0001752724-19-141814.txt : 20191011 0001752724-19-141814.hdr.sgml : 20191011 20191011093107 ACCESSION NUMBER: 0001752724-19-141814 CONFORMED SUBMISSION TYPE: N-CEN PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190731 FILED AS OF DATE: 20191011 DATE AS OF CHANGE: 20191011 EFFECTIVENESS DATE: 20191011 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Hartford Funds Exchange-Traded Trust CENTRAL INDEX KEY: 0001501825 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: N-CEN SEC ACT: 1940 Act SEC FILE NUMBER: 811-23222 FILM NUMBER: 191147135 BUSINESS ADDRESS: STREET 1: 690 LEE ROAD CITY: WAYNE STATE: PA ZIP: 19087 BUSINESS PHONE: 610-386-1844 MAIL ADDRESS: STREET 1: 690 LEE ROAD CITY: WAYNE STATE: PA ZIP: 19087 FORMER COMPANY: FORMER CONFORMED NAME: Hartford Active Exchange-Traded Fund Trust DATE OF NAME CHANGE: 20100921 0001501825 S000056654 Hartford Corporate Bond ETF C000179245 Hartford Corporate Bond ETF HCOR 0001501825 S000056655 Hartford Quality Bond ETF C000179246 Hartford Quality Bond ETF HQBD 0001501825 S000057958 Hartford Total Return Bond ETF C000189003 Hartford Total Return Bond ETF HTRB 0001501825 S000058871 Hartford Municipal Opportunities ETF C000193047 Hartford Municipal Opportunities ETF HMOP 0001501825 S000058872 Hartford Schroders Tax-Aware Bond ETF C000193049 Hartford Schroders Tax-Aware Bond ETF HTAB 0001501825 S000061914 Hartford Short Duration ETF C000200624 Hartford Short Duration ETF HSRT N-CEN 1 primary_doc.xml X0201 N-CEN LIVE 0001501825 XXXXXXXX 811-23222 false false false N-1A true Hartford Funds Exchange-Traded Trust 811-23222 0001501825 549300IA3XO4BB2LUL19 690 LEE ROAD WAYNE 19087 US-PA US 610-386-4068 Schroder Investment Management North America Inc. 7 Bryant Park New York 10018-3706 1 212 641 3800 Records relating to its function as sub-adviser Wellington Management Company LLP 280 Congress Street Boston 02210 617-951-5000 Records relating to its function as sub-adviser ALPS Distributors, Inc. 1290 Broadway Denver 80203 303-623-2577 Records relating to its function as distributor Hartford Funds Management Company, LLC 690 Lee Road Wayne 19087 610-386-4068 Records relating to its function as investment manager and administrator. State Street Bank and Trust Company 1 Lincoln Street Boston 02111 617-786-3000 Custody, Accounting,Transfer Agent Records N N N-1A 4 Y Lemma W. Senbet 000000000 N James E. Davey 002041562 Y Phillip O. Peterson 000000000 N Lynn S. Birdsong 000000000 N Robin C. Beery 000000000 N Duane E. Hill 000000000 N Hilary E. Ackermann 000000000 N Christine R. Detrick 000000000 N David Sung 000000000 N William P. Johnston 000000000 N Joseph G. 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(Minato ku, Tokyo, JP, Branch) RB0PEZSDGCO3JS6CEU02 JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB F3JS33DEI6XQ4ZBPTN86 SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UBS Switzerland AG 549300WOIFUSNYH0FL22 CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Trust Company Canada 549300L71XG2CTQ2V827 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) 2HI3YI5320L3RW6NJ957 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) F3JS33DEI6XQ4ZBPTN86 FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Limited 54930045L3MXWBD27H71 CH N Y Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7) State Street Bank and Trust Company (Edinburgh, GB, Branch) 571474TGEMMWANRLN572 GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) Skandinaviska Enskilda Banken A/S F3JS33DEI6XQ4ZBPTN86 DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UniCredit Bank Austria AG D1HEB8VEU6D9M8ZUXG17 AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N N Hartford Funds Management Company, LLC 801-77209 SEC File Number Y N N Hartford Funds Distributors, LLC 8-51290 000045995 549300P8EOSTW88HR087 0.00000000 0.00000000 Merrill Lynch, Pierce, Fenner & Smith Incorporated 8-7221 000007691 8NAV47T0Y26Q87Y0QP81 7105112.62000000 State Street Bank and Trust Company N/A 000000000 571474TGEMMWANRLN572 209155861.58000000 Morgan Stanley & Co. 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LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 38369171.82000000 Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 8502002.18000000 JPMorgan Chase & Co. 8-35008 000000079 8I5DZWZKVSZI1NUHU748 16571667.49000000 Barclays Capital Inc. 8-41342 000019714 AC28XWWI3WIBK2824319 7939284.94000000 BofA Securities, Inc. 8-69787 000283942 549300HN4UKV1E2R3U73 9167348.03000000 366841250.90000000 N 88936737.93000000 N N N Hartford Total Return Bond ETF S000057958 549300TXMIMTONBLXT62 N 1 0 0 Exchange-Traded Fund N N Y N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Revenue sharing split Cash collateral reinvestment fee 2308063.83000000 12373.00000000 Rule 32a-4 (17 CFR 270.32a-4) N N N N Hartford Funds Management Company, LLC 801-77209 000147746 00000000000000000000 N Wellington Management Company LLP 801-15908 000106595 549300YHP12TEZNLCX41 N N State Street Bank and Trust Company 85-05003 571474TGEMMWANRLN572 N N N PricingDirect Inc. 549300WIC0TOJ7N7GD54 N Refinitiv US Holdings Inc. 549300NF240HXJO7N016 N IHS Markit Ltd. 549300HLPTRASHS0E726 GB N ICE Data Services, Inc. 13-3668779 Tax ID N State Street Bank and Trust Company (Boston, MA, US, Branch) 571474TGEMMWANRLN572 N Standard & Poor's Financial Services LLC 549300U4VWNITEKO2881 N Bloomberg L.P. 549300B56MD0ZC402L06 N N The Standard Bank of South Africa Limited QFC8ZCW3Q5PRXU1XTM60 ZA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) 7LTWFZYICNSX8D621K86 ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB F3JS33DEI6XQ4ZBPTN86 SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Hapoalim B.M. B6ARUI4946ST4S7WOU88 IL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UBS Switzerland AG 549300WOIFUSNYH0FL22 CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Thai) Public Company Limited 549300O1LQYCQ7G1IM57 TH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Handlowy w Warszawie Spolka Akcyjna XLEZHWWOI4HFQDGL4793 PL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) RB0PEZSDGCO3JS6CEU02 JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) 2HI3YI5320L3RW6NJ957 NZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch) 7LTWFZYICNSX8D621K86 PH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Ghana) Limited 549300WFGKTC3MGDCX95 GH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, National Association (Singapore, SG, Branch) E57ODZWZ7FF32TWEFA76 SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank Malaysia Berhad 549300JTJBG2QBI8KD48 MY N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Ceskoslovenska obchodni banka, a. s. 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MYTK5NHHP1G8TVFGT193 PE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Cititrust Colombia S A Sociedad Fiduciaria 549300242J3IJCOSGI49 CO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank Anonim Sirketi 789000N5SE3LWDK7OI11 TR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Trust Company Canada 549300L71XG2CTQ2V827 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UniCredit Bank Czech Republic and Slovakia, a.s. (Bratislava, Bratislavsky, SK, Branch) KR6LSKV3BTSJRD41IF75 SK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Stanbic IBTC Bank PLC 549300NIVXF92ZIOVW61 NG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank Societa per Azioni 529900SS7ZWCX82U3W60 IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank International GmbH ZMHGNT7ZPKZ3UFZ8EO46 DE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank Europe Public Limited Company (Bucharest, Bucharest, RO, Branch) N1FBEDJ5J41VKZLO2475 RO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UniCredit Bank Hungary Zrt. 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LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 1422614140.80000000 Barclays Capital Inc. 8-41342 000019714 AC28XWWI3WIBK2824319 273571891.48000000 Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 584405318.24000000 BNP Paribas Securities Corp. 8-32682 000015794 RCNB6OTYUAMMP879YW96 98263792.43000000 Nomura Securities International, Inc. 8-15255 000004297 OXTKY6Q8X53C9ILVV871 1205498043.69000000 JPMorgan Chase & Co. 8-35008 000000079 8I5DZWZKVSZI1NUHU748 828222070.96000000 BofA Securities, Inc. 8-69787 000283942 549300HN4UKV1E2R3U73 1543255653.13000000 State Street Bank and Trust Company N/A 000000000 571474TGEMMWANRLN572 914984194.04000000 Wells Fargo Securities, LLC 8-65876 000126292 VYVVCKR63DVZZN70PB21 410099744.89000000 8793395005.21000000 N 429846438.10000000 N N N Hartford Municipal Opportunities ETF S000058871 549300NHT5DKUBQSM732 N 1 0 0 Exchange-Traded Fund N N Y N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Cash collateral reinvestment fee Revenue sharing split 0.00000000 22.00000000 Rule 32a-4 (17 CFR 270.32a-4) N N N N Hartford Funds Management Company, LLC 801-77209 000147746 00000000000000000000 N Wellington Management Company LLP 801-15908 000106595 549300YHP12TEZNLCX41 N N State Street Bank and Trust Company 85-05003 571474TGEMMWANRLN572 N N N PricingDirect Inc. 549300WIC0TOJ7N7GD54 N IHS Markit Ltd. 549300HLPTRASHS0E726 GB N State Street Bank and Trust Company (Boston, MA, US, Branch) 571474TGEMMWANRLN572 N ICE Data Services, Inc. 13-3668779 Tax ID N Standard & Poor's Financial Services LLC 549300U4VWNITEKO2881 N Refinitiv US Holdings Inc. 549300NF240HXJO7N016 N Bloomberg L.P. 549300B56MD0ZC402L06 N N Euroclear Limited 54930045L3MXWBD27H71 CH N Y Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7) State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N N Hartford Funds Management Company, LLC 801-77209 SEC File Number Y N N Hartford Funds Distributors, LLC 8-51290 000045995 549300P8EOSTW88HR087 0.00000000 0.00000000 Hutchinson, Shockey, Erley & Co. 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LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 21723694.80000000 Barclays Capital Inc. 8-41342 000019714 AC28XWWI3WIBK2824319 12141521.80000000 Raymond James Financial, Inc. 8-17983 000006694 RGUZHJ05YTITL6D76949 4084759.00000000 State Street Bank and Trust Company N/A 000000000 571474TGEMMWANRLN572 173596544.48000000 334939378.03000000 N 94552040.99000000 N N N Hartford Schroders Tax-Aware Bond ETF S000058872 549300X7W5UUZO6BLI07 N 1 0 0 Exchange-Traded Fund N N Y N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Cash collateral reinvestment fee Revenue sharing split 173823.72000000 796.00000000 Rule 32a-4 (17 CFR 270.32a-4) N N N N Hartford Funds Management Company, LLC 801-77209 000147746 00000000000000000000 N Schroder Investment Management North America Inc. 801-15834 000105820 5493003P29LAPF3HFV10 N N State Street Bank and Trust Company 85-05003 571474TGEMMWANRLN572 N N N Refinitiv US Holdings Inc. 549300NF240HXJO7N016 N Standard & Poor's Financial Services LLC 549300U4VWNITEKO2881 N ICE Data Services, Inc. 13-3668779 Tax ID N State Street Bank and Trust Company (Boston, MA, US, Branch) 571474TGEMMWANRLN572 N Bloomberg L.P. 549300B56MD0ZC402L06 N IHS Markit Ltd. 549300HLPTRASHS0E726 GB N PricingDirect Inc. 549300WIC0TOJ7N7GD54 N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) Euroclear Limited 54930045L3MXWBD27H71 CH N Y Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7) N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N N Hartford Funds Management Company, LLC 801-77209 SEC File Number Y N N Hartford Funds Distributors, LLC 8-51290 000045995 549300P8EOSTW88HR087 0.00000000 0.00000000 RBC Capital Markets, LLC 8-45411 000031194 549300LCO2FLSSVFFR64 3496194.75000000 JPMorgan Chase & Co. 8-35008 000000079 8I5DZWZKVSZI1NUHU748 14819249.80000000 Morgan Stanley & Co. LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 6698664.65000000 Wells Fargo Securities, LLC 8-65876 000126292 VYVVCKR63DVZZN70PB21 4795140.26000000 Nomura Securities International, Inc. 8-15255 000004297 OXTKY6Q8X53C9ILVV871 3508766.31000000 State Street Bank and Trust Company N/A 000000000 571474TGEMMWANRLN572 31802785.51000000 Merrill Lynch, Pierce, Fenner & Smith Incorporated 8-7221 000007691 8NAV47T0Y26Q87Y0QP81 12086730.24000000 Barclays Capital Inc. 8-41342 000019714 AC28XWWI3WIBK2824319 6292429.80000000 Goldman Sachs & Co. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 14776069.96000000 Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 8721834.63000000 125334884.37000000 N 21680774.16000000 N N N Hartford Municipal Opportunities ETF S000058871 N 50000.00000000 100.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 100.00000000 0.02500001 0.00000000 100.00000000 0.02500001 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 N Hartford Short Duration ETF S000061914 N 50000.00000000 100.00000000 0.00000000 0.00000000 0.00000000 100.00000000 0.00000000 0.00000000 0.00000000 0.00000000 100.00000000 0.05000001 0.00000000 100.00000000 0.05000001 0.00000000 100.00000000 0.05000001 0.00000000 100.00000000 0.05000001 N Hartford Total Return Bond ETF S000057958 N 50000.00000000 100.00000000 0.00000000 0.00000000 0.00000000 100.00000000 0.00000000 0.00000000 0.00000000 0.00000000 100.00000000 0.07999999 0.00000000 100.00000000 0.07999999 0.00000000 100.00000000 0.07999997 0.00000000 100.00000000 0.07999997 N Hartford Schroders Tax-Aware Bond ETF S000058872 N 50000.00000000 100.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 100.00000000 0.07500002 0.00000000 100.00000000 0.07500002 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 N true INTERNAL CONTROL RPT 2 NCEN_11217351467266131.txt Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Trustees of Hartford Funds Exchange-Traded Trust In planning and performing our audits of the financial statements of Hartford Funds Exchange-Traded Trust (the "Trust") as of and for the period ended July 31, 2019, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Trust's internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Trust's internal control over financial reporting. Accordingly, we express no such opinion. The management of the Trust is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company's internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A company's internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a company's assets that could have a material effect on the financial statements. Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate. A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the company's annual or interim financial statements will not be prevented or detected on a timely basis. Our consideration of the Trust's internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Trust's internal control over financial reporting and its operation, including controls over safeguarding securities, that we consider to be a material weakness as defined above as of July 31, 2019. This report is intended solely for the information and use of management and the Board of Trustees of Hartford Funds Exchange-Traded Trust and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. /s/ Ernst & Young LLP Philadelphia, Pennsylvania September 24, 2019