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. Melcher
003152206
c/o Hartford Funds 690 Lee Road
Wayne
19087
XXXXXX
N
N
N
N
N
N
ALPS Distributors, Inc.
8-34626
000016853
0000000000
N
N
Ernst & Young LLP
42
00000000000000000000
N
N
N
N
N
N
N
Hartford Short Duration ETF
S000061914
549300FUVHXM8XPJVH45
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
458913.92000000
816.00000000
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
ICE Data Services, Inc.
13-3668779
Tax ID
N
Standard & Poor's Financial Services LLC
549300U4VWNITEKO2881
N
State Street Bank and Trust Company (Boston, MA, US, Branch)
571474TGEMMWANRLN572
N
Bloomberg L.P.
549300B56MD0ZC402L06
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
IHS Markit Ltd.
549300HLPTRASHS0E726
GB
N
N
Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch)
7LTWFZYICNSX8D621K86
NL
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)
Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch)
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services (Athens, Attica, GR, Branch)
549300WCGB70D06XZS54
GR
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)
Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch)
7LTWFZYICNSX8D621K86
ES
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)
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. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
12912706.03000000
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
8765855.12000000
Credit Suisse Securities (USA) LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
11061547.89000000
Goldman Sachs & Co. 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.
Q5BP2UEQ48R75BOTCB92
CZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch)
E57ODZWZ7FF32TWEFA76
BR
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)
Banco Nacional de Mexico, S.A., Integrante del Grupo Financiero Banamex
2SFFM4FUIE05S37WFU55
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Chuo ku, Tokyo, JP, Branch)
2HI3YI5320L3RW6NJ957
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company (Edinburgh, GB, Branch)
571474TGEMMWANRLN572
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch)
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Mumbai, Maharashtra, IN, Branch)
7LTWFZYICNSX8D621K86
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch)
7LTWFZYICNSX8D621K86
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Hong Kong) Limited
X5AV1MBDXGRPX5UGMX13
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank del Peru S.A.
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.
Y28RT6GGYJ696PMW8T44
HU
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)
Itau CorpBanca
549300DDPTTIZ06NIV06
CL
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
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
711953101.27000000
Goldman Sachs & Co. 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.
N/A
000002261
00000000000000000000
6227710.00000000
Citigroup Global Markets Inc.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
15676388.75000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
14291517.45000000
BofA Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
8107999.90000000
RBC Capital Markets, LLC
8-45411
000031194
549300LCO2FLSSVFFR64
8942150.05000000
JPMorgan Chase & Co.
8-35008
000000079
8I5DZWZKVSZI1NUHU748
14857649.00000000
Morgan Stanley & Co. 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