proceedings or of any claim, default or assessment) (Losses) arising from or in connection with any third party claim or threatened third party claim to the extent that such Losses are based on or arising out of any of the following: (a) breach by State Street or any State Street Personnel of any of its data protection, information security or confidentiality obligations hereunder or under a Service Module to which such Fund is a signatory; (b) any claim of infringement or misappropriation of any Intellectual Property Right alleged to have occurred because of systems or other Intellectual Property provided by or on behalf of State Street or based upon the performance of the Services (collectively, the State Street Infringement Items), except to the extent that such infringement or misappropriation relates to or results from; (i) changes made by any Fund or by a third party at the direction of a Fund to the State Street Infringement Items; (ii) changes to the State Street Infringement Items recommended by State Street and not made due to a request from any Fund, provided that State Street has notified such Fund that failure to implement such recommendation would result in infringement within a reasonable amount of time for such Fund to so implement following such notification; (iii) any Funds combination of the State Street Infringement Items with products or services not provided or approved in writing by State Street, except to the extent such combination arises out of any Funds use of the State Street Infringement Items in a manner consistent with the applicable business requirements documentation; (iv) designs or specifications that in themselves infringe and that are provided by or at the direction of any Fund (except in the event of a knowing infringement by State Street); or (v) use by a Fund of any of the State Street Infringement Items in a manner that is not consistent with the applicable business requirements documentation or otherwise not permitted under the Master Services Agreement or any Service Module; (c) any claim or action by, on behalf of, or related to, any prospective, then-current or former employees of State Street, arising from or in connection with a Service Module to which a Fund is a signatory, including: (i) any claim arising under occupational health and safety, workers compensation, ERISA or other applicable Law; (ii) any claim arising from the interview or hiring practices, actions or omissions of employees of State Street; (iii) any claim relating to any violation by employees of State Street, or its respective officers, directors, employees, representatives or agents, of any Law or any common law protecting persons or members of protected classes or categories, such laws or regulations prohibiting discrimination or harassment on the basis of a protected characteristic; and (iv) any claim based on a theory that such Fund is an employer or joint employer of any such prospective, then-current or former employees of State Street; (d) the failure by State Street to obtain, maintain, or comply with any governmental approvals as required under the Master Services Agreement and/or a Service Module to which such Fund is a signatory or such other failures as otherwise agreed by the Parties from time to time; (e) claims by third parties arising from claims by governmental authorities against such Customer for fines, penalties, sanctions, late fees or other remedies to the extent arising from or in connection with State Streets failure to perform its responsibilities under the Master Services Agreement or any Service Module (except to the extent a Fund is not permitted as a matter of public policy to have such an indemnity for financial penalties arising from criminal actions); (f) claims by clients of State Street relating to services, products or systems provided by State Street or a Subcontractor to such client(s) in a shared or leveraged environment; (g) any claim initiated by an Affiliate or potential or actual Subcontractor of State Street asserting rights in connection with a Service Module to which such Fund is a signatory; or (h) other claims as otherwise agreed by the Parties from time to time.
Each Party will indemnify, defend and hold harmless the other Party and their respective officers, directors, employees, agents, successors and assigns from any and all Losses arising from or in connection with any of the following, including Losses arising from or in connection with any third party claim or threatened third party claim: (a) the death or bodily injury of an agent, employee, customer, business invitee or business visitor or other person caused by the tortious or criminal conduct of the other Party; or (b) the damage, loss or destruction of real or tangible personal property caused by the tortious or criminal conduct of the other Party.
Section 8.02 of the Distribution Agreement between Registrant and BRIL:
The Distribution Agreement provides that the Trust agrees to indemnify, defend and hold harmless, BRIL, each of its directors, officers, principals, representatives, employees and each person, if any, who controls BRIL within the meaning of Section 15 of the 1933 Act (collectively, the BRIL Indemnified Parties) on an as-incurred basis from and against any and all losses, claims, damages or liabilities whatsoever (including any investigation, legal or other expenses incurred in connection with, and any amount paid in settlement of, any action, suit or proceeding or any claim asserted) (collectively, Losses) to which the BRIL Indemnified Parties become subject, arising out of or based upon (i) any untrue statement or alleged untrue statement of a material fact contained in any Prospectus or the omission or alleged omission therefrom of a material fact required to be stated therein or necessary to make the statements therein not misleading and (ii) any breach of any representation, warranty or covenant made by the Trust in this Agreement; provided, however, that the Trust shall not be liable in any such case to the extent that any Loss arises out of or is based upon (A) an untrue statement or alleged untrue statement or omission or alleged omission made in the Prospectus about BRIL in reliance upon and in conformity with written information furnished to the Trust by BRIL expressly for use therein; (B) BRILs own willful misfeasance, willful misconduct or gross negligence or BRILs reckless disregard of its obligations under this Agreement or arising out of the failure of BRIL to deliver a current Prospectus; or (C) BRILs material breach of this Agreement.
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The Distribution Agreement also provides that BRIL agrees to indemnify and hold harmless the Trust, each of its trustees, officers, employees and each person, if any, who controls the Trust within the meaning of Section 15 of the 1933 Act (collectively, the Trust Indemnified Parties) from and against any and all losses to which the Trust Indemnified Parties become subject, arising out of or based upon (i) any untrue statement or alleged untrue statement of a material fact contained in the Prospectus or the omission or alleged omission therefrom of a material fact required to be stated therein or necessary to make the statements therein not misleading, in reliance upon and in conformity with written information furnished to the Trust by BRIL about BRIL expressly for use therein; (ii) any breach of any representation, warranty or covenant made by BRIL in the Distribution Agreement; and (iii) the actions or omissions of any person acting under the supervision of BRIL in providing services under the Distribution Agreement; provided, however, that BRIL shall not be liable in any such case to the extent that any loss arises out of or is based upon (A) the Trusts own willful misfeasance, willful misconduct or gross negligence or the Trusts reckless disregard of its obligations under the Distribution Agreement or (B) the Trusts material breach of the Distribution Agreement.
The Authorized Participant Agreement:
The Authorized Participant Agreement provides that the Authorized Participant (the Participant) agrees to indemnify and hold harmless the Fund and its respective subsidiaries, affiliates, directors, officers, employees and agents, and each person, if any, who controls such persons within the meaning of Section 15 of the 1933 Act (each an Indemnified Party) from and against any loss, liability, cost and expense (including attorneys fees) incurred by such Indemnified Party as a result of (i) any breach by the Participant of any provision of the Authorized Participant Agreement that relates to the Participant; (ii) any failure on the part of the Participant to perform any of its obligations set forth in the Authorized Participant Agreement; (iii) any failure by the Participant to comply with applicable laws, including rules and regulations of self-regulatory organizations; or (iv) actions of such Indemnified Party in reliance upon any instructions issued in accordance with Annex II, III or IV (as each may be amended from time to time) of the Authorized Participant Agreement reasonably believed by the distributor and/or the transfer agent to be genuine and to have been given by the Participant.
Section 5.1 of the Third Amended and Restated Securities Lending Agency Agreement:
The Third Amended and Restated Securities Lending Agency Agreement provides that the Trust on behalf of each Fund agrees to indemnify BTC and to hold it harmless from and against any and all costs, expenses, damages, liabilities or claims (including reasonable fees and expenses of counsel) which BTC may sustain or incur or which may be asserted against BTC by reason of or as a result of any action taken or omitted by BTC in connection with or arising out of BTCs operating under and in compliance with this Agreement, except those costs, expenses, damages, liabilities or claims arising out of BTCs negligence, bad faith, willful misconduct, or reckless disregard of its obligations and duties hereunder. Actions taken or omitted in reasonable reliance upon Oral Instructions or Written Instructions, any Certificate, or upon any information, order, indenture, stock certificate, power of attorney, assignment, affidavit or other instrument reasonably believed by BTC to be genuine or bearing the signature of a person or persons reasonably believed by BTC to be genuine or bearing the signature of a person or persons reasonably believed to be authorized to sign, countersign or execute the same, shall be presumed to have been taken or omitted in good faith.
The Third Amended and Restated Securities Lending Agency Agreement also provides that BTC shall indemnify and hold harmless the Trust and each Fund, its Board of Trustees and its agents and BFA and any investment adviser for the Funds from any and all loss, liability, costs, damages, actions, and claims (Loss) to the extent that any such Loss arises out of the material breach of this Agreement by or negligent acts or omissions or willful misconduct of BTC, its officers, directors or employees or any of its agents or subcustodians in connection with the securities lending activities undertaken pursuant to this Agreement, provided that BTCs indemnification obligation with respect to the acts or omissions of its subcustodians shall not exceed the indemnification provided by the applicable subcustodian to BTC.
The Participation Agreement:
The Form of Participation Agreement generally provides that each Investing Fund agrees to hold harmless and indemnify the iShares Funds, including any of their principals, directors or trustees, officers, employees and agents, against and from any and all losses, expenses or liabilities incurred by or claims or actions (Claims) asserted against the iShares Funds, including any of their principals, directors or trustees, officers, employees and agents, to the extent such Claims result from (i) a violation or alleged violation by such Investing Fund of any provision of this Agreement or (ii) a violation or alleged violation by such Investing Fund of the terms and conditions of the iShares Order, such indemnification to include any reasonable counsel fees and expenses incurred in connection with investigating and/or defending such Claims.
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The iShares Funds agree to hold harmless and indemnify an Investing Fund, including any of its directors or trustees, officers, employees and agents, against and from any Claims asserted against the Investing Fund, including any of its directors or trustees, officers, employees and agents, to the extent such Claims result from (i) a violation or alleged violation by the iShares Fund of any provision of this Agreement or (ii) a violation or alleged violation by the iShares Fund of the terms and conditions of the iShares Order, such indemnification to include any reasonable counsel fees and expenses incurred in connection with investigating and/or defending such Claims; provided that no iShares Fund shall be liable for indemnifying any Investing Fund for any Claims resulting from violations that occur as a result of incomplete or inaccurate information provided by the Investing Fund to such iShares Fund pursuant to terms and conditions of the iShares Order or this Agreement.
Sublicense Agreements between the Registrant and BFA:
The Sublicense Agreements generally provide that the Trust shall indemnify and hold harmless BFA, its officers, employees, agents, successors, and assigns against all judgments, damages, costs or losses of any kind (including reasonable attorneys and experts fees) resulting from any claim, action or proceeding (collectively claims) that arises out of or relates to (a) the creation, marketing, advertising, selling, and operation of the Trust or interests therein, (b) any breach by BFA of its covenants, representations, and warranties under the License Agreement caused by the actions or inactions of the Trust, or (c) any violation of applicable laws (including, but not limited to, banking, commodities, and securities laws) arising out of the offer, sale, operation, or trading of the Trust or interests therein, except to the extent such claims result from the negligence, gross negligence or willful misconduct of BFA or an affiliate of BFA. The provisions of this section shall survive termination of this Sublicense Agreement.
Item 31. Business and Other Connections of the Investment Adviser:
The Trust is advised by BFA, an indirect wholly owned subsidiary of BlackRock, Inc., 400 Howard Street, San Francisco, CA 94105. BFAs business is that of a registered investment adviser to certain open-end, management investment companies and various other institutional investors.
The directors and officers of BFA consist primarily of persons who during the past two years have been active in the investment management business. To the knowledge of the Registrant, except as set forth below, none of the directors or executive officers of BFA is or has been at any time during the past two fiscal years engaged in any other business, profession, vocation or employment of a substantial nature. Information as to the executive officers and directors of BFA is included in its Form ADV filed with the SEC (File No. 801-22609) and is incorporated herein by reference.
Director or Officer | Capacity with BFA |
Principal Business(es) During Last Two Fiscal
Years |
||
FINK, LAURENCE DOUGLAS | CHIEF EXECUTIVE OFFICER | Chairman and Chief Executive Officer of BlackRock, Inc. | ||
GOLDSTEIN, ROBERT LAWRENCE | CHIEF OPERATING OFFICER AND DIRECTOR | Senior Managing Director and Chief Operating Officer of BlackRock, Inc. | ||
KAPITO, ROBERT STEVEN | PRESIDENT | President and Director of BlackRock, Inc. | ||
MEADE, CHRISTOPHER JOSEPH | GENERAL COUNSEL AND CHIEF LEGAL OFFICER | Senior Managing Director and Chief Legal Officer of BlackRock, Inc. | ||
PARK, CHARLES CHOON SIK | CHIEF COMPLIANCE OFFICER | Managing Director of BlackRock, Inc. and Chief Compliance Officer of BlackRocks registered investment companies | ||
SHEDLIN, GARY STEPHEN | CHIEF FINANCIAL OFFICER AND DIRECTOR | Senior Managing Director and Chief Financial Officer of BlackRock Inc. | ||
WALTCHER, DANIEL RUSSELL | DIRECTOR | Managing Director and Deputy General Counsel of BlackRock, Inc. |
BIL acts as sub-adviser for a number of affiliated registered investment companies advised by BFA. The address of each of these registered investment companies is 400 Howard Street, San Francisco, CA 94105. The address of BIL is Exchange Place One, 1 Semple Street, Edinburgh, EH3 8BL, United Kingdom. To the knowledge of the Registrant, except as set forth below, none of the directors or executive officers of BIL is or has been at any time during the past two fiscal years engaged in any other business, profession, vocation or employment of a substantial nature. Information as to the executive officers and directors of BIL is included in its Form ADV filed with the SEC (File No. 801-51087) and is incorporated herein by reference.
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Director or Officer | Capacity with BIL |
Principal Business(es) During Last Two Fiscal
Years |
||
CHARRINGTON, NICHOLAS JAMES | DIRECTOR | Senior Adviser and Non-Executive Chairman of EMEA of BlackRock, Inc., Non-Executive Director of BlackRock Group Limited BlackRock Investment Management (UK) Limited, BlackRock Advisors (UK) Limited and BIL (collectively, the Joint Boards) | ||
CLAUSEN, CHRISTIAN | DIRECTOR | Senior Advisor of BlackRock, Inc. | ||
DE FREITAS, ELEANOR JUDITH | DIRECTOR | Managing Director of BlackRock, Inc. | ||
FISHWICK, JAMES EDWARD | DIRECTOR | Managing Director of BlackRock, Inc. | ||
ARCHIBALD, ARTHUR, BENJAMIN | GENERAL COUNSEL | Managing Director of BlackRock, Inc. | ||
LORD, RACHEL | CHIEF EXECUTIVE OFFICER AND DIRECTOR | Senior Managing Director of BlackRock, Inc. | ||
GIBSON, NICHOLAS, JOHN | CHIEF COMPLIANCE OFFICER | Managing Director of BlackRock, Inc. | ||
MULLIN, STACEY JANE | CHIEF OPERATING OFFICER AND DIRECTOR | Managing Director of BlackRock, Inc. | ||
MCDONALD, COLIN, ALISTAIR | CHIEF FINANCIAL OFFICER | Managing Director of BlackRock, Inc., Director of BlackRock Inc. | ||
YOUNG, MARGARET ANNE | DIRECTOR | Non-Executive Director of the Joint Boards |
Item 32. Principal Underwriters:
(a) |
Furnish the name of each investment company (other than the Registrant) for which each principal underwriter currently distributing the securities of the Registrant also acts as a principal underwriter, distributor or investment adviser. |
BRIL, the distributor of certain funds, acts as the principal underwriter or placement agent, as applicable, for each of the following open-end registered investment companies including certain funds of the Registrant:
BlackRock Advantage Global Fund, Inc. | BlackRock Large Cap Series Funds, Inc. | |
BlackRock Advantage SMID Cap Fund, Inc. | BlackRock Latin America Fund, Inc. | |
BlackRock Allocation Target Shares | BlackRock Liquidity Funds | |
BlackRock Asian Dragon Fund, Inc. | BlackRock Long-Horizon Equity Fund | |
BlackRock Balanced Capital Fund, Inc. | BlackRock Mid Cap Dividend Series, Inc. | |
BlackRock Basic Value Fund, Inc. | BlackRock Multi-State Municipal Series Trust | |
BlackRock Bond Fund, Inc. | BlackRock Municipal Bond Fund, Inc. | |
BlackRock California Municipal Series Trust | BlackRock Municipal Series Trust | |
BlackRock Capital Appreciation Fund, Inc. | BlackRock Natural Resources Trust | |
BlackRock Emerging Markets Fund, Inc. | BlackRock Series Fund, Inc. | |
BlackRock Equity Dividend Fund | BlackRock Series Fund II, Inc. | |
BlackRock ETF Trust | BlackRock Series, Inc. |
- 9 -
BlackRock ETF Trust II | BlackRock Strategic Global Bond Fund, Inc. | |
BlackRock EuroFund | BlackRock Variable Series Funds, Inc. | |
BlackRock Financial Institutions Series Trust | BlackRock Variable Series Funds II, Inc. | |
BlackRock FundsSM | iShares, Inc. | |
BlackRock Funds II | iShares U.S. ETF Trust | |
BlackRock Funds III | Managed Account Series | |
BlackRock Funds IV | Managed Account Series II | |
BlackRock Funds V | Master Bond LLC | |
BlackRock Funds VI | Master Investment Portfolio | |
BlackRock Global Allocation Fund, Inc. | Master Investment Portfolio II | |
BlackRock Index Funds, Inc. | Master Large Cap Series LLC | |
BlackRock Large Cap Focus Growth Fund, Inc. | Quantitative Master Series LLC |
BRIL also acts as the distributor or placement agent for the following closed-end registered investment companies:
BlackRock Credit Strategies Fund |
BlackRock Health Sciences Trust |
BlackRock Hedge Fund Guided Portfolio Solution |
BlackRock MuniAssets Fund, Inc. |
BlackRock Private Investments Fund |
BlackRock Science and Technology Trust |
BlackRock Taxable Municipal Bond Trust |
BlackRock Utilities, Infrastructure & Power Opportunities Trust |
BRIL provides numerous financial services to BlackRock-advised funds and is the distributor of BlackRocks open-end funds. These services include coordinating and executing Authorized Participation Agreements, preparing, reviewing and providing advice with respect to all sales literature and responding to Financial Industry Regulatory Authority comments on marketing materials.
(b) |
Set forth below is information concerning each director and officer of BRIL. The principal business address for each such person is 55 East 52nd Street, New York, NY 10055. |
Name |
Position(s) and Office(s)
|
Position(s) and Office(s)
|
||
Abigail Reynolds | Chairman and Member, Board of Managers, and Chief Executive Officer | None | ||
Christopher Meade | Chief Legal Officer, General Counsel and Senior Managing Director | None | ||
Lauren Bradley | Chief Financial Officer and Vice President | None | ||
Gregory Rosta | Chief Compliance Officer and Director | None | ||
Jon Maro | Chief Operating Officer and Director | None | ||
Andrew Dickson | Secretary and Managing Director | None | ||
Terri Slane | Assistant Secretary and Director | None | ||
Anne Ackerley | Member, Board of Managers, and Managing Director | None | ||
Michael Bishopp | Managing Director | None | ||
Thomas Callahan | Member, Board of Managers, and Managing Director | None | ||
Samara Cohen | Managing Director | None | ||
Jonathan Diorio | Managing Director | None | ||
Lisa Hill | Managing Director | None | ||
Brendan Kyne | Managing Director | None | ||
Paul Lohrey | Managing Director | None | ||
Martin Small | Member, Board of Managers, and Managing Director | None | ||
Jonathan Steel | Managing Director | None | ||
Ariana Brown | Director | None | ||
Chris Nugent | Director | None | ||
Lourdes Sanchez | Vice President | None |
- 10 -
Lisa Belle | Anti-Money Laundering Officer | Anti-Money Laundering Compliance Officer | ||
Zach Buchwald | Member, Board of Managers | None | ||
Gerald Pucci | Member, Board of Managers | None | ||
Philip Vasan | Member, Board of Managers | None |
(c) |
Not applicable. |
Item 33. Location of Accounts and Records:
(a) |
The Trust maintains accounts, books and other documents required by Section 31(a) of the 1940 Act and the rules thereunder (collectively, the Records) at the offices of State Street, 1 Lincoln Street, Mail Stop SFC0805, Boston, MA 02111. |
(b) |
BFA and/or its affiliates maintains all Records relating to its services as investment adviser at 400 Howard Street, San Francisco, CA 94105. |
(c) |
BRIL maintains all Records relating to its services as distributor of certain Funds at 1 University Square Drive, Princeton, NJ 08540. |
(d) |
State Street maintains all Records relating to its services as transfer agent at 1 Heritage Drive, North Quincy, MA 02171. State Street maintains all Records relating to its services as fund accountant and custodian at 1 Lincoln Street, Mail Stop SFC0805, Boston, MA 02111. |
(e) |
BlackRock International Limited maintains all Records relating to its functions as current or former sub-adviser at Exchange Place One, 1 Semple Street, Edinburgh, EH3 8BL, United Kingdom. |
Item 34. Management Services:
Not applicable.
Item 35. Undertakings:
Not applicable.
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SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, as amended, and the Investment Company Act of 1940, as amended, the Registrant has duly caused this Post-Effective Amendment No. 2,484 to the Registration Statement to be signed on its behalf by the undersigned, duly authorized, in the City of San Francisco and the State of California on the 27th day of July, 2021.
iSHARES TRUST
By: |
|
|
Armando Senra* | ||
President |
||
Date: |
July 27, 2021 |
Pursuant to the requirements of the Securities Act of 1933, as amended, this Post-Effective Amendment No. 2,484 to the Registration Statement has been signed below by the following persons in the capacities and on the date indicated.
By: |
|
|
Salim Ramji* | ||
Trustee | ||
Date: | July 27, 2021 |
|
||
John E. Martinez* | ||
Trustee | ||
Date: | July 27, 2021 |
|
||
Cecilia H. Herbert* | ||
Trustee | ||
Date: | July 27, 2021 |
|
||
John E. Kerrigan* | ||
Trustee | ||
Date: | July 27, 2021 |
|
||
Robert S. Kapito* | ||
Trustee | ||
Date: | July 27, 2021 |
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|
||
Madhav V. Rajan* | ||
Trustee | ||
Date: | July 27, 2021 |
|
||
Jane D. Carlin* | ||
Trustee | ||
Date: | July 27, 2021 |
|
||
Drew E. Lawton* | ||
Trustee | ||
Date: | July 27, 2021 |
|
||
Richard L. Fagnani* | ||
Trustee | ||
Date: | July 27, 2021 |
/s/ Trent W. Walker |
||
Trent W. Walker* | ||
Treasurer and Chief Financial Officer | ||
Date: | July 27, 2021 |
/s/ Trent W. Walker |
||
* | By: Trent W. Walker | |
Attorney-in-fact | ||
Date: | July 27, 2021 |
- 13 -
Exhibit Index
(h.12) |
(h.28) |
(j) |
- 14 -
Exhibit (h.12)
Exhibit A
iShares Trust
Dow Jones EPAC Select Dividend IndexTM
Dow Jones U.S. Basic Materials IndexTM
Dow Jones U.S. Consumer Goods IndexTM
Dow Jones U.S. Consumer Services Capped IndexTM
Dow Jones U.S. Financials Capped IndexTM
Dow Jones U.S. Financial Services IndexTM
Dow Jones U.S. Health Care IndexTM
Dow Jones U.S. IndexTM
Dow Jones U.S. Industrials IndexTM
Dow Jones U.S. Oil & Gas IndexTM
Dow Jones U.S. Real Estate Capped IndexTM
Dow Jones U.S. Select Aerospace & Defense IndexTM
Dow Jones U.S. Select Dividend IndexTM
Dow Jones U.S. Select Health Care Providers IndexTM
Dow Jones U.S. Select Home Construction IndexTM
Dow Jones U.S. Select Insurance IndexTM
Dow Jones U.S. Select Investment Services IndexTM
Dow Jones U.S. Select Medical Equipment IndexTM
Dow Jones U.S. Select Oil Exploration & Production IndexTM
Dow Jones U.S. Select Oil Equipment & Services IndexTM
Dow Jones U.S. Select Pharmaceuticals IndexTM
Dow Jones U.S. Select Regional Banks IndexTM
Dow Jones U.S. Select Telecommunications IndexTM
Dow Jones U.S. Technology Capped IndexTM
Dow Jones U.S. Utilities IndexTM
iShares, Inc.
Dow Jones Asia/Pacific Select Dividend 50 IndexTM
Dow Jones Emerging Markets Select Dividend IndexTM
Exhibit (h.28)
Exhibit A
iShares Trust
S&P 100®
S&P 500®
S&P 500 Growth IndexTM
S&P 500 Sustainability Screened Index®
S&P 500 Value IndexTM
S&P 900 Growth IndexTM
S&P 900 Value IndexTM
S&P AMT-Free Municipal Series Callable-Adjusted Dec 2026 IndexTM
S&P AMT-Free Municipal Series Callable-Adjusted Dec 2027 IndexTM
S&P AMT-Free Municipal Series Callable-Adjusted Dec 2028 IndexTM
S&P AMT-Free Municipal Series Dec 2021 IndexTM
S&P AMT-Free Municipal Series Dec 2022 IndexTM
S&P AMT-Free Municipal Series Dec 2023 IndexTM
S&P AMT-Free Municipal Series Dec 2024 IndexTM
S&P AMT-Free Municipal Series Dec 2025 IndexTM
S&P Asia 50TM
S&P California AMT-Free Municipal Bond IndexTM
S&P Developed ex-U.S. Property IndexTM
S&P Emerging Markets Infrastructure IndexTM
S&P Europe 350TM
S&P Global 100TM
S&P Global 1200 Communication Services 4.5/22.5/45 Capped IndexTM
S&P Global 1200 Consumer Discretionary (Sector) Capped IndexTM
S&P Global 1200 Consumer Staples (Sector) Capped IndexTM
S&P Global 1200 Energy IndexTM
S&P Global 1200 Financials IndexTM
S&P Global 1200 Health Care IndexTM
S&P Global 1200 Industrials IndexTM
S&P Global 1200 Information Technology IndexTM
S&P Global 1200 Materials IndexTM
S&P Global 1200 Utilities (Sector) Capped IndexTM
S&P Global Clean Energy IndexTM
S&P Global Infrastructure IndexTM
S&P Global Timber & Forestry IndexTM
S&P International Preferred Stock IndexTM
S&P Latin America 40TM
S&P MidCap 400®
S&P MidCap 400 Growth IndexTM
S&P MidCap 400 Sustainability Screened Index®
S&P MidCap 400 Value IndexTM
S&P National AMT-Free Municipal Bond IndexTM
S&P New York AMT-Free Municipal Bond IndexTM
S&P North American Expanded Technology Sector IndexTM
S&P North American Expanded Technology Software IndexTM
S&P North American Natural Resources Sector IndexTM
S&P North American Technology Multimedia Networking IndexTM
S&P Short Term National AMT-Free Municipal Bond IndexTM
S&P SmallCap 600®
S&P SmallCap 600 Growth IndexTM
S&P SmallCap 600 Sustainability Screened Index®
S&P SmallCap 600 Value IndexTM
S&P Target Risk Aggressive Index
S&P Target Risk Conservative Index
S&P Target Risk Growth Index
S&P Target Risk Moderate Index
S&P Total Market IndexTM
S&P Transportation Select Industry FMC Capped Index
Exhibit (j)
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
We hereby consent to the incorporation by reference in this Registration Statement on Form N-1A of iShares Trust of our report dated May 21, 2021, relating to the financial statements and financial highlights, which appears in the iShares U.S. Telecommunications ETFs Annual Report on Form N-CSR for the year ended March 31, 2021. We also consent to the references to us under the headings Financial Highlights, Financial Statements and Independent Registered Public Accounting Firm in such Registration Statement.
/s/ PricewaterhouseCoopers LLP
Philadelphia, Pennsylvania
July 27, 2021