2019 Prospectus |
|
► | iShares Broad USD High
Yield Corporate Bond ETF | USHY | CBOE BZX |
|
S-1 |
|
1 |
|
2 |
|
11 |
|
15 |
|
16 |
|
19 |
|
27 |
|
28 |
|
29 |
|
29 |
|
31 |
Ticker: USHY | Stock Exchange: Cboe BZX |
Annual
Fund Operating Expenses (ongoing expenses that you pay each year as a percentage of the value of your investments) | ||||||
Management
Fees |
Distribution
and Service (12b-1) Fees |
Other
Expenses |
Total
Annual Fund Operating Expenses | |||
0.22% | None | None | 0.22% |
1 Year | 3 Years | 5 Years | 10 Years | |||
$23 | $71 | $124 | $280 |
One Year | Since
Fund Inception | ||
(Inception Date: 10/25/2017) | |||
Return Before Taxes | -2.54% | -2.16% | |
Return After Taxes on Distributions1 | -4.89% | -4.40% | |
Return After Taxes on Distributions and Sale of Fund Shares1 | -1.47% | -2.54% | |
ICE BofAML US High Yield Constrained Index (Index returns do not reflect deductions for fees, expenses, or taxes) | -2.25% | -1.88% |
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. |
■ | High yield securities may be issued by less creditworthy issuers. Issuers of high yield securities may have a larger amount of outstanding debt relative to their assets than issuers of investment-grade bonds. In the event of an issuer’s bankruptcy, claims of other creditors may have priority over the claims of high yield securities holders, leaving few or no assets available to repay high yield securities holders. |
■ | Prices of high yield securities are subject to extreme price fluctuations. Adverse changes in an issuer’s industry and general economic conditions may have a greater impact on the prices of high yield securities than on other higher rated fixed-income securities. The credit rating of a high yield security does not necessarily address its market value risk. Ratings and market value may change from time to time, positively or negatively, to reflect new developments regarding the issuer. |
■ | Issuers of high yield securities may be unable to meet their interest or principal payment obligations because of an economic downturn, specific issuer developments, or the unavailability of additional financing. |
■ | High yield securities frequently have redemption features that permit an issuer to repurchase the security from the Fund before it matures. If the issuer redeems high yield securities held by the Fund, the Fund may have to invest the proceeds in bonds with lower yields and may lose income. |
■ | High yield securities may be less liquid than higher rated fixed-income securities, even under normal economic conditions. There are fewer dealers in the high yield securities market, and there may be significant differences in the prices quoted for high yield securities by the dealers. Because high yield securities are less liquid, judgment may play a greater role in valuing certain of the Fund’s securities than is the case with securities trading in a more liquid market. |
■ | The Fund may incur expenses to the extent necessary to seek recovery upon default or to negotiate new terms with a defaulting issuer. |
Approximate
Value of a Creation Unit |
Creation
Unit Size |
Standard
Creation/ Redemption Transaction Fee |
Maximum
Additional Charge for Creations* |
Maximum
Additional Charge for Redemptions* | ||||
$2,028,000 | 50,000 | $200 | 3.0% | 2.0% |
* | As a percentage of the net asset value per Creation Unit, inclusive, in the case of redemptions, of the standard redemption transaction fee. |
iShares Broad USD High Yield Corporate Bond ETF | |||
Year
Ended 10/31/18 |
Period
From 10/25/17(a) to 10/31/17 | ||
Net asset value, beginning of period | $ 50.00 | $ 50.00 | |
Net investment income(b) | 2.87 | 0.03 | |
Net realized and unrealized loss(c) | (2.60) | (0.03) | |
Net increase from investment operations | 0.27 | 0.00 | |
Distributions (d) | |||
From net investment income | (2.51) | — | |
Total distributions | (2.51) | — | |
Net asset value, end of period | $ 47.76 | $ 50.00 | |
Total Return | |||
Based on net asset value | 0.55% | 0.00% (e) | |
Ratios to Average Net Assets | |||
Total expenses | 0.22% | 0.22% (f) | |
Net investment income | 5.89% | 3.19% (f) | |
Supplemental Data | |||
Net assets, end of period (000) | $255,533 | $49,997 | |
Portfolio turnover rate(g) | 15% | 0% (e) | |
(a) Commencement of operations. | |||
(b) Based on average shares outstanding. | |||
(c) 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. | |||
(d) Distributions for annual periods determined in accordance with U.S. federal income tax regulations. | |||
(e) Not annualized. | |||
(f) Annualized. | |||
(g) Portfolio turnover rate excludes in-kind transactions. |
Premium/Discount Range | Number of Days | Percentage of Total Days | ||
Greater than 1.0% and Less than 1.5% | 2 | 0.80% | ||
Greater than 0.5% and Less than 1.0% | 47 | 18.72 | ||
Greater than 0.0% and Less than 0.5% | 185 | 73.70 | ||
At NAV | 2 | 0.80 | ||
Less than 0.0% and Greater than -0.5% | 13 | 5.18 | ||
Less than -0.5% and Greater than -1.0% | 2 | 0.80 | ||
251 | 100.00% |
Average Annual Total Returns | Cumulative Total Returns | ||||
1 Year | Since
Inception |
1 Year | Since
Inception | ||
Fund NAV | 0.55% | 0.54% | 0.55% | 0.55% | |
Fund Market | 0.29 | 0.58 | 0.29 | 0.59 | |
Index | 0.86 | 0.87 | 0.86 | 0.89 |
Total returns for the period since inception are calculated from the inception date of the Fund (10/25/17). The first day of secondary market trading in shares of the Fund was 10/26/17. |
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 0-5 Year High Yield Corporate Bond ETF | SHYG | NYSE Arca | ||
iShares 0-5 Year Investment Grade Corporate Bond ETF | SLQD | NASDAQ | ||
iShares 0-5 Year TIPS Bond ETF | STIP | NYSE Arca | ||
iShares 1-3 Year International Treasury Bond ETF | ISHG | NASDAQ | ||
iShares 5-10 Year Investment Grade Corporate Bond ETF | MLQD | Cboe BZX | ||
iShares 10+ Year Investment Grade Corporate Bond ETF | LLQD | Cboe BZX | ||
iShares Aaa - A Rated Corporate Bond ETF | QLTA | NYSE Arca | ||
iShares Broad USD High Yield Corporate Bond ETF | USHY | Cboe BZX | ||
iShares CMBS ETF | CMBS | NYSE Arca | ||
iShares Convertible Bond ETF | ICVT | Cboe BZX | ||
iShares Core 1-5 Year USD Bond ETF | ISTB | NASDAQ | ||
iShares Core International Aggregate Bond ETF | IAGG | Cboe BZX | ||
iShares Edge U.S. Fixed Income Balanced Risk ETF | FIBR | Cboe BZX | ||
iShares Fallen Angels USD Bond ETF | FALN | NASDAQ | ||
iShares Floating Rate Bond ETF | FLOT | Cboe BZX | ||
iShares GNMA Bond ETF | GNMA | NASDAQ | ||
iShares iBoxx $ High Yield ex Oil & Gas Corporate Bond ETF | HYXE | NASDAQ | ||
iShares International Treasury Bond ETF | IGOV | NASDAQ | ||
iShares J.P. Morgan USD Emerging Markets Bond ETF | EMB | NASDAQ | ||
iShares TIPS Bond ETF | TIP | NYSE Arca | ||
iShares Treasury Floating Rate Bond ETF | TFLO | NYSE Arca | ||
iShares U.S. Treasury Bond ETF | GOVT | Cboe BZX |
• | iShares 0-5 Year High Yield Corporate Bond ETF |
• | iShares 0-5 Year Investment Grade Corporate Bond ETF |
• | iShares 0-5 Year TIPS Bond ETF |
• | iShares 1-3 Year International Treasury Bond ETF1 |
• | iShares 5-10 Year Investment Grade Corporate Bond ETF |
• | iShares 10+ Year Investment Grade Corporate Bond ETF |
• | iShares Aaa - A Rated Corporate Bond ETF |
• | iShares Broad USD High Yield Corporate Bond ETF |
• | iShares CMBS ETF |
• | iShares Convertible Bond ETF |
• | iShares Core 1-5 Year USD Bond ETF |
• | iShares Core International Aggregate Bond ETF |
• | iShares Edge U.S. Fixed Income Balanced Risk ETF2 |
• | iShares Fallen Angels USD Bond ETF |
• | iShares Floating Rate Bond ETF |
• | iShares GNMA Bond ETF |
• | iShares iBoxx $ High Yield ex Oil & Gas Corporate Bond ETF |
• | iShares International Treasury Bond ETF3 |
• | iShares J.P. Morgan USD Emerging Markets Bond ETF |
• | iShares TIPS Bond ETF |
• | iShares Treasury Floating Rate Bond ETF |
• | iShares U.S. Treasury Bond ETF |
1 | On July 2, 2018, the name of the Fund’s Underlying Index changed from the S&P/Citigroup International Treasury Bond Ex-US 1-3 Year Index to the S&P International Sovereign Ex-U.S. 1-3 Year Bond Index. |
2 | The iShares Edge U.S. Fixed Income Balanced Risk ETF previously operated as a series of iShares U.S. ETF Trust (the “Predecessor Fund”). Before the Fund commenced operations, all of the assets and liabilities of the Predecessor Fund were transferred to the Fund in a reorganization (the “Reorganization”), which was tax-free for U.S. federal income tax purposes. The Reorganization occurred on February 5, 2018. As a result of the Reorganization, the Fund assumed the performance and accounting history of the Predecessor Fund, which was actively managed by BlackRock Fund Advisors (“BFA”) using an investment strategy substantially similar to the methodology of the Underlying Index. A portion of the financial and performance information included in this SAI is that of the Predecessor Fund. |
3 | On July 2, 2018, the name of the Fund’s Underlying Index changed from the S&P/Citigroup International Treasury Bond Index Ex-US to the S&P International Sovereign Ex-U.S. Bond Index. |
Diversified Funds | Non-Diversified Funds | |
iShares 0-5 Year High Yield Corporate Bond ETF | iShares 1-3 Year International Treasury Bond ETF |
Diversified Funds | Non-Diversified Funds | |
iShares 0-5 Year Investment Grade Corporate Bond ETF | iShares 5-10 Year Investment Grade Corporate Bond ETF | |
iShares 0-5 Year TIPS Bond ETF | iShares 10+ Year Investment Grade Corporate Bond ETF | |
iShares Aaa - A Rated Corporate Bond ETF | iShares Broad USD High Yield Corporate Bond ETF | |
iShares CMBS ETF | iShares Core International Aggregate Bond ETF | |
iShares Convertible Bond ETF | iShares Edge U.S. Fixed Income Balanced Risk ETF | |
iShares Core 1-5 Year USD Bond ETF | iShares Fallen Angels USD Bond ETF | |
iShares Floating Rate Bond ETF | iShares iBoxx $ High Yield ex Oil & Gas Corporate Bond ETF | |
iShares GNMA Bond ETF | iShares International Treasury Bond ETF | |
iShares TIPS Bond ETF | iShares J.P. Morgan USD Emerging Markets Bond ETF | |
iShares Treasury Floating Rate Bond ETF | ||
iShares U.S. Treasury Bond ETF |
• | High yield bonds may be issued by less creditworthy companies. These securities are vulnerable to adverse changes in the issuer’s industry and to general economic conditions. Issuers of high yield bonds may be unable to meet their interest or principal payment obligations because of an economic downturn, specific issuer developments or the unavailability of additional financing. |
• | The issuers of high yield bonds may have a larger amount of outstanding debt relative to their assets than issuers of investment grade bonds. If the issuer experiences financial stress, it may be unable to meet its debt obligations. The issuer’s ability to pay its debt obligations also may be lessened by specific issuer developments, or the unavailability of additional financing. Issuers of high yield securities are often in the growth stage of their development and/or involved in a reorganization or takeover. |
• | High yield bonds are frequently ranked junior to claims by other creditors. If the issuer cannot meet its obligations, the senior obligations are generally paid off before the junior obligations, which will potentially limit a Fund’s ability to fully recover principal, to receive interest payments when senior securities are in default or to receive restructuring benefits paid to holders of more senior classes of debt. Thus, investors in high yield securities frequently have a lower degree of protection with respect to principal and interest payments than do investors in higher rated securities. |
• | High yield bonds frequently have redemption features that permit an issuer to repurchase the security from a Fund before it matures. If an issuer redeems the high yield bonds, a Fund may have to invest the proceeds in bonds with lower yields and may lose income. |
• | Prices of high yield bonds are subject to extreme fluctuations. Negative economic developments may have a greater impact on the prices of high yield bonds than on those of other higher rated fixed-income securities. |
• | High yield bonds may be less liquid than higher rated fixed-income securities even under normal economic conditions. Under certain economic and/or market conditions, a Fund may have difficulty disposing of certain high yield securities due to the limited number of investors in that sector of the market. There are fewer dealers in the high yield bond market, and there may be significant differences in the prices quoted for high yield bonds by dealers, and such quotations may not be the actual prices available for a purchase or sale. Because high yield bonds are less liquid, judgment may play a greater role in the prices and values generated for such securities than in the case of securities trading in a more liquid market. |
• | The secondary markets for high yield securities are not as liquid as the secondary markets for higher rated securities. The secondary markets for high yield securities are concentrated in relatively few market makers and participants in the markets are mostly institutional investors, including insurance companies, banks, other financial institutions and mutual funds. In addition, the trading volume for high yield securities is generally lower than that for higher rated securities and the secondary markets could contract under adverse market or economic conditions independent of any specific adverse changes in the condition of a particular issuer. Under certain economic and/or market conditions, a Fund may have difficulty disposing of certain high yield securities due to the limited number of investors in that sector of the market. An illiquid secondary market may adversely affect the market price of the high yield security, which may result in increased difficulty selling the particular issue and obtaining accurate market quotations on the issue when valuing a Fund’s assets. Market quotations on high yield securities are available only from a limited number of dealers, and such quotations may not be the actual prices available for a purchase or sale. When the secondary market for high yield securities becomes more illiquid, or in the absence of readily available market quotations for such securities, the relative lack of reliable objective data makes it more difficult to value such securities, and judgment plays a more important role in determining such valuations. |
• | A Fund may incur expenses to the extent necessary to seek recovery upon default or to negotiate new terms with a defaulting issuer. |
• | The high yield bond markets may react strongly to adverse news about an issuer or the economy, or to the perception or expectation of adverse news, whether or not it is based on fundamental analysis. Additionally, prices for high yield securities may be affected by legislative and regulatory developments. These developments could |
adversely affect a Fund’s net asset value and investment practices, the secondary market for high yield securities, the financial condition of issuers of these securities and the value and liquidity of outstanding high yield securities, especially in a thinly traded market. For example, federal legislation requiring the divestiture by federally insured savings and loan associations of their investments in high yield bonds and limiting the deductibility of interest by certain corporate issuers of high yield bonds adversely affected the market in the past. |
• | Where a bond’s guarantee comes from if the issuer is backed by a government or parent corporate entity. |
• | Where the largest source of revenue, operations or cash flows is generated by the issuer. |
• | Where an issuer is headquartered or its centralized decision-making occurs. |
• | Additional criteria may be used in the evaluation of a bond’s country of risk, including, but not limited to: |
• | Where the issuer is incorporated, legally domiciled and regulated. |
• | Where an issuer’s stock is listed and traded. |
• | Where existing issuers within the index that are similarly structured or organized are classified. |
1. | Concentrate its investments in a particular industry, as that term is used in the Investment Company 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 Investment Company Act. |
3. | Issue senior securities to the extent such issuance would violate the Investment Company 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 real estate investment trusts, mortgage-related securities and securities of issuers engaged in the real estate business, and the 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 Investment Company Act. |
7. | Make loans to the extent prohibited by the Investment Company Act. |
1. | Concentrate its investments in a particular industry, as that term is used in the Investment Company Act. |
2. | Borrow money, except as permitted under the Investment Company Act. |
3. | Issue senior securities to the extent such issuance would violate the Investment Company Act. |
4. | Purchase or hold real estate, except the 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 the 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 the 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 Investment Company Act. |
7. | Make loans to the extent prohibited by the Investment Company Act. |
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 the 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) the 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) the 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), the 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, real estate mortgages, commodities or commodity contracts, but this restriction shall not prevent the Fund from trading in futures contracts and options on futures contracts (including options on currencies to the extent consistent with the Fund’s investment objective and policies). |
6. | Engage in the business of underwriting securities issued by other persons, except to the extent that the 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 (i.e., invest 25% or more of its total assets in the securities of a particular industry or group of industries), except that the 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) the 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) the 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), the 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, regulation and orders thereunder. |
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 the 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 the Fund from trading in futures contracts and options on futures contracts, including options on currencies to the extent consistent with the Fund’s investment objective and policies). |
6. | Engage in the business of underwriting securities issued by other persons, except to the extent that the Fund may technically be deemed to be an underwriter under the 1933 Act, in disposing of portfolio securities. |
Name (Age) | Position | Principal
Occupation(s) During the Past 5 Years |
Other
Directorships Held by Trustee | |||
Robert
S. Kapito1 (62) |
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). | |||
Mark
K. Wiedman2 (48) |
Trustee (since 2013). | Senior Managing Director, BlackRock, Inc. (since 2014); Managing Director, BlackRock, Inc. (2007-2014); Head of International and of Corporate Strategy for BlackRock (since 2019); Global Head of BlackRock’s ETF and Index Investments Business (2016-2019); Global Head of iShares (2011-2016); Head of Corporate Strategy, BlackRock, Inc. (2009-2011). | Director of iShares, Inc. (since 2013); Trustee of iShares U.S. ETF Trust (since 2013); Director of PennyMac Financial Services, Inc. (since 2008). |
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 | Mark K. Wiedman 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 (69) |
Trustee
(since 2005); Independent Board Chair (since 2016). |
Chair of the Finance Committee (since 2019) and Trustee and Member of the Finance, Technology and Quality Committees of Stanford Health Care (since 2016); Member of the Audit Committee (since 2018) and Trustee and Member of the Investment Committee, WNET, a New York public media company (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 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 (63) |
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) and Director of The Hanover Insurance Group, Inc. (since 2016). | |||
Richard
L. Fagnani (64) |
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 (63) |
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 (59) |
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 (57) |
Trustee
(since 2003); Securities Lending Committee Chair (since 2019). |
Director of Real Estate Equity Exchange, Inc. (since 2005); Director of Cloudera Foundation (since 2017); 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 (54) |
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); 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 | ||
Martin
Small (43) |
President (since 2016). | Managing Director, BlackRock, Inc. (since 2010); Head of U.S. iShares (since 2015); Co-Head of the U.S. Financial Markets Advisory Group, BlackRock, Inc. (2008-2014). | ||
Jack
Gee (59) |
Treasurer
and Chief Financial Officer (since 2008). |
Managing Director, BlackRock, Inc. (since 2009); Senior Director of Fund Administration of Intermediary Investor Business, BGI (2009). | ||
Charles
Park (51) |
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). | ||
Benjamin
Archibald (43) |
Secretary (since 2015). | Managing Director, BlackRock, Inc. (since 2014); Director, BlackRock, Inc. (2010-2013); Secretary of the BlackRock-advised mutual funds (since 2012). |
Name (Age) | Position | Principal
Occupation(s) During the Past 5 Years | ||
Steve
Messinger (56) |
Executive
Vice President (since 2016). |
Managing Director, BlackRock, Inc. (2007-2014 and since 2016); Managing Director, Beacon Consulting Group (2014-2016). | ||
Scott
Radell (50) |
Executive
Vice President (since 2012). |
Managing Director, BlackRock, Inc. (since 2009); Head of Portfolio Solutions, BlackRock, Inc. (since 2009). | ||
Alan
Mason (58) |
Executive
Vice President (since 2016). |
Managing Director, BlackRock, Inc. (since 2009). |
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 | |||
Mark K. Wiedman | iShares Core Aggressive Allocation ETF | Over $100,000 | Over $100,000 | |||
iShares Core MSCI EAFE ETF | $50,001-$100,000 | |||||
iShares Core MSCI Emerging Markets ETF | $50,001-$100,000 | |||||
iShares Core S&P Total U.S. Stock Market ETF | Over $100,000 | |||||
iShares iBonds Sep 2019 Term Muni Bond ETF | Over $100,000 | |||||
iShares iBonds Sep 2020 Term Muni Bond ETF | Over $100,000 | |||||
iShares National Muni Bond ETF | Over $100,000 | |||||
iShares New York Muni Bond ETF | Over $100,000 | |||||
iShares Short Maturity Municipal Bond ETF | Over $100,000 | |||||
iShares Short-Term National Muni Bond ETF | Over $100,000 | |||||
Cecilia H. Herbert | iShares California Muni Bond ETF | Over $100,000 | Over $100,000 | |||
iShares China Large-Cap ETF | $50,001-$100,000 | |||||
iShares Core High Dividend ETF | $1-$10,000 | |||||
iShares Core MSCI Emerging Markets ETF | $10,001-$50,000 | |||||
iShares Core MSCI Total International Stock ETF | $10,001-$50,000 | |||||
iShares Core S&P 500 ETF | Over $100,000 | |||||
iShares Core S&P Small-Cap ETF | $10,001-$50,000 | |||||
iShares Core S&P Total U.S. Stock Market ETF | $10,001-$50,000 | |||||
iShares Core S&P U.S. Growth ETF | $50,001-$100,000 | |||||
iShares Core S&P U.S. Value ETF | $50,001-$100,000 | |||||
iShares iBoxx $ High Yield Corporate Bond ETF | $10,001-$50,000 | |||||
iShares International Select Dividend ETF | $1-$10,000 | |||||
iShares MSCI EAFE ETF | $1-$10,000 | |||||
iShares MSCI Japan ETF | $10,001-$50,000 | |||||
iShares National Muni Bond ETF | $10,001-$50,000 | |||||
iShares Preferred and Income Securities ETF | $10,001-$50,000 | |||||
Jane D. Carlin | iShares 1-3 Year Treasury Bond ETF | $50,001-$100,000 | Over $100,000 | |||
iShares Core MSCI Emerging Markets ETF | $10,001-$50,000 | |||||
iShares Core MSCI Total International Stock ETF | Over $100,000 | |||||
iShares Core S&P Mid-Cap ETF | $10,001-$50,000 | |||||
iShares Core S&P Small-Cap ETF | $50,001-$100,000 | |||||
iShares Core U.S. Aggregate Bond ETF | Over $100,000 | |||||
iShares Global Tech 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 ACWI ETF | Over $100,000 | |||||
iShares MSCI ACWI ex U.S. ETF | $50,001-$100,000 | |||||
iShares MSCI EAFE Small-Cap ETF | $10,001-$50,000 | |||||
iShares MSCI Emerging Markets Small-Cap ETF | $10,001-$50,000 | |||||
iShares Ultra Short-Term Bond ETF | Over $100,000 | |||||
Richard L. Fagnani | iShares Core MSCI Emerging Markets ETF | $10,001-$50,000 | Over $100,000 | |||
iShares Core S&P Total U.S. Stock Market ETF | $10,001-$50,000 | |||||
iShares Core S&P U.S. Growth ETF | $10,001-$50,000 | |||||
iShares Edge MSCI Min Vol Global ETF | $10,001-$50,000 | |||||
iShares Edge MSCI Min Vol USA ETF | $10,001-$50,000 | |||||
iShares Edge MSCI Min Vol USA Small-Cap ETF | $10,001-$50,000 | |||||
iShares Edge MSCI USA Momentum Factor ETF | $10,001-$50,000 | |||||
iShares PHLX Semiconductor ETF | $10,001-$50,000 | |||||
iShares U.S. Consumer Services ETF | $10,001-$50,000 | |||||
iShares U.S. Financials ETF | $10,001-$50,000 | |||||
iShares U.S. Pharmaceuticals ETF | $10,001-$50,000 | |||||
John E. Kerrigan | iShares MSCI ACWI ex U.S. ETF | Over $100,000 | Over $100,000 | |||
iShares Short-Term National Muni Bond ETF | Over $100,000 | |||||
Drew E. Lawton | iShares 0-5 Year High Yield Corporate Bond ETF | Over $100,000 | Over $100,000 | |||
iShares Core Dividend Growth ETF | $50,001-$100,000 | |||||
iShares Core MSCI Total International Stock ETF | $50,001-$100,000 | |||||
iShares Core S&P Total U.S. Stock Market ETF | Over $100,000 | |||||
iShares Exponential Technologies ETF | Over $100,000 | |||||
iShares MSCI Frontier 100 ETF | $1-$10,000 | |||||
iShares Nasdaq Biotechnology ETF | $10,001-$50,000 | |||||
iShares Short Maturity Bond ETF | Over $100,000 | |||||
iShares Ultra Short-Term Bond ETF | Over $100,000 | |||||
John E. Martinez | iShares Core 5-10 Year USD Bond ETF | Over $100,000 | Over $100,000 | |||
iShares Core MSCI EAFE ETF | Over $100,000 | |||||
iShares Core MSCI Total International Stock ETF | $1-$10,000 | |||||
iShares Core S&P Total U.S. Stock Market ETF | Over $100,000 | |||||
iShares Global Consumer Staples ETF | Over $100,000 | |||||
iShares MSCI All Country Asia ex Japan 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 MSCI EAFE 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 | |||||
iShares Short Maturity Bond ETF | $1-$10,000 | |||||
Madhav V. Rajan | iShares Broad USD High Yield Corporate Bond ETF | Over $100,000 | Over $100,000 | |||
iShares Core Dividend Growth ETF | Over $100,000 | |||||
iShares Core High Dividend ETF | Over $100,000 | |||||
iShares Core MSCI EAFE ETF | Over $100,000 | |||||
iShares Core S&P 500 ETF | Over $100,000 | |||||
iShares Mortgage Real Estate ETF | Over $100,000 | |||||
iShares Russell 2000 ETF | Over $100,000 | |||||
iShares Select Dividend ETF | Over $100,000 | |||||
iShares Short Maturity Bond ETF | Over $100,000 | |||||
iShares Ultra Short-Term Bond ETF | Over $100,000 |
Name | iShares
0-5 Year High Yield Corporate Bond ETF |
iShares
0-5 Year Investment Grade Corporate Bond ETF |
iShares
0-5 Year TIPS Bond ETF |
iShares
1-3 Year International Treasury Bond ETF | ||||
Independent Trustees: | ||||||||
Jane D. Carlin | $844 | $384 | $ 595 | $21 | ||||
Richard L. Fagnani | 834 | 380 | 589 | 20 |
Name | iShares
0-5 Year High Yield Corporate Bond ETF |
iShares
0-5 Year Investment Grade Corporate Bond ETF |
iShares
0-5 Year TIPS Bond ETF |
iShares
1-3 Year International Treasury Bond ETF | ||||
Cecilia H. Herbert | 954 | 434 | 673 | 23 | ||||
Charles A. Hurty1 | 879 | 400 | 621 | 21 | ||||
John E. Kerrigan | 834 | 380 | 589 | 20 | ||||
Drew E. Lawton | 834 | 380 | 589 | 20 | ||||
John E. Martinez | 834 | 380 | 589 | 20 | ||||
Madhav V. Rajan | 834 | 380 | 589 | 20 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $ 0 | $ 0 | $ 0 | $0 | ||||
Mark K. Wiedman | 0 | 0 | 0 | 0 |
Name | iShares
5-10 Year Investment Grade Corporate Bond ETF |
iShares
10+ Year Investment Grade Corporate Bond ETF |
iShares
Aaa - A Rated Corporate Bond ETF |
iShares
Broad USD High Yield Corporate Bond ETF3 | ||||
Independent Trustees: | ||||||||
Jane D. Carlin | $3 | $2 | $43 | $69 | ||||
Richard L. Fagnani | 3 | 2 | 42 | 68 | ||||
Cecilia H. Herbert | 3 | 3 | 49 | 78 | ||||
Charles A. Hurty1 | 3 | 3 | 45 | 72 | ||||
John E. Kerrigan | 3 | 2 | 42 | 68 | ||||
Drew E. Lawton | 3 | 2 | 42 | 68 | ||||
John E. Martinez | 3 | 2 | 42 | 68 | ||||
Madhav V. Rajan | 3 | 2 | 42 | 68 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $0 | $0 | $ 0 | $0 | ||||
Mark K. Wiedman | 0 | 0 | 0 | 0 |
Name | iShares
CMBS ETF |
iShares
Convertible Bond ETF |
iShares
Core 1-5 Year USD Bond ETF |
iShares
Core International Aggregate Bond ETF | ||||
Independent Trustees: | ||||||||
Jane D. Carlin | $84 | $70 | $ 597 | $178 | ||||
Richard L. Fagnani | 83 | 70 | 590 | 176 | ||||
Cecilia H. Herbert | 95 | 79 | 675 | 201 | ||||
Charles A. Hurty1 | 88 | 73 | 622 | 186 | ||||
John E. Kerrigan | 83 | 70 | 590 | 176 | ||||
Drew E. Lawton | 83 | 70 | 590 | 176 | ||||
John E. Martinez | 83 | 70 | 590 | 176 | ||||
Madhav V. Rajan | 83 | 70 | 590 | 176 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $ 0 | $ 0 | $ 0 | $0 | ||||
Mark K. Wiedman | 0 | 0 | 0 | 0 |
Name | iShares
Edge U.S. Fixed Income Balanced Risk ETF |
iShares
Fallen Angels USD Bond ETF |
iShares
Floating Rate Bond ETF |
iShares
GNMA Bond ETF | ||||
Independent Trustees: | ||||||||
Jane D. Carlin | $ 30 | $ 18 | $ 3,203 | $28 | ||||
Richard L. Fagnani | 30 | 18 | 3,167 | 27 | ||||
Cecilia H. Herbert | 34 | 21 | 3,620 | 31 | ||||
Charles A. Hurty1 | 31 | 19 | 3,339 | 29 | ||||
John E. Kerrigan | 30 | 18 | 3,167 | 27 | ||||
Drew E. Lawton | 30 | 18 | 3,167 | 27 | ||||
John E. Martinez | 30 | 18 | 3,167 | 27 | ||||
Madhav V. Rajan | 30 | 18 | 3,167 | 27 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $ 0 | $ 0 | $ 0 | $0 | ||||
Mark K. Wiedman | 0 | 0 | 0 | 0 |
Name | iShares
iBoxx $ High Yield ex Oil & Gas Corporate Bond ETF |
iShares
International Treasury Bond ETF |
iShares
J.P. Morgan USD Emerging Markets Bond ETF |
iShares
TIPS Bond ETF | ||||
Independent Trustees: | ||||||||
Jane D. Carlin | $3 | $ 231 | $ 3,952 | $6,016 | ||||
Richard L. Fagnani | 3 | 228 | 3,909 | 5,950 | ||||
Cecilia H. Herbert | 3 | 261 | 4,467 | 6,800 | ||||
Charles A. Hurty1 | 3 | 240 | 4,120 | 6,271 | ||||
John E. Kerrigan | 3 | 228 | 3,909 | 5,950 | ||||
Drew E. Lawton | 3 | 228 | 3,909 | 5,950 | ||||
John E. Martinez | 3 | 228 | 3,909 | 5,950 | ||||
Madhav V. Rajan | 3 | 228 | 3,909 | 5,950 | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $0 | $ 0 | $ 0 | $0 | ||||
Mark K. Wiedman | 0 | 0 | 0 | 0 |
Name | iShares
Treasury Floating Rate Bond ETF |
iShares
U.S. Treasury Bond ETF | ||
Independent Trustees: | ||||
Jane D. Carlin | $83 | $1,827 | ||
Richard L. Fagnani | 82 | 1,806 | ||
Cecilia H. Herbert | 94 | 2,064 | ||
Charles A. Hurty1 | 87 | 1,904 | ||
John E. Kerrigan | 82 | 1,806 | ||
Drew E. Lawton | 82 | 1,806 | ||
John E. Martinez | 82 | 1,806 | ||
Madhav V. Rajan | 82 | 1,806 | ||
Interested Trustees: | ||||
Name | iShares
Treasury Floating Rate Bond ETF |
iShares
U.S. Treasury Bond ETF | ||
Robert S. Kapito | $0 | $0 | ||
Mark K. Wiedman | 0 | 0 |
Name | Pension
or Retirement Benefits Accrued As Part of Trust Expenses2 |
Estimated
Annual Benefits Upon Retirement2 |
Total
Compensation From the Funds and Fund Complex3 | |||
Independent Trustees: | ||||||
Jane D. Carlin | Not Applicable | Not Applicable | $365,686 | |||
Richard L. Fagnani | Not Applicable | Not Applicable | 350,000 | |||
Cecilia H. Herbert | Not Applicable | Not Applicable | 400,000 | |||
Charles A. Hurty1 | Not Applicable | Not Applicable | 380,686 | |||
John E. Kerrigan | Not Applicable | Not Applicable | 350,000 | |||
Drew E. Lawton | Not Applicable | Not Applicable | 350,000 | |||
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 | |||
Mark K. Wiedman | Not Applicable | Not Applicable | 0 |
1 | Served as an Independent Trustee through December 31, 2018. |
2 | No Trustee or officer is entitled to any pension or retirement benefits from the Trust. |
3 | Also includes compensation for service on the Board of Trustees of iShares U.S. ETF Trust and the Board of Directors of iShares, Inc. |
Fund | Name | Percentage
of Ownership | ||
iShares 0-5 Year High Yield Corporate Bond ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
20.59% | ||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
10.77% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
9.93% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
9.64% |
Fund | Name | Percentage
of Ownership | ||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
7.74% | |||
Citibank,
N.A. 3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
5.12% | |||
iShares 0-5 Year Investment Grade Corporate Bond ETF | The
Bank of New York Mellon 111 Sanders Creek Parkway 2nd Floor East Syracuse, NY 13057 |
33.82% | ||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
17.40% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
5.68% | |||
Ameriprise
Enterprise Investment Services, Inc. 901 3rd Avenue South Minneapolis, MN 55474 |
5.22% | |||
iShares 0-5 Year TIPS Bond ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
22.64% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
14.41% | |||
Ameriprise
Enterprise Investment Services, Inc. 901 3rd Avenue South Minneapolis, MN 55474 |
11.93% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
11.73% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
6.41% | |||
iShares 1-3 Year International Treasury Bond ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
15.10% | ||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
12.92% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
10.65% |
Fund | Name | Percentage
of Ownership | ||
VANGUARD
Marketing Corporation 100 Vanguard Boulevard Malvern, PA 19355 |
9.40% | |||
J.P.
Morgan Securities, LLC/JPMC 500 Stanton Christiana Road Newark, DE 19713 |
8.75% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
7.02% | |||
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 |
6.63% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
5.06% | |||
iShares 5-10 Year Investment Grade Corporate Bond ETF | Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
65.90% | ||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
17.05% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
5.49% | |||
iShares 10+ Year Investment Grade Corporate Bond ETF | Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
77.80% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
7.24% | |||
iShares Aaa - A Rated Corporate Bond ETF | JPMorgan
Chase Bank, National Association 500 Stanton Christiana Road Newark, DE 19713 |
41.30% | ||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
11.30% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
8.97% |
Fund | Name | Percentage
of Ownership | ||
The
Bank of New York Mellon 111 Sanders Creek Parkway 2nd Floor East Syracuse, NY 13057 |
6.68% | |||
iShares Broad USD High Yield Corporate Bond ETF | The
Bank of New York Mellon 111 Sanders Creek Parkway 2nd Floor East Syracuse, NY 13057 |
42.27% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
33.12% | |||
Northern
Trust Company (The) 801 South Canal Street Chicago, IL 60607 |
9.93% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
5.44% | |||
iShares CMBS ETF | The
Bank of New York Mellon 111 Sanders Creek Parkway 2nd Floor East Syracuse, NY 13057 |
20.65% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
14.73% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
9.41% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
7.56% | |||
Reliance
Trust Company, FIS TrustDesk MKE 11277 West Park Place, Suite 300 Milwaukee, WI 53224 |
6.53% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
6.49% | |||
U.S.
Bank N.A. 1555 North Rivercenter Dr. Suite 302 Milwaukee, WI 53212 |
5.75% | |||
Wells
Fargo Clearing Services LLC 2801 Market Street St Louis, MO 63103 |
5.23% | |||
Fund | Name | Percentage
of Ownership | ||
iShares Convertible Bond ETF | Goldman,
Sachs & Co. 30 Hudson Street 16th Floor Jersey City, NJ 07302 |
23.70% | ||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
13.66% | |||
J.P.
Morgan Securities, LLC/JPMC 500 Stanton Christiana Road Newark, DE 19713 |
10.73% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
8.82% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
7.68% | |||
LPL
Financial Corporation 9785 Towne Centre Drive San Diego, CA 92121-1968 |
5.61% | |||
iShares Core 1-5 Year USD Bond ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
26.43% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
21.58% | |||
Raymond,
James & Associates, Inc. 880 Carillon Parkway P.O. Box 12749 St. Petersburg, FL 33733 |
7.82% | |||
Edward
D. Jones & Co. 12555 Manchester Road Saint Louis, MO 63131 |
7.17% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
5.81% | |||
iShares Core International Aggregate Bond ETF | BlackRock
Institutional Trust Company, N.A. 400 Howard Street San Francisco, CA 94105 |
21.09% | ||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
16.44% | |||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
13.26% |
Fund | Name | Percentage
of Ownership | ||
The
Bank of New York Mellon 111 Sanders Creek Parkway 2nd Floor East Syracuse, NY 13057 |
11.05% | |||
State
Street Bank and Trust Company 1776 Heritage Drive North Quincy, MA 02171 |
7.16% | |||
Ameriprise
Enterprise Investment Services, Inc. 901 3rd Avenue South Minneapolis, MN 55474 |
5.65% | |||
iShares Edge U.S. Fixed Income Balanced Risk ETF | J.P.
Morgan Securities, LLC/JPMC 500 Stanton Christiana Road Newark, DE 19713 |
19.62% | ||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
12.43% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
8.68% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
7.51% | |||
Wells
Fargo Clearing Services LLC 2801 Market Street St Louis, MO 63103 |
7.34% | |||
Reliance
Trust Company 3300 Northeast Expressway Building 1, Suite 200 Atlanta, GA 30341 |
7.29% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
6.81% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
6.26% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
6.13% | |||
LPL
Financial Corporation 9785 Towne Centre Drive San Diego, CA 92121-1968 |
5.56% | |||
iShares Fallen Angels USD Bond ETF | TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
31.06% |
Fund | Name | Percentage
of Ownership | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
20.87% | |||
The
Bank of New York Mellon 111 Sanders Creek Parkway 2nd Floor East Syracuse, NY 13057 |
15.04% | |||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
5.89% | |||
FOLIO
fn Investments, Inc. 8180 Greensboro Drive 8th Floor McLean, VA 22102 |
5.26% | |||
iShares Floating Rate Bond ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
13.18% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
9.25% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
6.93% | |||
The
Bank of New York Mellon 111 Sanders Creek Parkway 2nd Floor East Syracuse, NY 13057 |
6.36% | |||
Citibank,
N.A. 3800 CitiBank Center Tampa Building B/1st Floor Zone 8 Tampa, FL 33610-9122 |
6.30% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
5.58% | |||
Bank
of America, National Association GWIM TRUST OPERATIONS 411 N. Akard Street 5th Floor Dallas, TX 75201 |
5.58% | |||
iShares GNMA Bond ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
17.67% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
10.93% |
Fund | Name | Percentage
of Ownership | ||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
10.11% | |||
U.S.
Bank N.A. 1555 North Rivercenter Dr. Suite 302 Milwaukee, WI 53212 |
9.05% | |||
Ameriprise
Enterprise Investment Services, Inc. 901 3rd Avenue South Minneapolis, MN 55474 |
8.56% | |||
Apex
Clearing Corporation One Dallas Center 350 M. St. Paul Suite 1300 Dallas, TX 75201 |
6.81% | |||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
5.59% | |||
iShares iBoxx $ High Yield ex Oil & Gas Corporate Bond ETF | Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
65.84% | ||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
8.41% | |||
LPL
Financial Corporation 9785 Towne Centre Drive San Diego, CA 92121-1968 |
7.24% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
5.33% | |||
iShares International Treasury Bond ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
12.28% | ||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
12.22% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
10.57% | |||
Wells
Fargo Clearing Services LLC 2801 Market Street St Louis, MO 63103 |
9.02% |
Fund | Name | Percentage
of Ownership | ||
U.S.
Bank N.A. 1555 North Rivercenter Dr. Suite 302 Milwaukee, WI 53212 |
8.78% | |||
The
Bank of New York Mellon/Mellon Trust of New England, National Association 525 William Penn Place Suite 153-0400 Pittsburgh, PA 15259 |
7.03% | |||
Edward
D. Jones & Co. 12555 Manchester Road Saint Louis, MO 63131 |
5.17% | |||
iShares J.P. Morgan USD Emerging Markets Bond ETF | Wells
Fargo Clearing Services LLC 2801 Market Street St Louis, MO 63103 |
10.49% | ||
The
Bank of New York Mellon 111 Sanders Creek Parkway 2nd Floor East Syracuse, NY 13057 |
7.42% | |||
JPMorgan
Chase Bank, National Association 500 Stanton Christiana Road Newark, DE 19713 |
7.10% | |||
State
Street Bank and Trust Company 1776 Heritage Drive North Quincy, MA 02171 |
6.68% | |||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
6.48% | |||
iShares TIPS Bond ETF | Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
11.47% | ||
Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
11.18% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
10.27% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
9.01% | |||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
8.95% | |||
BlackRock
Institutional Trust Company, N.A. 400 Howard Street San Francisco, CA 94105 |
5.56% | |||
Fund | Name | Percentage
of Ownership | ||
iShares Treasury Floating Rate Bond ETF | National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
29.26% | ||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
12.18% | |||
TD
Ameritrade Clearing, Inc. 4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
11.90% | |||
Morgan
Stanley Smith Barney LLC One New York Plaza New York, NY 10004 |
8.33% | |||
Pershing
LLC One Pershing Plaza Jersey City, NJ 07399 |
7.46% | |||
iShares U.S. Treasury Bond ETF | Merrill
Lynch, Pierce, Fenner & Smith Incorporated - TS Sub 101 Hudson Street 9th Floor Jersey City, NJ 07302-3997 |
38.46% | ||
UBS
Financial Services Inc. 1000 Harbor Blvd. Weehawken, NJ 07086 |
15.65% | |||
National
Financial Services LLC 499 Washington Blvd Jersey City, NJ 07310 |
14.91% | |||
Charles
Schwab & Co., Inc. 101 Montgomery Street San Francisco, CA 94014 |
5.37% |
Fund | Management
Fees for Fiscal Year Ended Oct. 31, 2018 |
Fund
Inception Date |
Management
Fees Paid Net of Waivers for Fiscal Year Ended Oct. 31, 2018 |
Management
Fees Paid Net of Waivers for Fiscal Year Ended Oct. 31, 2017 |
Management
Fees Paid Net of Waivers for Fiscal Year Ended Oct. 31, 2016 | |||||
iShares 0-5 Year High Yield Corporate Bond ETF1,2 | 0.30% | 10/15/13 | $9,879,442 | $7,270,786 | $2,925,075 | |||||
iShares 0-5 Year Investment Grade Corporate Bond ETF3 | 0.06% | 10/15/13 | 565,546 | 274,326 | 164,509 | |||||
iShares 0-5 Year TIPS Bond ETF4,5 | 0.06% | 12/01/10 | 1,052,016 | 1,017,162 | 652,103 |
Fund | Management
Fees for Fiscal Year Ended Oct. 31, 2018 |
Fund
Inception Date |
Management
Fees Paid Net of Waivers for Fiscal Year Ended Oct. 31, 2018 |
Management
Fees Paid Net of Waivers for Fiscal Year Ended Oct. 31, 2017 |
Management
Fees Paid Net of Waivers for Fiscal Year Ended Oct. 31, 2016 | |||||
iShares 1-3 Year International Treasury Bond ETF6 | 0.35% | 01/21/09 | 4,992 | 4,659 | 217,233 | |||||
iShares 5-10 Year Investment Grade Corporate Bond ETF | 0.06% | 09/12/17 | 5,755 | 801 | N/A | |||||
iShares 10+ Year Investment Grade Corporate Bond ETF | 0.06% | 09/12/17 | 5,765 | 806 | N/A | |||||
iShares Aaa - A Rated Corporate Bond ETF | 0.15% | 02/14/12 | 212,050 | 156,536 | 127,648 | |||||
iShares Broad USD High Yield Corporate Bond ETF7 | 0.22% | 10/25/17 | 459,322 | 1,807 | N/A | |||||
iShares CMBS ETF | 0.25% | 02/14/12 | 672,122 | 585,031 | 593,895 | |||||
iShares Convertible Bond ETF8 | 0.20% | 06/02/15 | 577,532 | 288,306 | 49,976 | |||||
iShares Core 1-5 Year USD Bond ETF9,10 | 0.06% | 10/18/12 | 996,525 | 592,948 | 593,606 | |||||
iShares Core International Aggregate Bond ETF11 | 0.09% | 11/10/15 | 652,372 | 332,069 | 250,120 | |||||
iShares Edge U.S. Fixed Income Balanced Risk ETF12 | 0.25% | 02/24/15 | 309,697 | 259,965 | 172,018 | |||||
iShares Fallen Angels USD Bond ETF13 | 0.25% | 06/14/16 | 139,169 | 35,665 | 13,912 | |||||
iShares Floating Rate Bond ETF | 0.20% | 06/14/11 | 17,758,331 | 10,516,930 | 6,549,389 | |||||
iShares GNMA Bond ETF14 | 0.15% | 02/14/12 | 132,405 | 183,932 | 113,882 | |||||
iShares iBoxx $ High Yield ex Oil & Gas Corporate Bond ETF | 0.50% | 06/14/16 | 50,466 | 51,675 | 19,459 | |||||
iShares International Treasury Bond ETF | 0.35% | 01/21/09 | 3,250,431 | 2,350,464 | 2,243,470 | |||||
iShares J.P. Morgan USD Emerging Markets Bond ETF15 | 0.39% | 12/17/07 | 49,813,146 | 41,343,456 | 26,262,642 | |||||
iShares TIPS Bond ETF | 0.19% | 12/04/03 | 46,697,755 | 44,025,073 | 32,851,005 | |||||
iShares Treasury Floating Rate Bond ETF16,17 | 0.15% | 02/03/14 | 178,778 | 35,490 | 19,082 | |||||
iShares U.S. Treasury Bond ETF | 0.15% | 02/14/12 | 8,719,187 | 5,938,535 | 3,125,874 |
1 | For the iShares 0-5 Year High Yield Corporate Bond ETF, BFA contractually agreed to waive a portion of its management fees in order to limit Total Annual Fund Operating Expenses to 0.30% of average daily net assets through February 28, 2019. The contractual waiver was discontinued as of August 1, 2016. For the fiscal year ended October 31, 2016, BFA contractually waived $1,417,885 of its management fees. |
2 | Effective August 1, 2016, the management fee for the iShares 0-5 Year High Yield Corporate Bond ETF is 0.30%. Prior to August 1, 2016, the management fee for the iShares 0-5 Year High Yield Corporate Bond ETF was 0.50%. |
3 | Effective August 4, 2017, the management fee for the iShares 0-5 Year Investment Grade Corporate Bond ETF is 0.06%. From June 16, 2016 to August 3, 2017, the management fee for the iShares 0-5 Year Investment Grade Corporate Bond ETF was 0.08%. Prior to June 16, 2016, the management fee for the iShares 0-5 Year Investment Grade Corporate Bond ETF was 0.15%. |
4 | For the iShares 0-5 Year TIPS Bond ETF, BFA contractually agreed to waive a portion of its management fees in order to limit Total Annual Fund Operating Expenses to 0.10% of average daily net assets through February 28, 2019. The contractual waiver was discontinued as of August 1, 2016. For the fiscal year ended October 31, 2016, BFA contractually waived $471,117 of its management fees. |
5 | Effective August 4, 2017, the management fee for the iShares 0-5 Year TIPS Bond ETF is 0.06%. From August 1, 2016 to August 3, 2017, the management fee for the iShares 0-5 Year TIPS Bond ETF was 0.10%. Prior to August 1, 2016, the management fee for the iShares 0-5 Year TIPS Bond ETF was 0.20%. |
6 | BFA may voluntarily waive a portion of its management fees, as it determines from time to time. For the iShares 1-3 Year International Treasury Bond ETF, for the fiscal years ended October 31, 2018, October 31, 2017 and October 31, 2016, BFA voluntarily waived $278,214, $267,010 and $162,932 of its management fees, respectively. |
7 | For the iShares Broad USD High Yield Corporate Bond ETF, BFA may from time to time voluntarily waive and/or reimburse fees or expenses in order to limit total annual fund operating expenses (excluding acquired fund fees and expenses, if any). BFA has elected to implement a voluntary fee waiver at an annual rate of seven basis points and currently intends to keep such voluntary fee waiver for the Fund in place for a one-year period through March 13, 2020. Any voluntary waiver or reimbursement implemented by BFA may be eliminated by BFA at any time. |
8 | Effective June 16, 2016, the management fee for the iShares Convertible Bond ETF is 0.20%. Prior to June 16, 2016, the management fee for the iShares Convertible Bond ETF was 0.35%. |
9 | For the iShares Core 1-5 Year USD Bond ETF, BFA has contractually agreed to waive its management fees in an amount equal to Acquired Fund Fees |
and Expenses, if any, attributable to investments by the Fund in other registered investment companies advised by BFA, or its affiliates, through February 29, 2024. The contractual waiver may be terminated prior to February 29, 2024 only upon written agreement of the Trust and BFA. For the fiscal years ended October 31, 2018, October 31, 2017 and October 31, 2016, BFA waived $76,603, $40,010 and $22,834 of its management fees, respectively. | |
10 | Effective August 4, 2017, the management fee for the iShares Core 1-5 Year USD Bond ETF is 0.06%. From October 5, 2016 to August 3, 2017, the management fee for the iShares Core 1-5 Year USD Bond ETF was 0.08%. Prior to October 5, 2016, the management fee for the iShares Core 1-5 Year USD Bond ETF was 0.12%. |
11 | Effective August 4, 2017, the management fee for the iShares Core International Aggregate Bond ETF is 0.09%. From October 5, 2016 to August 3, 2017, the management fee for the iShares Core International Aggregate Bond ETF was 0.11%. Prior to October 5, 2016, the management fee for the iShares Core International Aggregate Bond ETF was 0.15%. |
12 | For the iShares Edge U.S. Fixed Income Balanced Risk ETF, BFA has contractually agreed to waive portion of its management fees in an amount equal to the Acquired Fund Fees and Expenses, if any, attributable to investments by the Fund in other registered investment companies advised by BFA, or its affiliates, through February 29, 2024. The contractual waiver may be terminated prior to February 29, 2024 only upon written agreement of the Trust and BFA. For the fiscal years ended October 31, 2018, October 31, 2017 and October 31, 2016, BFA contractually waived $11,412, $13,214 and $2,180 of its management fees, respectively. |
13 | Effective August 4, 2017, the management fee for the iShares Fallen Angels USD Bond ETF is 0.25%. Prior to August 4, 2017, the management fee for the iShares Fallen Angels USD Bond ETF was 0.35%. |
14 | For the iShares GNMA Bond ETF, BFA has contractually agreed to waive a portion of its management fees in an amount equal to Acquired Fund Fees and Expenses, if any, attributable to investments by the Fund in other registered investment companies through February 29, 2024. The contractual waiver may be terminated prior to February 29, 2024 only upon written agreement of the Trust and BFA. For the fiscal years ended October 31, 2018, October 31, 2017 and October 31, 2016, BFA waived $39,590, $54,107 and $56,792 of its management fees, respectively. |
15 | For the iShares J.P. Morgan USD Emerging Markets Bond ETF, BFA has contractually agreed to waive a portion of its management fees in order to limit Total Annual Fund Operating Expenses to 0.40% of average daily net assets through February 28, 2023. The contractual waiver was discontinued as of August 4, 2017. For the fiscal years ended October 31, 2018, October 31, 2017 and October 31, 2016, BFA waived $0, $14,298,793 and $12,802,052 of its management fees, respectively. BFA may voluntarily waive a portion of its management fees, as it determines from time to time; the aforementioned management fee does not reflect such waivers or reimbursements. |
16 | For the iShares Treasury Floating Rate Bond ETF, for the fiscal year ended October 31, 2016, BFA contractually waived $7,285 of its management fees. The contractual fee waiver was discontinued as of February 29, 2016. |
17 | Effective March 1, 2016, for the iShares Treasury Floating Rate Bond ETF, BFA has voluntarily agreed to waive a portion of its management fees to the extent necessary to prevent the Fund from experiencing a negative 30-day SEC yield. Any such voluntary waiver or reimbursement may be eliminated by BFA at any time. This voluntary waiver may be reduced or discontinued at any time without notice. |
James Mauro* | ||||
Types of Accounts | Number | Total Assets | ||
Registered Investment Companies | 63 | $216,876,000,000 | ||
Other Pooled Investment Vehicles | 8 | 28,854,000,000 | ||
Other Accounts | 9 | 6,156,000,000 |
* | Portfolio Manager for all Funds except iShares Core International Aggregate Bond ETF |
Scott Radell | ||||
Types of Accounts | Number | Total Assets | ||
Registered Investment Companies | 75 | $228,044,000,000 | ||
Other Pooled Investment Vehicles | 10 | 27,867,000,000 | ||
Other Accounts | 13 | 7,001,000,000 |
Sid Swaminathan* | ||||
Types of Accounts | Number | Total Assets | ||
Registered Investment Companies | 0 | N/A | ||
Other Pooled Investment Vehicles | 18 | $ 17,561,000,000 | ||
Other Accounts | 15 | 14,456,000,000 |
* | Portfolio Manager for iShares Core International Aggregate Bond ETF only |
James Mauro* | ||||
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 |
* | Portfolio Manager for all Funds except iShares Core International Aggregate Bond ETF |
Scott Radell | ||||
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 |
Sid Swaminathan* | ||||
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 | $63,000,000 |
* | Portfolio Manager for iShares Core International Aggregate Bond ETF only |
James Mauro | |||||||||||||||
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 0-5 Year High Yield Corporate Bond ETF | X | ||||||||||||||
iShares 0-5 Year Investment Grade Corporate Bond ETF | X | ||||||||||||||
iShares 0-5 Year TIPS Bond ETF | X | ||||||||||||||
iShares 1-3 Year International Treasury Bond ETF | X | ||||||||||||||
iShares 5-10 Year Investment Grade Corporate Bond ETF | X | ||||||||||||||
iShares 10+ Year Investment Grade Corporate Bond ETF | X | ||||||||||||||
iShares Aaa - A Rated Corporate Bond ETF | X | ||||||||||||||
iShares Broad USD High Yield Corporate Bond ETF | X | ||||||||||||||
iShares CMBS ETF | X | ||||||||||||||
iShares Convertible Bond ETF | X | ||||||||||||||
iShares Core 1-5 Year USD Bond ETF | X | ||||||||||||||
iShares Core International Aggregate Bond ETF | X |
James Mauro | |||||||||||||||
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 Edge U.S. Fixed Income Balanced Risk ETF | X | ||||||||||||||
iShares Fallen Angels USD Bond ETF | X | ||||||||||||||
iShares Floating Rate Bond ETF | X | ||||||||||||||
iShares GNMA Bond ETF | X | ||||||||||||||
iShares iBoxx $ High Yield ex Oil & Gas Corporate Bond ETF | X | ||||||||||||||
iShares International Treasury Bond ETF | X | ||||||||||||||
iShares J.P. Morgan USD Emerging Markets Bond ETF | X | ||||||||||||||
iShares TIPS Bond ETF | X | ||||||||||||||
iShares Treasury Floating Rate Bond ETF | X | ||||||||||||||
iShares U.S. Treasury Bond ETF | X |
Scott Radell | |||||||||||||||
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 0-5 Year High Yield Corporate Bond ETF | X | ||||||||||||||
iShares 0-5 Year Investment Grade Corporate Bond ETF | X | ||||||||||||||
iShares 0-5 Year TIPS Bond ETF | X | ||||||||||||||
iShares 1-3 Year International Treasury Bond ETF | X | ||||||||||||||
iShares 5-10 Year Investment Grade Corporate Bond ETF | X | ||||||||||||||
iShares 10+ Year Investment Grade Corporate Bond ETF | X | ||||||||||||||
iShares Aaa - A Rated Corporate Bond ETF | X | ||||||||||||||
iShares Broad USD High Yield Corporate Bond ETF | X | ||||||||||||||
iShares CMBS ETF | X | ||||||||||||||
iShares Convertible Bond ETF | X | ||||||||||||||
iShares Core 1-5 Year USD Bond ETF | X | ||||||||||||||
iShares Core International Aggregate Bond ETF | X | ||||||||||||||
iShares Edge U.S. Fixed Income Balanced Risk ETF | X | ||||||||||||||
iShares Fallen Angels USD Bond ETF | X | ||||||||||||||
iShares Floating Rate Bond ETF | X | ||||||||||||||
iShares GNMA Bond ETF | X | ||||||||||||||
iShares iBoxx $ High Yield ex Oil & Gas Corporate Bond ETF | X | ||||||||||||||
iShares International Treasury Bond ETF | X | ||||||||||||||
iShares J.P. Morgan USD Emerging Markets Bond ETF | X | ||||||||||||||
iShares TIPS Bond ETF | X | ||||||||||||||
iShares Treasury Floating Rate Bond ETF | X | ||||||||||||||
iShares U.S. Treasury Bond ETF | X |
Sid Swaminathan | |||||||||||||||
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 0-5 Year High Yield Corporate Bond ETF | X | ||||||||||||||
iShares 0-5 Year Investment Grade Corporate Bond ETF | X | ||||||||||||||
iShares 0-5 Year TIPS Bond ETF | X | ||||||||||||||
iShares 1-3 Year International Treasury Bond ETF | X | ||||||||||||||
iShares 5-10 Year Investment Grade Corporate Bond ETF | X | ||||||||||||||
iShares 10+ Year Investment Grade Corporate Bond ETF | X | ||||||||||||||
iShares Aaa - A Rated Corporate Bond ETF | X | ||||||||||||||
iShares Broad USD High Yield Corporate Bond ETF | X | ||||||||||||||
iShares CMBS ETF | X | ||||||||||||||
iShares Convertible Bond ETF | X | ||||||||||||||
iShares Core 1-5 Year USD Bond ETF | X | ||||||||||||||
iShares Core International Aggregate Bond ETF | X | ||||||||||||||
iShares Edge U.S. Fixed Income Balanced Risk ETF | X | ||||||||||||||
iShares Fallen Angels USD Bond ETF | X | ||||||||||||||
iShares Floating Rate Bond ETF | X | ||||||||||||||
iShares GNMA Bond ETF | X | ||||||||||||||
iShares iBoxx $ High Yield ex Oil & Gas Corporate Bond ETF | X | ||||||||||||||
iShares International Treasury Bond ETF | X | ||||||||||||||
iShares J.P. Morgan USD Emerging Markets Bond ETF | X | ||||||||||||||
iShares TIPS Bond ETF | X | ||||||||||||||
iShares Treasury Floating Rate Bond ETF | X | ||||||||||||||
iShares U.S. Treasury Bond ETF | X |
Fund | Fund
Inception Date |
Custody,
Administration & Transfer Agency Expenses Paid During Fiscal Year Ended Oct. 31, 2018 |
Custody,
Administration & Transfer Agency Expenses Paid During Fiscal Year Ended Oct. 31, 2017 |
Custody,
Administration & Transfer Agency Expenses Paid During Fiscal Year Ended Oct. 31, 2016 | ||||
iShares 0-5 Year High Yield Corporate Bond ETF | 10/15/13 | $ 34,174 | $ 36,944 | $ 25,442 | ||||
iShares 0-5 Year Investment Grade Corporate Bond ETF | 10/15/13 | 25,380 | 8,581 | 9,216 | ||||
iShares 0-5 Year TIPS Bond ETF | 12/01/10 | 27,699 | 22,093 | 14,748 | ||||
iShares 1-3 Year International Treasury Bond ETF | 01/21/09 | 24,589 | 9,971 | 16,072 | ||||
iShares 5-10 Year Investment Grade Corporate Bond ETF | 09/12/17 | 13,177 | 689 | N/A | ||||
iShares 10+ Year Investment Grade Corporate Bond ETF | 09/12/17 | 13,015 | 584 | N/A | ||||
iShares Aaa - A Rated Corporate Bond ETF | 02/14/12 | 19,541 | 4,628 | 8,297 | ||||
iShares Broad USD High Yield Corporate Bond ETF | 10/25/17 | 16,471 | 495 | N/A | ||||
iShares CMBS ETF | 02/14/12 | 17,966 | 5,807 | 9,167 | ||||
iShares Convertible Bond ETF | 06/02/15 | 15,670 | 4,627 | 2,537 | ||||
iShares Core 1-5 Year USD Bond ETF | 10/18/12 | 110,721 | 80,328 | 78,444 | ||||
iShares Core International Aggregate Bond ETF | 11/10/15 | 111,955 | 61,168 | 53,149 | ||||
iShares Edge U.S. Fixed Income Balanced Risk ETF | 02/24/15 | 72,150 | 67,048 | 66,103 | ||||
iShares Fallen Angels USD Bond ETF | 06/14/16 | 15,503 | 1,754 | 857 | ||||
iShares Floating Rate Bond ETF | 06/14/11 | 109,655 | 90,615 | 70,635 | ||||
iShares GNMA Bond ETF | 02/14/12 | 69,936 | 60,839 | 59,025 | ||||
iShares iBoxx $ High Yield ex Oil & Gas Corporate Bond ETF | 06/14/16 | 14,311 | 1,591 | 539 | ||||
iShares International Treasury Bond ETF | 01/21/09 | 104,267 | 56,253 | 75,807 | ||||
iShares J.P. Morgan USD Emerging Markets Bond ETF | 12/17/07 | 1,345,282 | 1,128,590 | 744,556 | ||||
iShares TIPS Bond ETF | 12/04/03 | 334,181 | 408,313 | 348,839 | ||||
iShares Treasury Floating Rate Bond ETF | 02/03/14 | 13,541 | 1,271 | 1,088 | ||||
iShares U.S. Treasury Bond ETF | 02/14/12 | 81,928 | 77,071 | 46,280 |
Fund | iShares
0-5 Year High Yield Corporate Bond ETF |
iShares
0-5 Year Investment Grade Corporate Bond ETF |
iShares
0-5 Year TIPS Bond ETF |
iShares
1-3 Year International Treasury Bond ETF |
Gross
income from securities lending activities |
$11,876,802 | $1,152,310 | N/A | N/A |
Fees
and/or compensation for securities lending activities and related services |
||||
Securities
lending income paid to BTC for services as securities lending agent |
923,833 | 37,734 | 0 | 0 |
Cash
collateral management expenses not included in securities lending income paid to BTC |
222,389 | 22,187 | 0 | 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) |
6,581,012 | 919,934 | 0 | 0 |
Other
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Fund | iShares
0-5 Year High Yield Corporate Bond ETF |
iShares
0-5 Year Investment Grade Corporate Bond ETF |
iShares
0-5 Year TIPS Bond ETF |
iShares
1-3 Year International Treasury Bond ETF |
Aggregate
fees/compensation for securities lending activities |
7,727,234 | 979,855 | N/A | N/A |
Net
income from securities lending activities |
4,149,568 | 172,455 | N/A | N/A |
Fund | iShares
5-10 Year Investment Grade Corporate Bond ETF |
iShares
10 + Year Investment Grade Corporate Bond ETF |
iShares
Aaa - A Rated Corporate Bond ETF |
iShares
Broad USD High Yield Corporate Bond ETF |
Gross
income from securities lending activities |
$ 15,339 | $ 11,990 | $261,964 | $ 827,900 |
Fees
and/or compensation for securities lending activities and related services |
||||
Securities
lending income paid to BTC for services as securities lending agent |
722 | 416 | 9,481 | 52,898 |
Cash
collateral management expenses not included in securities lending income paid to BTC |
283 | 246 | 5,244 | 14,776 |
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) |
11,050 | 9,502 | 204,512 | 525,072 |
Other
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate
fees/compensation for securities lending activities |
12,055 | 10,164 | 219,237 | 592,746 |
Net
income from securities lending activities |
3,284 | 1,826 | 42,727 | 235,154 |
Fund | iShares
CMBS ETF |
iShares
Convertible Bond ETF |
iShares
Core 1-5 Year USD Bond ETF |
iShares
Core International Aggregate Bond ETF |
Gross
income from securities lending activities |
N/A | N/A | $ 337,087 | N/A |
Fees
and/or compensation for securities lending activities and related services |
||||
Securities
lending income paid to BTC for services as securities lending agent |
0 | 0 | 28,979 | 0 |
Cash
collateral management expenses not included in securities lending income paid to BTC |
0 | 0 | 6,788 | 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) |
0 | 0 | 168,571 | 0 |
Other
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate
fees/compensation for securities lending activities |
N/A | N/A | 204,338 | N/A |
Net
income from securities lending activities |
N/A | N/A | 132,749 | N/A |
Fund | iShares
Edge U.S. Fixed Income Balanced Risk ETF |
iShares
Fallen Angels USD Bond ETF |
iShares
Floating Rate Bond ETF |
iShares
GNMA Bond ETF |
Gross
income from securities lending activities |
$226,639 | $169,306 | $3,757,169 | N/A |
Fees
and/or compensation for securities lending activities and related services |
Fund | iShares
Edge U.S. Fixed Income Balanced Risk ETF |
iShares
Fallen Angels USD Bond ETF |
iShares
Floating Rate Bond ETF |
iShares
GNMA Bond ETF |
Securities
lending income paid to BTC for services as securities lending agent |
9,854 | 11,213 | 120,432 | 0 |
Cash
collateral management expenses not included in securities lending income paid to BTC |
4,505 | 3,064 | 73,234 | 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) |
168,000 | 104,636 | 3,019,540 | 0 |
Other
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate
fees/compensation for securities lending activities |
182,359 | 118,913 | 3,213,206 | N/A |
Net
income from securities lending activities |
44,280 | 50,393 | 543,963 | N/A |
Fund | iShares
iBoxx $ High Yield ex Oil & Gas Corporate Bond ETF |
iShares
International Treasury Bond ETF |
iShares
J.P. Morgan USD Emerging Markets Bond ETF |
iShares
TIPS Bond ETF |
Gross
income from securities lending activities |
$33,484 | N/A | N/A | $18,415 |
Fees
and/or compensation for securities lending activities and related services |
||||
Securities
lending income paid to BTC for services as securities lending agent |
2,453 | 0 | 0 | (13) |
Fund | iShares
iBoxx $ High Yield ex Oil & Gas Corporate Bond ETF |
iShares
International Treasury Bond ETF |
iShares
J.P. Morgan USD Emerging Markets Bond ETF |
iShares
TIPS Bond ETF |
Cash
collateral management expenses not included in securities lending income paid to BTC |
621 | 0 | 0 | 373 |
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) |
19,274 | 0 | 0 | 17,189 |
Other
fees not included in securities lending income paid to BTC |
0 | 0 | 0 | 0 |
Aggregate
fees/compensation for securities lending activities |
22,348 | N/A | N/A | 17,549 |
Net
income from securities lending activities |
11,136 | N/A | N/A | 866 |
Fund | iShares
Treasury Floating Rate Bond ETF |
iShares
U.S. Treasury Bond ETF |
Gross
income from securities lending activities |
N/A | $4,395 |
Fees
and/or compensation for securities lending activities and related services |
||
Securities
lending income paid to BTC for services as securities lending agent |
0 | 15 |
Cash
collateral management expenses not included in securities lending income paid to BTC |
0 | 90 |
Administrative
fees not included in securities lending income paid to BTC |
0 | 0 |
Fund | iShares
Treasury Floating Rate Bond ETF |
iShares
U.S. Treasury Bond ETF |
Indemnification
fees not included in securities lending income paid to BTC |
0 | 0 |
Rebates
(paid to borrowers) |
0 | 4,043 |
Other
fees not included in securities lending income paid to BTC |
0 | 0 |
Aggregate
fees/compensation for securities lending activities |
N/A | 4,148 |
Net
income from securities lending activities |
N/A | 247 |
Fund | Fund
Inception Date |
Brokerage
Commissions Paid During Fiscal Year Ended Oct. 31, 2018 |
Brokerage
Commissions Paid During Fiscal Year Ended Oct. 31, 2017 |
Brokerage
Commissions Paid During Fiscal Year Ended Oct. 31, 2016 | ||||
iShares 0-5 Year High Yield Corporate Bond ETF | 10/15/13 | $0 | $0 | $0 |
Fund | Fund
Inception Date |
Brokerage
Commissions Paid During Fiscal Year Ended Oct. 31, 2018 |
Brokerage
Commissions Paid During Fiscal Year Ended Oct. 31, 2017 |
Brokerage
Commissions Paid During Fiscal Year Ended Oct. 31, 2016 | ||||
iShares 0-5 Year Investment Grade Corporate Bond ETF | 10/15/13 | 0 | 0 | 0 | ||||
iShares 0-5 Year TIPS Bond ETF | 12/01/10 | 0 | 0 | 0 | ||||
iShares 1-3 Year International Treasury Bond ETF | 01/21/09 | 0 | 31 | 0 | ||||
iShares 5-10 Year Investment Grade Corporate Bond ETF | 09/12/17 | 0 | 0 | N/A | ||||
iShares 10+ Year Investment Grade Corporate Bond ETF | 09/12/17 | 0 | 0 | N/A | ||||
iShares Aaa - A Rated Corporate Bond ETF | 02/14/12 | 0 | 0 | 0 | ||||
iShares Broad USD High Yield Corporate Bond ETF | 10/25/17 | 0 | 0 | N/A | ||||
iShares CMBS ETF | 02/14/12 | 0 | 0 | 0 | ||||
iShares Convertible Bond ETF | 06/02/15 | 1,679 | 143 | 9 | ||||
iShares Core 1-5 Year USD Bond ETF | 10/18/12 | 1 | 3 | 0 | ||||
iShares Core International Aggregate Bond ETF | 11/10/15 | 0 | 0 | 0 | ||||
iShares Edge U.S. Fixed Income Balanced Risk ETF | 02/24/15 | 1,736 | 1,421 | 1,054 | ||||
iShares Fallen Angels USD Bond ETF | 06/14/16 | 71 | 0 | 0 | ||||
iShares Floating Rate Bond ETF | 06/14/11 | 0 | 0 | 0 | ||||
iShares GNMA Bond ETF | 02/14/12 | 0 | 0 | 0 | ||||
iShares iBoxx $ High Yield ex Oil & Gas Corporate Bond ETF | 06/14/16 | 0 | 0 | 0 | ||||
iShares International Treasury Bond ETF | 01/21/09 | 0 | 31 | 169 | ||||
iShares J.P. Morgan USD Emerging Markets Bond ETF | 12/17/07 | 0 | 1,200 | 570 | ||||
iShares TIPS Bond ETF | 12/04/03 | 0 | 0 | 0 | ||||
iShares Treasury Floating Rate Bond ETF | 02/03/14 | 0 | 0 | 0 | ||||
iShares U.S. Treasury Bond ETF | 02/14/12 | 0 | 0 | 0 |
Fund | Issuer | Market
Value of Investment | ||
iShares 0-5 Year Investment Grade Corporate Bond ETF | JPMorgan Chase & Co. | $ 34,938,929 | ||
Goldman Sachs Group Inc. (The) | 32,742,402 | |||
Morgan Stanley | 31,964,558 | |||
Wells Fargo & Co. | 28,882,618 | |||
Citigroup, Inc. | 28,566,725 | |||
Bank of America Corp. | 27,917,289 | |||
Bank of New York Mellon Corp. (The) | 10,802,053 | |||
U.S. Bancorp | 7,718,482 | |||
Barclays PLC | 6,304,530 | |||
Fund | Issuer | Market
Value of Investment | ||
iShares 5-10 Year Investment Grade Corporate Bond ETF | Bank of America Corp. | $ 300,846 | ||
JPMorgan Chase & Co. | 267,258 | |||
Citigroup, Inc. | 262,509 | |||
Morgan Stanley | 240,451 | |||
Goldman Sachs Group Inc. (The) | 216,089 | |||
Wells Fargo & Co. | 199,045 | |||
Bank of New York Mellon Corp. (The) | 70,475 | |||
Royal Bank of Canada | 25,209 | |||
iShares 10+ Year Investment Grade Corporate Bond ETF | JPMorgan Chase & Co. | $ 192,229 | ||
Bank of America Corp. | 171,896 | |||
Goldman Sachs Group Inc. (The) | 158,642 | |||
Wells Fargo & Co. | 133,731 | |||
Morgan Stanley | 114,306 | |||
Bank of New York Mellon Corp. (The) | 23,097 | |||
iShares Aaa - A Rated Corporate Bond ETF | Morgan Stanley | $ 4,916,259 | ||
Bank of America Corp. | 4,777,564 | |||
JPMorgan Chase & Co. | 4,703,422 | |||
Goldman Sachs Group Inc. (The) | 4,538,368 | |||
Wells Fargo & Co. | 4,242,993 | |||
Bank of New York Mellon Corp. (The) | 1,622,154 | |||
iShares Core 1-5 Year USD Bond ETF | JPMorgan Chase & Co. | $ 12,657,476 | ||
Morgan Stanley | 10,883,333 | |||
Bank of America Corp. | 10,453,286 | |||
Goldman Sachs Group Inc. (The) | 10,068,613 | |||
Wells Fargo & Co. | 7,309,903 | |||
Citigroup, Inc. | 7,235,242 | |||
Credit Suisse AG | 2,002,947 | |||
Barclays PLC | 1,693,387 | |||
Nomura Holdings, Inc. | 312,762 | |||
iShares Core International Aggregate Bond ETF | BNP Paribas SA | $ 1,270,367 | ||
JPMorgan Chase & Co. | 1,232,862 | |||
HSBC Holdings PLC | 1,219,563 | |||
Goldman Sachs Group Inc. (The) | 1,134,297 | |||
Citigroup, Inc. | 1,096,529 | |||
Bank of America Corp. | 956,245 | |||
Societe Generale | 795,003 | |||
Morgan Stanley | 748,260 | |||
iShares Edge U.S. Fixed Income Balanced Risk ETF | Bank of America Corp. | $ 2,795,534 | ||
JPMorgan Chase & Co. | 2,384,993 | |||
Goldman Sachs Group Inc. (The) | 2,173,530 | |||
Citigroup, Inc. | 2,109,797 |
Fund | Issuer | Market
Value of Investment | ||
Morgan Stanley | 1,312,616 | |||
Barclays PLC | 287,292 | |||
Mizuho Financial Group, Inc. | 194,692 | |||
iShares Fallen Angels USD Bond ETF | Barclays PLC | $ 1,944,343 | ||
Deutsche Bank AG | 1,587,723 | |||
iShares Floating Rate Bond ETF | Morgan Stanley | $ 450,467,525 | ||
Goldman Sachs Group Inc. (The) | 435,191,564 | |||
JPMorgan Chase & Co. | 320,589,949 | |||
Citigroup, Inc. | 266,144,332 | |||
Wells Fargo & Co. | 240,528,119 | |||
Bank of America Corp. | 217,138,891 | |||
Royal Bank of Canada | 189,913,564 | |||
Mizuho Financial Group, Inc. | 130,367,104 | |||
Barclays PLC | 51,435,041 | |||
Bank of New York Mellon Corp. (The) | 19,058,308 | |||
Fund | Fiscal
Year Ended Oct. 31, 2018 |
Fiscal
Year Ended Oct. 31, 2017 | ||
iShares 0-5 Year High Yield Corporate Bond ETF | 35% | 35% | ||
iShares 0-5 Year Investment Grade Corporate Bond ETF | 15% | 20% | ||
iShares 0-5 Year TIPS Bond ETF | 40% | 27% | ||
iShares 1-3 Year International Treasury Bond ETF | 47% | 48% | ||
iShares 5-10 Year Investment Grade Corporate Bond ETF | 27% | 1% | ||
iShares 10+ Year Investment Grade Corporate Bond ETF | 15% | 2% | ||
iShares Aaa - A Rated Corporate Bond ETF | 15% | 16% | ||
iShares Broad USD High Yield Corporate Bond ETF | 15% | 0% |
Fund | Fiscal
Year Ended Oct. 31, 2018 |
Fiscal
Year Ended Oct. 31, 2017 | ||
iShares CMBS ETF | 13% | 19% | ||
iShares Convertible Bond ETF | 29% | 14% | ||
iShares Core 1-5 Year USD Bond ETF1 | 107% | 124% | ||
iShares Core International Aggregate Bond ETF | 11% | 20% | ||
iShares Edge U.S. Fixed Income Balanced Risk ETF1 | 633% | 683% | ||
iShares Fallen Angels USD Bond ETF | 29% | 31% | ||
iShares Floating Rate Bond ETF | 17% | 21% | ||
iShares GNMA Bond ETF1 | 834% | 917% | ||
iShares iBoxx $ High Yield ex Oil & Gas Corporate Bond ETF | 24% | 18% | ||
iShares International Treasury Bond ETF | 10% | 9% | ||
iShares J.P. Morgan USD Emerging Markets Bond ETF | 15% | 26% | ||
iShares TIPS Bond ETF | 21% | 32% | ||
iShares Treasury Floating Rate Bond ETF | 17% | 68% | ||
iShares U.S. Treasury Bond ETF | 27% | 47% |
1 | Portfolio turnover rates include TBA transactions, as described above. |
Fund | Shares
Per Creation Unit |
Approximate
Value Per Creation Unit (U.S.$) | ||
iShares 0-5 Year High Yield Corporate Bond ETF | 100,000 | $4,580,000 | ||
iShares 0-5 Year Investment Grade Corporate Bond ETF | 50,000 | 2,467,000 | ||
iShares 0-5 Year TIPS Bond ETF | 50,000 | 4,907,000 | ||
iShares 1-3 Year International Treasury Bond ETF | 50,000 | 4,007,000 | ||
iShares 5-10 Year Investment Grade Corporate Bond ETF | 50,000 | 2,335,000 | ||
iShares 10+ Year Investment Grade Corporate Bond ETF | 50,000 | 2,220,500 | ||
iShares Aaa - A Rated Corporate Bond ETF | 50,000 | 2,473,000 | ||
iShares Broad USD High Yield Corporate Bond ETF1 | 50,000 | 2,028,000 | ||
iShares CMBS ETF | 50,000 | 2,478,000 | ||
iShares Convertible Bond ETF | 50,000 | 2,821,500 | ||
iShares Core 1-5 Year USD Bond ETF | 100,000 | 4,882,000 | ||
iShares Core International Aggregate Bond ETF | 50,000 | 2,611,000 | ||
iShares Edge U.S. Fixed Income Balanced Risk ETF | 50,000 | 4,778,000 | ||
iShares Fallen Angels USD Bond ETF | 50,000 | 1,262,500 | ||
iShares Floating Rate Bond ETF | 100,000 | 5,075,000 |
Fund | Shares
Per Creation Unit |
Approximate
Value Per Creation Unit (U.S.$) | ||
iShares GNMA Bond ETF | 50,000 | 2,397,000 | ||
iShares iBoxx $ High Yield ex Oil & Gas Corporate Bond ETF | 50,000 | 2,461,500 | ||
iShares International Treasury Bond ETF | 50,000 | 2,378,000 | ||
iShares J.P. Morgan USD Emerging Markets Bond ETF | 100,000 | 10,347,000 | ||
iShares TIPS Bond ETF | 100,000 | 10,925,000 | ||
iShares Treasury Floating Rate Bond ETF | 100,000 | 5,032,000 | ||
iShares U.S. Treasury Bond ETF | 100,000 | 2,434,000 |
1 | The approximate value per creation unit for the iShares Broad USD High Yield Corporate Bond ETF is as of April 19, 2019. |
Fund | Standard
Creation Transaction Fee |
Maximum
Additional Charge* | ||
iShares 0-5 Year High Yield Corporate Bond ETF | $ 200 | 3.0% | ||
iShares 0-5 Year Investment Grade Corporate Bond ETF | 100 | 3.0% | ||
iShares 0-5 Year TIPS Bond ETF | N/A | 3.0% | ||
iShares 1-3 Year International Treasury Bond ETF | 700 | 3.0% | ||
iShares 5-10 Year Investment Grade Corporate Bond ETF | 275 | 3.0% | ||
iShares 10+ Year Investment Grade Corporate Bond ETF | 225 | 3.0% | ||
iShares Aaa - A Rated Corporate Bond ETF | 300 | 3.0% | ||
iShares Broad USD High Yield Corporate Bond ETF | 200 | 3.0% | ||
iShares CMBS ETF | 400 | 3.0% | ||
iShares Convertible Bond ETF | 475 | 3.0% | ||
iShares Core 1-5 Year USD Bond ETF | 250 | 3.0% | ||
iShares Core International Aggregate Bond ETF | 650 | 3.0% | ||
iShares Edge U.S. Fixed Income Balanced Risk ETF | 500 | 3.0% | ||
iShares Fallen Angels USD Bond ETF | 450 | 3.0% | ||
iShares Floating Rate Bond ETF | 200 | 3.0% | ||
iShares GNMA Bond ETF | 200 | 3.0% | ||
iShares iBoxx $ High Yield ex Oil & Gas Corporate Bond ETF | 900 | 3.0% | ||
iShares International Treasury Bond ETF | 1,200 | 3.0% | ||
iShares J.P. Morgan USD Emerging Markets Bond ETF | 700 | 3.0% | ||
iShares TIPS Bond ETF | N/A | 3.0% | ||
iShares Treasury Floating Rate Bond ETF | 100 | 3.0% | ||
iShares U.S. Treasury Bond ETF | 250 | 3.0% |
* | As a percentage of the net asset value per Creation Unit. |
Fund | Standard
Redemption Transaction Fee |
Maximum
Additional Charge* | ||
iShares 0-5 Year High Yield Corporate Bond ETF | $ 200 | 2.0% | ||
iShares 0-5 Year Investment Grade Corporate Bond ETF | 100 | 2.0% | ||
iShares 0-5 Year TIPS Bond ETF | N/A | 2.0% | ||
iShares 1-3 Year International Treasury Bond ETF | 700 | 2.0% | ||
iShares 5-10 Year Investment Grade Corporate Bond ETF | 275 | 2.0% | ||
iShares 10+ Year Investment Grade Corporate Bond ETF | 225 | 2.0% | ||
iShares Aaa - A Rated Corporate Bond ETF | 300 | 2.0% | ||
iShares Broad USD High Yield Corporate Bond ETF | 200 | 2.0% | ||
iShares CMBS ETF | 400 | 2.0% | ||
iShares Convertible Bond ETF | 475 | 2.0% | ||
iShares Core 1-5 Year USD Bond ETF | 250 | 2.0% | ||
iShares Core International Aggregate Bond ETF | 650 | 2.0% | ||
iShares Edge U.S. Fixed Income Balanced Risk ETF | 500 | 2.0% | ||
iShares Fallen Angels USD Bond ETF | 450 | 2.0% | ||
iShares Floating Rate Bond ETF | 200 | 2.0% | ||
iShares GNMA Bond ETF | 200 | 2.0% | ||
iShares iBoxx $ High Yield ex Oil & Gas Corporate Bond ETF | 900 | 2.0% | ||
iShares International Treasury Bond ETF | 1,200 | 2.0% | ||
iShares J.P. Morgan USD Emerging Markets Bond ETF | 700 | 2.0% | ||
iShares TIPS Bond ETF | N/A | 2.0% | ||
iShares Treasury Floating Rate Bond ETF | 100 | 2.0% | ||
iShares U.S. Treasury Bond ETF | 250 | 2.0% |
* | As a percentage of the net asset value per Creation Unit, inclusive of the standard redemption transaction fee. |
Fund | Non-Expiring 1 | Expiring
2019 |
Total | |||
iShares 0-5 Year High Yield Corporate Bond ETF | $ 62,861,875 | — | $62,861,875 | |||
iShares 0-5 Year Investment Grade Corporate Bond ETF | 293,199 | — | 293,199 | |||
iShares 0-5 Year TIPS Bond ETF | 10,520,694 | $21,603 | 10,542,297 | |||
iShares 1-3 Year International Treasury Bond ETF | 8,165,313 | — | 8,165,313 | |||
iShares 5-10 Year Investment Grade Corporate Bond ETF | 78,038 | — | 78,038 | |||
iShares 10+ Year Investment Grade Corporate Bond ETF | 55,898 | — | 55,898 | |||
iShares Aaa - A Rated Corporate Bond ETF | 3,136,130 | — | 3,136,130 | |||
iShares Broad USD High Yield Corporate Bond ETF | 207,433 | — | 207,433 | |||
iShares CMBS ETF | 1,134,402 | — | 1,134,402 | |||
iShares Core 1-5 Year USD Bond ETF | 5,989,339 | — | 5,989,339 | |||
iShares Core International Aggregate Bond ETF | 63,662 | — | 63,662 | |||
iShares Edge U.S. Fixed Income Balanced Risk ETF | 2,163,177 | — | 2,163,177 | |||
iShares Fallen Angels USD Bond ETF | 213,866 | — | 213,866 | |||
iShares Floating Rate Bond ETF | 6,449,615 | — | 6,449,615 | |||
iShares GNMA Bond ETF | 4,990,641 | — | 4,990,641 | |||
iShares International Treasury Bond ETF | 9,980,518 | — | 9,980,518 | |||
iShares J.P. Morgan USD Emerging Markets Bond ETF | 160,819,685 | — | 160,819,685 |
Fund | Non-Expiring 1 | Expiring
2019 |
Total | |||
iShares TIPS Bond ETF | 207,432,994 | — | 207,432,994 | |||
iShares U.S. Treasury Bond ETF | 34,087,764 | — | 34,087,764 |
1 | iShares ESG 1-5 Year USD Corporate Bond ETF, iShares ESG MSCI EAFE ETF, iShares ESG MSCI EM ETF, iShares ESG MSCI USA ETF, iShares ESG MSCI USA Small-Cap ETF, iShares ESG U.S. Aggregate Bond ETF, iShares ESG USD Corporate Bond ETF, iShares Global Green Bond ETF, iShares MSCI ACWI Low Carbon Target ETF, iShares MSCI Global Impact ETF, iShares MSCI KLD 400 Social ETF, iShares MSCI Peru ETF and iShares MSCI USA ESG Select ETF have separate Proxy Voting Policies. |
• | Boards and directors |
• | Auditors and audit-related issues |
• | Capital structure, mergers, asset sales and other special transactions |
• | Compensation and benefits |
• | Environmental and social issues |
• | General corporate governance matters and shareholder protections |
• | establishing an appropriate corporate governance structure |
• | supporting and overseeing management in setting long-term strategic goals, applicable measures of value-creation and milestones that will demonstrate progress, and steps taken if any obstacles are anticipated or incurred |
• | ensuring the integrity of financial statements |
• | making independent decisions regarding mergers, acquisitions and disposals |
• | establishing appropriate executive compensation structures |
• | addressing business issues, including environmental and social issues, when they have the potential to materially impact company reputation and performance |
• | current or former employment at the company or a subsidiary within the past several years |
• | 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 |
• | BlackRock clients who may be issuers of securities or proponents of shareholder resolutions |
• | BlackRock business partners or third parties who may be issuers of securities or proponents of shareholder resolutions |
• | BlackRock employees who may sit on the boards of public companies held in Funds managed by BlackRock |
• | Significant BlackRock, Inc. investors who may be issuers of securities held in Funds managed by BlackRock |
• | Securities of BlackRock, Inc. or BlackRock investment funds held in Funds managed by BlackRock |
• | 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. |
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