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Trending ETFs

Name

As of 11/19/2024

Price

Aum/Mkt Cap

YIELD

Annualized forward dividend yield. Multiplies the most recent dividend payout amount by its frequency and divides by the previous close price.

Exp Ratio

Expense ratio is the fund’s total annual operating expenses, including management fees, distribution fees, and other expenses, expressed as a percentage of average net assets.

Watchlist

$20.98

$5 M

1.49%

$0.31

0.46%

Vitals

YTD Return

-4.8%

1 yr return

3.4%

3 Yr Avg Return

-5.3%

5 Yr Avg Return

N/A

Net Assets

$5 M

Holdings in Top 10

31.8%

52 WEEK LOW AND HIGH

$21.1
$20.69
$23.68

Expenses

OPERATING FEES

Expense Ratio 0.46%

SALES FEES

Front Load N/A

Deferred Load N/A

TRADING FEES

Turnover N/A

Redemption Fee N/A


Min Investment

Standard (Taxable)

N/A

IRA

N/A


Fund Classification

Fund Type

Exchange Traded Fund


Name

As of 11/19/2024

Price

Aum/Mkt Cap

YIELD

Annualized forward dividend yield. Multiplies the most recent dividend payout amount by its frequency and divides by the previous close price.

Exp Ratio

Expense ratio is the fund’s total annual operating expenses, including management fees, distribution fees, and other expenses, expressed as a percentage of average net assets.

Watchlist

$20.98

$5 M

1.49%

$0.31

0.46%

OCEN - Profile

Distributions

  • YTD Total Return -4.8%
  • 3 Yr Annualized Total Return -5.3%
  • 5 Yr Annualized Total Return N/A
  • Capital Gain Distribution Frequency N/A
  • Net Income Ratio N/A
DIVIDENDS
  • Dividend Yield 1.5%
  • Dividend Distribution Frequency Quarterly

Fund Details

  • Legal Name
    NYLI Clean Oceans ETF
  • Fund Family Name
    IndexIQ
  • Inception Date
    Oct 21, 2021
  • Shares Outstanding
    N/A
  • Share Class
    N/A
  • Currency
    USD
  • Domiciled Country
    US
  • Manager
    Greg Barrato

Fund Description

p id="xdx_A87_err--StrategyNarrativeTextBlock_gRBSNTB-OT_zPDNnVuZYwYc" style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 9pt; -sec-ix-redline: true; text-transform: none; color: #000000; text-indent: 0pt; text-align: justify"span style="text-transform: none"The Fund employs a “passive management” — or indexing — investment approach designed to track the /spanspan style="text-transform: none"performance of the Underlying Index. /spanspan id="dual-pro_01a105"/spanspan style="text-transform: none"The Advisor is the index provider for the Underlying Index and Candriam /spanspan style="text-transform: none"serves as the index consultant to the Advisor for the Underlying Index. The Underlying Index incorporates thematic selection criteria designed to provide exposure to equity securities of companies that help /spanspan style="text-transform: none"to protect/span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 9pt; -sec-ix-redline: true; text-transform: none; color: #000000; text-indent: 0pt; text-align: justify"span style="text-transform: none"and/or achieve a cleaner ocean through reduced pollution and increased resource efficiency. Companies selected for inclusion in the Underlying Index offer products and services that target solutions which contribute to the protection or achievement of cleaner oceans, are users of such products or services, or are engaged in activities with ocean-related sustainability objectives. A company included in the Underlying Index is not required to be primarily or even directly engaged in activities that protect or achieve cleaner oceans. The Underlying Index includes thematic selection criteria that reflect initiatives, research and campaigns of Oceana, Inc. (“Oceana”), a 501(c)(3) /spanspan style="text-transform: none"public charity./span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 9pt; -sec-ix-redline: true; text-transform: none; color: #000000; text-indent: 0pt; text-align: justify"span style="text-transform: none"The/spanspan style="text-transform: none" /spanspan style="text-transform: none"Underlying/spanspan style="text-transform: none" /spanspan style="text-transform: none"Index/spanspan style="text-transform: none" /spanspan style="text-transform: none"includes/spanspan style="text-transform: none" /spanspan style="text-transform: none"securities/spanspan style="text-transform: none" /spanspan style="text-transform: none"of/spanspan style="text-transform: none" /spanspan style="text-transform: none"large-,/spanspan style="text-transform: none" /spanspan style="text-transform: none"mid-/spanspan style="text-transform: none" /spanspan style="text-transform: none"and/spanspan style="text-transform: none" /spanspan style="text-transform: none"small-capitalization/spanspan style="text-transform: none" /spanspan style="text-transform: none"companies/spanspan style="text-transform: none" /spanspan style="text-transform: none"that/spanspan style="text-transform: none" /spanspan style="text-transform: none"trade/spanspan style="text-transform: none" /spanspan style="text-transform: none"in/spanspan style="text-transform: none" /spanspan style="text-transform: none"the/spanspan style="text-transform: none" /spanspan style="text-transform: none"U.S. and/spanspan style="text-transform: none" /spanspan style="text-transform: none"foreign/spanspan style="text-transform: none" /spanspan style="text-transform: none"markets,/spanspan style="text-transform: none" /spanspan style="text-transform: none"including/spanspan style="text-transform: none" /spanspan style="text-transform: none"emerging/spanspan style="text-transform: none" /spanspan style="text-transform: none"markets/spanspan style="text-transform: none" /spanspan style="text-transform: none"other/spanspan style="text-transform: none" /spanspan style="text-transform: none"than/spanspan style="text-transform: none" /spanspan style="text-transform: none"China,/spanspan style="text-transform: none" /spanspan style="text-transform: none"Egypt,/spanspan style="text-transform: none" /spanspan style="text-transform: none"India,/spanspan style="text-transform: none" /spanspan style="text-transform: none"Kuwait,/spanspan style="text-transform: none" /spanspan style="text-transform: none"Pakistan,/spanspan style="text-transform: none" /spanspan style="text-transform: none"Qatar,/spanspan style="text-transform: none" /spanspan style="text-transform: none"Saudi Arabia/spanspan style="text-transform: none" /spanspan style="text-transform: none"and/spanspan style="text-transform: none" /spanspan style="text-transform: none"United/spanspan style="text-transform: none" /spanspan style="text-transform: none"Arab/spanspan style="text-transform: none" /spanspan style="text-transform: none"Emirates./spanspan style="text-transform: none" /spanspan style="text-transform: none"The/spanspan style="text-transform: none" /spanspan style="text-transform: none"index/spanspan style="text-transform: none" /spanspan style="text-transform: none"universe/spanspan style="text-transform: none" /spanspan style="text-transform: none"consists/spanspan style="text-transform: none" /spanspan style="text-transform: none"of/spanspan style="text-transform: none" /spanspan style="text-transform: none"approximately/spanspan style="text-transform: none" /spanspan style="text-transform: none"the/spanspan style="text-transform: none" /spanspan style="text-transform: none"largest/spanspan style="text-transform: none" /spanspan style="text-transform: none"99%/spanspan style="text-transform: none" /spanspan style="text-transform: none"of/spanspan style="text-transform: none" /spanspan style="text-transform: none"the/spanspan style="text-transform: none" /spanspan style="text-transform: none"free-float market capitalization in the global markets. As of June 30, 2024, the market capitalization range of the Underlying Index was approximately $980.32 million to $3.32 trillion. As of June 30, 2024, the primary sectors within the Underlying Index were information technology, industrials, /spanspan style="text-transform: none"and utilities./span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 9pt; text-transform: none; color: #000000; text-indent: 0pt; text-align: justify"span style="text-transform: none"The Underlying Index first applies developed and emerging market-specific screens to the initial universe to screen/spanspan style="text-transform: none" /spanspan style="text-transform: none"out/spanspan style="text-transform: none" /spanspan style="text-transform: none"companies/spanspan style="text-transform: none" /spanspan style="text-transform: none"that/spanspan style="text-transform: none" /spanspan style="text-transform: none"fail/spanspan style="text-transform: none" /spanspan style="text-transform: none"to/spanspan style="text-transform: none" /spanspan style="text-transform: none"meet/spanspan style="text-transform: none" /spanspan style="text-transform: none"certain/spanspan style="text-transform: none" /spanspan style="text-transform: none"minimum/spanspan style="text-transform: none" /spanspan style="text-transform: none"environmental,/spanspan style="text-transform: none" /spanspan style="text-transform: none"social/spanspan style="text-transform: none" /spanspan style="text-transform: none"and/spanspan style="text-transform: none" /spanspan style="text-transform: none"governance/spanspan style="text-transform: none" /spanspan style="text-transform: none"(ESG)/spanspan style="text-transform: none" /spanspan style="text-transform: none"criteria. The/spanspan style="text-transform: none" /spanspan style="text-transform: none"Underlying/spanspan style="text-transform: none" /spanspan style="text-transform: none"Index/spanspan style="text-transform: none" /spanspan style="text-transform: none"also/spanspan style="text-transform: none" /spanspan style="text-transform: none"includes/spanspan style="text-transform: none" /spanspan style="text-transform: none"an/spanspan style="text-transform: none" /spanspan style="text-transform: none"exclusionary/spanspan style="text-transform: none" /spanspan style="text-transform: none"screen/spanspan style="text-transform: none" /spanspan style="text-transform: none"based/spanspan style="text-transform: none" /spanspan style="text-transform: none"on/spanspan style="text-transform: none" /spanspan style="text-transform: none"any/spanspan style="text-transform: none" /spanspan style="text-transform: none"continued/spanspan style="text-transform: none" /spanspan style="text-transform: none"and/spanspan style="text-transform: none" /spanspan style="text-transform: none"significant non-compliance with the principles within the United Nation’s Global Compact as well as the exclusion of companies engaged in certain businesses beyond minimum thresholds (e.g., companies that operate in countries with oppressive regimes, that operate in adult content, alcohol, armament, gambling, nuclear, and tobacco, or that utilize animal testing or genetic modification in research /spanspan style="text-transform: none"and development)./span/p p style="font: italic 9pt/normal Arial, sans-serif; margin: 0pt; text-decoration: underline; color: #000000; text-transform: none; text-indent: 0pt; text-align: left"span style="text-transform: none; font-style: italic"iInitial Developed Markets Screen/i/span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 9pt; text-transform: none; color: #000000; text-indent: 0pt; text-align: justify"span style="text-transform: none"Companies included in the initial universe that trade in developed markets are given an overall ESG score based according to the following business activity and stakeholder criteria. Companies are scored relative to other companies within the /spanspan style="text-transform: none"same industry./span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 7pt; text-transform: none; color: #000000; text-indent: 0pt; text-align: justify"span style="text-transform: none"The business activity criteria/spanspan style="text-transform: none" /spanspan style="text-transform: none"(the “Business Activity /spanspan style="text-transform: none"Criteria”)/spanspan style="text-transform: none" /spanspan style="text-transform: none"are:/span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 7pt 28.8pt; text-transform: none; color: #000000; text-indent: -14.4pt; text-align: justify"span style="width: 14.39pt; text-indent: 0; display: inline-block"span style="text-transform: none"•/span/spanspan style="text-transform: none"Climate Change: /spanspan style="text-transform: none"Activities related to the production of renewable energy and decarbonizing /spanspan style="text-transform: none"business activities./span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 7pt 28.8pt; text-transform: none; color: #000000; text-indent: -14.4pt; text-align: justify"span style="width: 14.39pt; text-indent: 0; display: inline-block"span style="text-transform: none"•/span/spanspan style="text-transform: none"Resources and Waste: Activities related to the efficient utilization/spanspan style="text-transform: none" of resources, recycling, and mitigating the impact /spanspan style="text-transform: none"on ecosystems./span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 7pt 28.8pt; text-transform: none; color: #000000; text-indent: -14.4pt; text-align: justify"span style="width: 14.39pt; text-indent: 0; display: inline-block"span style="text-transform: none"•/span/spanspan style="text-transform: none"Digitalization and Innovation: Activities that drive higher industrial and resource efficiencies and protecting data privacy and the resilience of /spanspan style="text-transform: none"digital networks./span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 7pt 28.8pt; text-transform: none; color: #000000; text-indent: -14.4pt; text-align: justify"span style="width: 14.39pt; text-indent: 0; display: inline-block"span style="text-transform: none"•/span/spanspan style="text-transform: none"Health and Wellness: Activities/spanspan style="text-transform: none" related to providing healthy products and services, improving air quality, and investing in human capital through job creation, gender equality and decent /spanspan style="text-transform: none"working conditions./span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 9pt 28.8pt; text-transform: none; color: #000000; text-indent: -14.4pt; text-align: justify"span style="width: 14.39pt; text-indent: 0; display: inline-block"span style="text-transform: none"•/span/spanspan style="text-transform: none"Demographic Shifts: Activities related to providing products and services to aging populations in developed countries and supporting population growth in emerging countries through investment in infrastructure and the food /spanspan style="text-transform: none"supply chain./span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 7pt; text-transform: none; color: #000000; text-indent: 0pt; text-align: justify"span style="text-transform: none"The stakeholder criteria (the “Stakeholder /spanspan style="text-transform: none"Criteria”) /spanspan style="text-transform: none"are:/span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 7pt 28.8pt; text-transform: none; color: #000000; text-indent: -14.4pt; text-align: justify"span style="width: 14.39pt; text-indent: 0; display: inline-block"span style="text-transform: none"•/span/spanspan style="text-transform: none"Treatment of customers, including advertising/spanspan style="text-transform: none" practices, after sales service and support, and /spanspan style="text-transform: none"anti-competitive behaviors./span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 7pt 28.8pt; text-transform: none; color: #000000; text-indent: -14.4pt; text-align: justify"span style="width: 14.39pt; text-indent: 0; display: inline-block"span style="text-transform: none"•/span/spanspan style="text-transform: none"Treatment of employees, including working conditions, employee retention, gender equality, training and /spanspan style="text-transform: none"career opportunities./span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 7pt 28.8pt; text-transform: none; color: #000000; text-indent: -14.4pt; text-align: justify"span style="width: 14.39pt; text-indent: 0; display: inline-block"span style="text-transform: none"•/span/spanspan style="text-transform: none"Environmental initiatives and compliance with new/spanspan style="text-transform: none" /spanspan style="text-transform: none"environmental legislation./span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 7pt 28.8pt; text-transform: none; color: #000000; text-indent: -14.4pt; text-align: justify"span style="width: 14.39pt; text-indent: 0; display: inline-block"span style="text-transform: none"•/span/spanspan style="text-transform: none"Supplier standards and oversight, including supplier adherence to fair/spanspan style="text-transform: none" /spanspan style="text-transform: none"labor standards./span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 7pt 28.8pt; text-transform: none; color: #000000; text-indent: -14.4pt; text-align: justify"span style="width: 14.39pt; text-indent: 0; display: inline-block"span style="text-transform: none"•/span/spanspan style="text-transform: none"Corporate governance, including quality of governance and ethics, adherence to accounting standards and /spanspan style="text-transform: none"anti-bribery efforts./span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 9pt 28.8pt; text-transform: none; color: #000000; text-indent: -14.4pt; text-align: justify"span style="width: 14.39pt; text-indent: 0; display: inline-block"span style="text-transform: none"•/span/spanspan style="text-transform: none"Societal impact and how the company is viewed by populations in the area where the /spanspan style="text-transform: none"company operates./span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 9pt; text-transform: none; color: #000000; text-indent: 0pt; text-align: justify"span style="text-transform: none"Companies that score in the lowest/spanspan style="text-transform: none" 30% are excluded from the /spanspan style="text-transform: none"Underlying Index./span/pp style="font: italic 9pt/normal Arial, sans-serif; margin: 0pt; text-decoration: underline; color: #000000; text-transform: none; text-indent: 0pt; text-align: left"span style="text-transform: none; font-style: italic"iInitial Emerging Markets Screen/i/span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 9pt; text-transform: none; color: #000000; text-indent: 0pt; text-align: justify"span style="text-transform: none"Companies included in the initial universe that trade in emerging markets are excluded from the Underlying Index if they do not satisfy certain Business Activity Criteria and Stakeholder Criteria or if a company’s majority shareholder is a state or government entity with poor environmental, social or governance /spanspan style="text-transform: none"related /spanspan style="text-transform: none"performance./span/p p style="font: italic 9pt/normal Arial, sans-serif; margin: 0pt; text-decoration: underline; color: #000000; text-transform: none; text-indent: 0pt; text-align: left"span style="text-transform: none; font-style: italic"iThematic Screen/i/span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 9pt; text-transform: none; color: #000000; text-indent: 0pt; text-align: justify"span style="text-transform: none"The thematic selection criteria used by the Underlying Index to identify and score companies for potential inclusion in the /spanspan style="text-transform: none"Index are:/span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 9pt 28.8pt; text-transform: none; color: #000000; text-indent: -14.4pt; text-align: justify"span style="width: 14.39pt; text-indent: 0; display: inline-block"span style="text-transform: none"•/span/spanspan style="text-transform: none"Circular Economy: Companies involved in /spanspan style="text-transform: none"the production /spanspan style="text-transform: none"of consumer goods that incorporate principles of designing out waste and pollution and keeping products and materials in use and out of /spanspan style="text-transform: none"waste streams./span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 9pt 28.8pt; text-transform: none; color: #000000; text-indent: -14.4pt; text-align: justify"span style="width: 14.39pt; text-indent: 0; display: inline-block"span style="text-transform: none"•/span/spanspan style="text-transform: none"Clean Energy: Companies involved in clean technology development and renewable /spanspan style="text-transform: none"energy production./span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 9pt 28.8pt; text-transform: none; color: #000000; text-indent: -14.4pt; text-align: justify"span style="width: 14.39pt; text-indent: 0; display: inline-block"span style="text-transform: none"•/span/spanspan style="text-transform: none"Clean, Treat /spanspan style="text-transform: none"and Recycle Water and Waste: Companies engaged in water and /spanspan style="text-transform: none"waste treatment./span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 9pt 28.8pt; text-transform: none; color: #000000; text-indent: -14.4pt; text-align: justify"span style="width: 14.39pt; text-indent: 0; display: inline-block"span style="text-transform: none"•/span/spanspan style="text-transform: none"Electronic Components: Companies engaged in or supporting the production of semiconductors and electronic components, which are necessary to the development of environmental technologies, through processes that seek to reduce the impact of emissions, climate change and /spanspan style="text-transform: none"natural resources./span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 9pt 28.8pt; text-transform: none; color: #000000; text-indent: -14.4pt; text-align: justify"span style="width: 14.39pt; text-indent: 0; display: inline-block"span style="text-transform: none"•/span/spanspan style="text-transform: none"Energy Efficient Economy: Companies developing technologies and services that support reduced carbon emissions and reduce the use of /spanspan style="text-transform: none"non-renewable resources./span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 9pt 28.8pt; text-transform: none; color: #000000; text-indent: -14.4pt; text-align: justify"span style="width: 14.39pt; text-indent: 0; display: inline-block"span style="text-transform: none"•/span/spanspan style="text-transform: none"Seafood and alternatives: Companies engaged in /spanspan style="text-transform: none"or supporting /spanspan style="text-transform: none"sustainable fishing./span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 9pt 28.8pt; text-transform: none; color: #000000; text-indent: -14.4pt; text-align: justify"span style="width: 14.39pt; text-indent: 0; display: inline-block"span style="text-transform: none"•/span/spanspan style="text-transform: none"Shipping and Ports: Companies working to enhance the efficiency and reduce the environmental impact of shipping services, water transportation services and /spanspan style="text-transform: none"marine construction./span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 9pt 28.8pt; text-transform: none; color: #000000; text-indent: -14.4pt; text-align: justify"span style="width: 14.39pt; text-indent: 0; display: inline-block"span style="text-transform: none"•/span/spanspan style="text-transform: none"Sustainable Packaging: Companies developing containers /spanspan style="text-transform: none"and packaging with reduced environmental impact /spanspan style="text-transform: none"and waste./span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 9pt; text-transform: none; color: #000000; text-indent: 0pt; text-align: justify"span style="text-transform: none"The Underlying Index applies a two-part scoring process to determine a company’s thematic score based on the following two /spanspan style="text-transform: none"scoring criteria:/span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 9pt 28.8pt; text-transform: none; color: #000000; text-indent: -14.4pt; text-align: justify"span style="width: 14.39pt; text-indent: 0; display: inline-block"span style="text-transform: none"•/span/spanspan style="text-transform: none"Revenue: A company’s revenue score on a theme is generated based on: (1) the percentage of revenue that the company derives from activities relevant to the theme (companies that generate a higher percentage of revenue from/spanspan style="text-transform: none" relevant activities score higher); and (2) the amount of revenue/spanspan style="text-transform: none" that the company derives from activities related to the theme (companies/spanspan style="text-transform: none" that generate a greater amount of revenue from relevant activities /spanspan style="text-transform: none"score higher)./span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 9pt 28.8pt; text-transform: none; color: #000000; text-indent: -14.4pt; text-align: justify"span style="width: 14.39pt; text-indent: 0; display: inline-block"span style="text-transform: none"•/span/spanspan style="text-transform: none"Impact Score: A company’s impact/spanspan style="text-transform: none" score on a theme is generated based on: (1) the/spanspan style="text-transform: none" company’s ability to benefit from the development of environmental technologies; (2) company’s impact on carbon emissions and climate change, including investments in low-carbon technologies,/spanspan style="text-transform: none" the use of low-carbon inputs, the development of products with low-carbon/spanspan style="text-transform: none" intensity, and general exposure of the company’s revenue, assets and capital expenditures to climate change; (3) the company’s management of natural resources, including water and marine ecosystems; (4) the company’s activities to address environmental concerns and policies and systems in place to manage environmental issues; (5) the company’s programs, policies and management of the environmental performance of their suppliers; and (6) the company’s programs and policies to develop sustainable products /spanspan style="text-transform: none"and services./span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 9pt; text-transform: none; color: #000000; text-indent: 0pt; text-align: justify"span style="text-transform: none"The thematic score /spanspan style="text-transform: none"is determined based on its revenue and /spanspan style="text-transform: none"impact scores./span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 9pt; text-transform: none; color: #000000; text-indent: 0pt; text-align: justify"span style="text-transform: none"Following the application of the screens and exclusion criteria, the Underlying Index selects the top-ranked 50 to 80 companies for inclusion based on the thematic selection criteria scoring. The number of companies selected for/spanspan style="text-transform: none" inclusion in the Underlying Index will vary depending on the/spanspan style="text-transform: none" number of companies that exceed the minimum thematic screening score required/spanspan style="text-transform: none" for inclusion in the Underlying Index. The components are selected by starting with the securities with the highest score until either the total number of selected securities is 80, or the score of the next-ranked security fails to score above the minimum threshold. If there are less than 50 securities at the end of the process, the selection continues until at least 50 securities are selected in the /spanspan style="text-transform: none"Underlying Index./span/p p style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 9pt; text-transform: none; color: #000000; text-indent: 0pt; text-align: justify"span style="text-transform: none"Securities/spanspan style="text-transform: none" selected for inclusion in the Underlying Index are weighted using/spanspan style="text-transform: none" a modified market capitalization-weighting methodology, with a minimum component weight of 0.25% and maximum component weight of 3% at the time /spanspan style="text-transform: none"of rebalance./span/pp style="font: 9pt/11.5pt Arial, sans-serif; margin: 0pt 0pt 9pt; text-transform: none; color: #000000; text-indent: 0pt; text-align: justify"span style="text-transform: none"The Underlying Index is rebalanced quarterly. The Underlying Index applies the exclusionary screen on a monthly basis and any company identified in the/spanspan style="text-transform: none" exclusionary screen is removed from the Underlying Index. The Underlying Index/spanspan style="text-transform: none" may include as a component one or more ETFs advised/spanspan style="text-transform: none" by the Advisor (“Affiliated ETFs”) and the Fund will typically invest in any Affiliated ETF included in the Underlying Index. The Fund also may invest in Affiliated ETFs that are not/spanspan style="text-transform: none" components of the index if such an investment will help/spanspan style="text-transform: none" the Fund track the /spanspan style="text-transform: none"Underlying Index./span/p
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OCEN - Performance

Return Ranking - Trailing

Period OCEN Return Category Return Low Category Return High Rank in Category (%)
YTD -4.8% -24.9% 17.8% 81.36%
1 Yr 3.4% -68.1% 26.2% N/A
3 Yr -5.3%* -43.1% 28.8% N/A
5 Yr N/A* -32.3% 26.2% N/A
10 Yr N/A* -2.8% 17.7% N/A

* Annualized

Return Ranking - Calendar

Period OCEN Return Category Return Low Category Return High Rank in Category (%)
2023 15.3% -72.7% 24.1% N/A
2022 -25.4% -22.1% 50.4% N/A
2021 N/A -31.4% 49.5% N/A
2020 N/A -23.4% 13.6% N/A
2019 N/A -13.7% 34.6% N/A

Total Return Ranking - Trailing

Period OCEN Return Category Return Low Category Return High Rank in Category (%)
YTD -4.8% -73.0% 17.8% 86.44%
1 Yr 3.4% -68.1% 26.2% N/A
3 Yr -5.3%* -43.1% 28.8% N/A
5 Yr N/A* -32.3% 26.2% N/A
10 Yr N/A* -1.5% 17.7% N/A

* Annualized

Total Return Ranking - Calendar

Period OCEN Return Category Return Low Category Return High Rank in Category (%)
2023 17.6% -72.7% 24.1% N/A
2022 -24.2% -22.1% 50.4% N/A
2021 N/A -31.4% 49.5% N/A
2020 N/A -23.4% 13.6% N/A
2019 N/A -12.2% 34.6% N/A

OCEN - Holdings

Concentration Analysis

OCEN Category Low Category High OCEN % Rank
Net Assets 5 M 610 K 31.2 B 86.44%
Number of Holdings 79 1 389 20.59%
Net Assets in Top 10 1.62 M -21.4 M 5.86 B 86.76%
Weighting of Top 10 31.79% 8.9% 100.0% 82.81%

Top 10 Holdings

  1. National Grid PLC 3.52%
  2. Ingersoll Rand Inc 3.37%
  3. ABB Ltd 3.16%
  4. Microsoft Corp 3.15%
  5. Iberdrola SA 3.14%
  6. adidas AG 3.11%
  7. Intel Corp 3.11%
  8. Exelon Corp 3.10%
  9. Enel SpA 3.09%
  10. Schneider Electric SE 3.05%

Asset Allocation

Weighting Return Low Return High OCEN % Rank
Stocks
99.90% 0.00% 100.33% 41.18%
Cash
0.25% -0.34% 101.46% 55.88%
Preferred Stocks
0.00% 0.00% 29.02% 22.06%
Other
0.00% -8.90% 91.95% 33.82%
Convertible Bonds
0.00% 0.00% 3.05% 26.47%
Bonds
0.00% 0.00% 88.23% 27.94%

Stock Sector Breakdown

Weighting Return Low Return High OCEN % Rank
Utilities
0.00% 0.00% 85.14% 27.12%
Technology
0.00% 0.00% 77.79% 38.98%
Real Estate
0.00% 0.00% 54.95% 49.15%
Industrials
0.00% 0.00% 90.47% 37.29%
Healthcare
0.00% 0.00% 100.00% 44.07%
Financial Services
0.00% 0.00% 95.51% 33.90%
Energy
0.00% 0.00% 32.10% 38.98%
Communication Services
0.00% 0.00% 16.38% 32.20%
Consumer Defense
0.00% 0.00% 53.62% 20.34%
Consumer Cyclical
0.00% 0.00% 41.11% 25.42%
Basic Materials
0.00% 0.00% 36.59% 20.34%

Stock Geographic Breakdown

Weighting Return Low Return High OCEN % Rank
Non US
60.41% 0.00% 98.35% 19.12%
US
39.50% 0.00% 85.31% 64.71%

OCEN - Expenses

Operational Fees

OCEN Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Expense Ratio 0.46% 0.22% 4.26% 89.33%
Management Fee 0.45% 0.25% 1.90% 11.27%
12b-1 Fee N/A 0.00% 1.00% 8.33%
Administrative Fee N/A 0.03% 0.19% N/A

Sales Fees

OCEN Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Front Load N/A 0.00% 5.75% N/A
Deferred Load N/A 1.00% 2.25% N/A

Trading Fees

OCEN Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Max Redemption Fee N/A 2.00% 2.00% N/A

Related Fees

Turnover provides investors a proxy for the trading fees incurred by mutual fund managers who frequently adjust position allocations. Higher turnover means higher trading fees.

OCEN Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Turnover N/A 0.00% 140.00% N/A

OCEN - Distributions

Dividend Yield Analysis

OCEN Category Low Category High OCEN % Rank
Dividend Yield 1.49% 0.00% 5.18% 17.33%

Dividend Distribution Analysis

OCEN Category Low Category High Category Mod
Dividend Distribution Frequency Quarterly Annually Quarterly Annually

Net Income Ratio Analysis

OCEN Category Low Category High OCEN % Rank
Net Income Ratio N/A -2.66% 5.19% N/A

Capital Gain Distribution Analysis

OCEN Category Low Category High Capital Mode
Capital Gain Distribution Frequency Annually Annually Annually

Distributions History

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OCEN - Fund Manager Analysis

Managers

Greg Barrato


Start Date

Tenure

Tenure Rank

Oct 21, 2021

0.61

0.6%

Mr. Barrato has managed the MainStay VP IQ Hedge Multi-Strategy Portfolio since inception. Mr. Barrato joined IndexIQ Advisors LLC as a Vice President in November 2010 and has been a Senior Vice President of the IndexIQ Advisors LLC since August 2013. Prior to joining IndexIQ Advisors LLC, Mr. Barrato served as Head Global Equity Trader and Trader at Lucerne Capital Management, LLC from 2008 to 2010 and as Assistant Trader and Operations Manager at ReachCapital Management, LP from 2004 to 2008. Mr. Barrato is a 2002 graduate of the University of Connecticut.

James Harrison


Start Date

Tenure

Tenure Rank

Oct 21, 2021

0.61

0.6%

James Harrison has been a member of the portfolio management team of IndexIQ Advisors LLC since 2015. Prior to joining IndexIQ, Mr. Harrison served as trading assistant, operations specialist and sales assistant at Cuttone & Company from 2010 to 2015. Mr. Harrison is a graduate of St. Lawrence University.

Tenure Analysis

Category Low Category High Category Average Category Mode
0.75 23.1 6.84 3.29