N-Q 1 d107743dnq.htm N-Q FOR ISHARE U.S. ETF TRUST N-Q for iShare U.S. ETF Trust

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM N-Q

 

 

QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS

OF REGISTERED MANAGEMENT INVESTMENT COMPANY

Investment Company Act file number 811-22649

 

 

iShares U.S. ETF Trust

(Exact name of Registrant as specified in charter)

 

 

c/o: State Street Bank and Trust Company

1 Iron Street, Boston, MA 02210

(Address of principal executive offices) (Zip code)

 

 

The Corporation Trust Company

1209 Orange Street, Wilmington, DE 19801

(Name and address of agent for service)

 

 

Registrant’s telephone number, including area code: (415) 670-2000

Date of fiscal year end: July 31, 2016

Date of reporting period: October 31, 2015

 

 

 

Item 1. Schedules of Investments.

Schedule of Investments  (Unaudited)

iSHARES® ENHANCED INTERNATIONAL LARGE-CAP ETF

October 31, 2015

 

Security   Shares     Value  
   

COMMON STOCKS — 99.35%

    

AUSTRALIA — 2.38%

    

Aristocrat Leisure Ltd.

     14,553      $ 96,769   

ASX Ltd.

     31,320        921,071   

Brambles Ltd.

     13,365        98,976   

Caltex Australia Ltd.

     2,106        47,480   

Dexus Property Group

     20,861        115,196   

GPT Group (The)

     10,449        35,560   

Qantas Airways Ltd.

     11,561        32,580   

Scentre Group

     18,879        55,763   

Tatts Group Ltd.

     10,746        30,360   

Telstra Corp. Ltd.

     21,627        83,321   
   

 

 

  
      1,517,076   

AUSTRIA — 0.45%

    

OMV AG

     10,692        285,824   
   

 

 

  
      285,824   

BELGIUM — 4.55%

    

Ageas

     1,269        56,331   

bpost SA

     1,323        33,277   

Colruyt SA

     2,025        100,740   

Delhaize Group

     6,291        586,595   

Proximus SADP

     6,696        233,108   

Solvay SA

     11,502        1,306,145   

Telenet Group Holding NVa

     4,617        269,901   

Umicore SA

     7,371        314,703   
   

 

 

  
      2,900,800   

CANADA — 10.02%

    

Agrium Inc.

     10,233        951,461   

Alimentation Couche-Tard Inc. Class B

     1,620        69,649   

Bank of Montreal

     10,476        608,855   

Bank of Nova Scotia (The)

     3,348        157,350   

Canadian Imperial Bank of Commerce/Canada

     14,229        1,090,598   

Constellation Software Inc./Canada

     2,889        1,247,591   

Crescent Point Energy Corp.

     37,557        511,534   

Empire Co. Ltd. Class A

     9,315        195,007   

Fairfax Financial Holdings Ltd.

     216        106,307   

Husky Energy Inc.

     7,479        101,008   

Intact Financial Corp.

     648        46,254   

Linamar Corp.

     459        26,659   

Magna International Inc. Class A

     999        52,655   

Methanex Corp.

     972        38,758   

National Bank of Canada

     19,440        643,518   

Open Text Corp.

     1,107        51,282   

Peyto Exploration & Development Corp.

     1,890        39,003   

Rogers Communications Inc. Class B

     4,671        185,755   

Shaw Communications Inc. Class B

     4,752        98,610   

Thomson Reuters Corp.

     4,158        170,598   
   

 

 

  
      6,392,452   

DENMARK — 6.20%

    

AP Moeller — Maersk A/S Class A

     54        77,706   
Security   Shares     Value  
   

AP Moeller — Maersk A/S Class B

     729      $ 1,079,808   

Coloplast A/S Class B

     7,290        525,435   

Danske Bank A/S

     20,034        553,434   

Jyske Bank A/S Registereda

     2,214        108,582   

Novo Nordisk A/S Class B

     5,859        312,685   

TDC A/S

     41,130        216,579   

Vestas Wind Systems A/S

     18,495        1,082,929   
   

 

 

  
      3,957,158   

FINLAND — 5.97%

    

Neste OYJ

     5,724        140,308   

Nokia OYJ

     196,506        1,469,567   

Nokian Renkaat OYJ

     22,113        838,583   

Stora Enso OYJ Class R

     42,444        395,950   

UPM-Kymmene OYJ

     51,381        967,724   
   

 

 

  
      3,812,132   

FRANCE — 4.08%

    

Danone SA

     1,431        100,236   

Electricite de France SA

     2,646        49,500   

Eutelsat Communications SA

     1,647        54,599   

Numericable-SFR SASa

     702        31,949   

Peugeot SAa

     27,108        479,866   

SCOR SE

     1,998        74,754   

SES SA

     21,762        646,299   

STMicroelectronics NV

     11,151        77,566   

Total SA

     21,843        1,065,169   

Veolia Environnement SA

     1,134        26,525   
   

 

 

  
      2,606,463   

GERMANY — 7.76%

    

Deutsche Boerse AG

     972        89,924   

Deutsche Lufthansa AG Registereda

     81,297        1,206,078   

Dialog Semiconductor PLCa

     3,888        144,523   

GEA Group AG

     17,172        691,706   

Hannover Rueck SE

     4,104        476,923   

Kabel Deutschland Holding AG

     2,997        383,206   

Muenchener Rueckversicherungs-Gesellschaft AG in Muenchen Registered

     3,213        644,187   

Telefonica Deutschland Holding AG

     196,614        1,271,863   

Volkswagen AGb

     297        41,371   
   

 

 

  
      4,949,781   

ISRAEL — 0.31%

    

Bezeq The Israeli Telecommunication Corp. Ltd.

     91,314        196,679   
   

 

 

  
      196,679   

ITALY — 0.37%

    

EXOR SpA

     2,619        130,623   

Mediaset SpA

     21,222        108,306   
   

 

 

  
      238,929   

JAPAN — 26.08%

    

Aeon Co. Ltd.

     13,500        201,255   

Aisin Seiki Co. Ltd.

     2,700        108,179   

ANA Holdings Inc.

     108,000        324,246   

Aozora Bank Ltd.

     108,000        396,470   

Asahi Kasei Corp.

     54,000        334,046   
 

 

     1   

Schedule of Investments  (Unaudited) (Continued)

iSHARES® ENHANCED INTERNATIONAL LARGE-CAP ETF

October 31, 2015

 

Security   Shares     Value  
   

Canon Inc.

     8,100      $ 244,326   

Chubu Electric Power Co. Inc.

     5,400        83,657   

Daiichi Sankyo Co. Ltd.

     5,400        106,702   

Eisai Co. Ltd.

     10,800        680,890   

Fuji Heavy Industries Ltd.

     2,700        105,785   

Hoya Corp.

     2,700        112,520   

ITOCHU Corp.

     10,800        136,393   

Japan Airlines Co. Ltd.

     35,100        1,332,157   

Japan Exchange Group Inc.

     5,400        87,886   

JFE Holdings Inc.

     5,400        85,738   

JX Holdings Inc.

     172,800        681,606   

Kansai Electric Power Co. Inc. (The)a

     5,400        69,718   

Kawasaki Heavy Industries Ltd.

     270,000        1,094,096   

KDDI Corp.

     2,700        65,914   

Kuraray Co. Ltd.

     5,400        67,122   

Lawson Inc.

     2,700        201,144   

Marubeni Corp.

     81,000        471,468   

Mitsubishi Corp.

     5,400        99,006   

Mitsubishi UFJ Financial Group Inc.

     64,800        424,536   

Mitsui & Co. Ltd.

     37,800        482,543   

Mitsui OSK Lines Ltd.

     27,000        72,716   

Mixi Inc.

     2,700        103,816   

Mizuho Financial Group Inc.

     629,100        1,304,858   

Nexon Co. Ltd.

     10,800        151,070   

Nippon Telegraph & Telephone Corp.

     21,600        802,963   

Nippon Yusen KK

     27,000        71,150   

NTT DOCOMO Inc.

     64,800        1,265,929   

Resona Holdings Inc.

     170,100        907,200   

Shinsei Bank Ltd.

     54,000        114,108   

Sompo Japan Nipponkoa Holdings Inc.

     2,700        85,648   

Sumitomo Chemical Co. Ltd.

     27,000        156,395   

Sumitomo Corp.

     10,800        119,075   

Sumitomo Mitsui Financial Group Inc.

     21,600        869,907   

Sumitomo Rubber Industries Ltd.

     2,700        40,542   

Suntory Beverage & Food Ltd.

     5,400        219,714   

Takeda Pharmaceutical Co. Ltd.

     2,700        132,679   

Tokyo Electric Power Co. Inc.a

     135,000        927,408   

Tokyo Gas Co. Ltd.

     108,000        538,411   

West Japan Railway Co.

     10,800        763,406   
   

 

 

  
      16,644,398   

NETHERLANDS — 1.79%

    

Aegon NV

     83,511        516,972   

Altice NV Class Aa,b

     4,536        78,918   

Altice NV Class Ba

     783        13,969   

Delta Lloyd NV

     3,726        29,552   

Koninklijke Ahold NV

     5,403        110,535   

NN Group NV

     12,366        390,269   
   

 

 

  
      1,140,215   

NORWAY — 0.67%

    

Orkla ASA

     49,734        424,647   
   

 

 

  
      424,647   

SINGAPORE — 1.47%

    

ComfortDelGro Corp. Ltd.

     35,100        76,190   

Singapore Airlines Ltd.

     56,700        437,244   

Singapore Exchange Ltd.

     13,000        68,504   

StarHub Ltd.

     137,700        353,959   
   

 

 

  
      935,897   
Security   Shares     Value  
   

SPAIN — 0.11%

    

Mediaset Espana Comunicacion SA

     5,832      $ 71,220   
   

 

 

  
      71,220   

SWEDEN — 3.71%

    

Boliden AB

     61,425        1,183,511   

ICA Gruppen AB

     29,565        1,059,207   

Millicom International Cellular SA SDR

     1,782        100,108   

Volvo AB Class B

     2,079        21,730   
   

 

 

  
      2,364,556   

SWITZERLAND — 9.88%

    

Aryzta AG

     756        34,205   

Baloise Holding AG Registered

     3,321        399,901   

Banque Cantonale Vaudoise Registered

     162        100,084   

Clariant AG Registered

     6,561        121,136   

Credit Suisse Group AG Registered

     17,793        445,479   

Helvetia Holding AG Registered

     270        141,745   

Lonza Group AG Registered

     486        71,587   

PSP Swiss Property AG Registered

     567        49,496   

Swiss Life Holding AG Registered

     5,238        1,254,570   

Swiss Prime Site AG Registered

     416        31,904   

Swiss Re AG

     13,797        1,286,274   

Swisscom AG Registered

     2,322        1,201,339   

Transocean Ltd.

     5,292        81,064   

Zurich Insurance Group AG

     4,104        1,087,878   
   

 

 

  
      6,306,662   

UNITED KINGDOM — 13.55%

    

3i Group PLC

     34,587        267,615   

Ashtead Group PLC

     7,857        121,343   

AstraZeneca PLC

     19,533        1,252,071   

BP PLC

     89,829        536,060   

BT Group PLC

     30,591        219,688   

Centrica PLC

     322,299        1,125,432   

GlaxoSmithKline PLC

     13,068        283,560   

Imperial Tobacco Group PLC

     8,991        485,860   

Investec PLC

     6,345        53,112   

J Sainsbury PLC

     302,886        1,246,158   

Just Eat PLCa

     7,317        48,140   

Marks & Spencer Group PLC

     22,977        182,041   

Old Mutual PLC

     38,718        126,947   

Rentokil Initial PLC

     225,315        537,623   

Rexam PLC

     52,083        434,359   

Rightmove PLC

     1,485        88,045   

Royal Dutch Shell PLC Class A

     9,477        247,353   

Royal Mail PLC

     15,552        106,954   

RSA Insurance Group PLC

     35,397        230,094   

Sky PLC

     10,503        177,780   

SSE PLC

     31,887        746,081   

Tesco PLCa

     46,656        132,078   
   

 

 

  
      8,648,394   
   

 

 

  

TOTAL COMMON STOCKS
(Cost: $66,710,847)

   

     63,393,283   
 

 

2   

Schedule of Investments  (Unaudited) (Continued)

iSHARES® ENHANCED INTERNATIONAL LARGE-CAP ETF

October 31, 2015

 

Security   Shares     Value  
   

PREFERRED STOCKS — 0.12%

    

GERMANY — 0.12%

    

Bayerische Motoren Werke AG

     972      $ 79,036   
   

 

 

  
      79,036   
   

 

 

  

TOTAL PREFERRED STOCKS

    

(Cost: $89,843)

       79,036   

SHORT-TERM INVESTMENTS — 0.17%

  

  

MONEY MARKET FUNDS — 0.17%

  

  

BlackRock Cash Funds: Institutional,
SL Agency Shares

    

0.19%c,d,e

     57,004        57,004   

BlackRock Cash Funds: Prime,
SL Agency Shares

    

0.19%c,d,e

     2,950        2,950   

BlackRock Cash Funds: Treasury,
SL Agency Shares

    

0.02%c,d

     48,007        48,007   
   

 

 

  
      107,961   
   

 

 

  

TOTAL SHORT-TERM INVESTMENTS

  

  

(Cost: $107,961)

       107,961   
   

 

 

  

TOTAL INVESTMENTS
IN SECURITIES — 99.64%

    

(Cost: $66,908,651)

       63,580,280   

Other Assets, Less Liabilities — 0.36%

  

     230,189   
   

 

 

  

NET ASSETS — 100.00%

     $ 63,810,469   
   

 

 

  

SDR  —  Swedish Depositary Receipts

 

a 

Non-income earning security.

b 

All or a portion of this security represents a security on loan. See Note 1.

c 

Affiliated issuer. See Note 2.

d 

The rate quoted is the annualized seven-day yield of the fund at period end.

e 

All or a portion of this security represents an investment of securities lending collateral. See Note 1.

See accompanying notes to schedules of investments.

 

 

     3   

Schedule of Investments  (Unaudited)

iSHARES® ENHANCED INTERNATIONAL SMALL-CAP ETF

October 31, 2015

 

Security   Shares     Value  
   

COMMON STOCKS — 97.72%

  

AUSTRALIA — 4.21%

  

  

Cabcharge Australia Ltd.

     7,128      $ 14,341   

Estia Health Ltd.

     6,492        34,460   

Evolution Mining Ltd.

     206,376        206,871   

FlexiGroup Ltd./Australia

     6,666        14,553   

Genworth Mortgage Insurance Australia Ltd.

     3,564        6,865   

Iluka Resources Ltd.

     1,770        8,107   

Independence Group NL

     5,628        11,122   

McMillan Shakespeare Ltd.

     7,038        63,117   

Mineral Resources Ltd.

     27,476        83,900   

Northern Star Resources Ltd.

     43,092        84,854   

OZ Minerals Ltd.

     4,266        13,270   

Pact Group Holdings Ltd.

     2,094        7,664   

Sandfire Resources NL

     7,783        35,205   
   

 

 

  
      584,329   

AUSTRIA — 0.40%

    

Austria Technologie & Systemtechnik AG

     1,734        29,766   

EVN AG

     606        6,728   

S IMMO AG

     943        8,417   

UNIQA Insurance Group AG

     1,158        10,810   
   

 

 

  
      55,721   

BELGIUM — 4.15%

    

AGFA-Gevaert NVa

     30,318        129,743   

Cie. d’Entreprises CFE

     630        78,501   

Gimv NV

     288        13,594   

Intervest Offices & Warehouses NV

     312        7,927   

Mobistar SAa

     12,654        311,296   

Nyrstar NVa,b

     22,374        34,379   
   

 

 

  
      575,440   

CANADA — 7.98%

    

Amaya Inc.a

     4,398        98,223   

Artis REIT

     1,236        12,650   

Baytex Energy Corp.

     2,226        9,051   

Cogeco Cable Inc.

     2,132        110,042   

Dominion Diamond Corp.

     6,546        69,195   

Dream Office REIT

     1,308        20,984   

Granite REIT

     266        7,748   

Intertain Group Ltd. (The)a

     1,104        12,362   

Laurentian Bank of Canada

     4,776        193,362   

Mainstreet Equity Corp.a,b

     846        21,022   

Manitoba Telecom Services Inc.

     10,572        232,150   

Milestone Apartments REIT

     2,778        32,508   

Morguard REIT

     692        7,643   

NorthWest Healthcare Properties REIT

     1,608        10,520   

TMX Group Ltd.

     5,479        193,179   

Total Energy Services Inc.

     804        9,015   

Transcontinental Inc. Class A

     1,284        19,775   

Valener Inc.

     792        10,188   

Wajax Corp.

     577        10,580   
Security   Shares     Value  
   

Yellow Pages Ltd./Canadaa

     2,124      $ 27,484   
   

 

 

  
      1,107,681   

DENMARK — 4.73%

    

Bavarian Nordic A/Sa

     1,248        50,281   

Dfds A/S

     7,590        231,594   

IC Group A/S

     486        13,425   

NKT Holding A/S

     186        10,172   

Rockwool International A/S Class B

     1,460        229,666   

Royal Unibrew A/S

     1,194        47,451   

Schouw & Co.

     1,392        73,196   
   

 

 

  
      655,785   

FINLAND — 4.25%

    

Atria OYJ

     1,788        16,295   

Cramo OYJ

     2,526        46,599   

HKScan OYJ Class A

     3,441        13,912   

PKC Group OYJ

     618        11,435   

Ramirent OYJ

     4,231        33,090   

Sanoma OYJ

     25,326        111,626   

Sponda OYJ

     36,030        153,789   

Tieto OYJ

     6,212        160,093   

Valmet OYJ

     1,626        17,225   

YIT OYJb

     4,818        25,493   
   

 

 

  
      589,557   

FRANCE — 2.95%

    

Assystem

     492        10,326   

Cegedim SAa

     348        12,397   

Cegid Group SA

     588        27,800   

Cellectis SAa

     1,242        32,927   

Cie. des Alpes

     1,100        20,560   

MPI

     16,819        42,546   

Solocal Groupb

     856        7,008   

UBISOFT Entertainmenta

     8,472        255,256   
   

 

 

  
      408,820   

GERMANY — 5.37%

    

ADLER Real Estate AGa

     714        11,153   

Bauer AG

     804        17,052   

Borussia Dortmund GmbH & Co. KGaA

     20,054        89,718   

CENTROTEC Sustainable AG

     1,230        19,742   

CTS Eventim AG & Co. KGaA

     3,630        142,772   

Deutsche Beteiligungs AG

     852        24,329   

DIC Asset AG

     696        6,883   

Draegerwerk AG & Co. KGaA

     138        8,884   

Grammer AG

     354        9,493   

MLP AG

     4,986        21,761   

PATRIZIA Immobilien AGa

     3,379        93,371   

RHOEN-KLINIKUM AG

     10,002        299,862   
   

 

 

  
      745,020   

HONG KONG — 0.22%

    

SmarTone Telecommunications Holdings Ltd.

     12,000        21,367   

United Photovoltaics Group Ltd.a

     96,000        9,910   
   

 

 

  
      31,277   
 

 

4   

Schedule of Investments  (Unaudited) (Continued)

iSHARES® ENHANCED INTERNATIONAL SMALL-CAP ETF

October 31, 2015

 

Security   Shares     Value  
   

ISRAEL — 2.13%

  

Delek Automotive Systems Ltd.

     10,104      $ 95,825   

Ituran Location and Control Ltd.

     864        17,775   

Migdal Insurance & Financial Holding Ltd.

     7,380        6,724   

Oil Refineries Ltd.a

     280,626        102,809   

Tower Semiconductor Ltd.a

     5,310        72,728   
   

 

 

  
      295,861   

ITALY — 0.07%

    

Juventus Football Club SpAa

     35,106        10,118   
   

 

 

  
      10,118   

JAPAN — 30.89%

    

Achilles Corp.

     6,000        7,458   

Aderans Co. Ltd.

     1,200        8,433   

Aichi Corp.

     3,600        23,030   

Arcland Sakamoto Co. Ltd.

     1,200        26,352   

Asahi Diamond Industrial Co. Ltd.

     1,200        12,778   

Asahi Holdings Inc.

     2,400        35,520   

Avex Group Holdings Inc.

     1,200        14,220   

Cawachi Ltd.

     1,800        31,294   

CKD Corp.

     1,200        11,018   

COLOPL Inc.a,b

     6,600        108,674   

Comforia Residential REIT Inc.

     48        92,321   

Cosmo Energy Holdings Co. Ltd.a

     4,800        65,671   

Create Restaurants Holdings Inc.

     600        15,662   

Dip Corp.

     6,000        107,147   

Doshisha Co. Ltd.

     600        11,108   

Dydo Drinco Inc.

     1,200        51,411   

Enplas Corp.

     1,200        44,450   

Foster Electric Co. Ltd.

     4,800        119,528   

France Bed Holdings Co. Ltd.

     2,400        18,914   

Fuji Soft Inc.

     1,200        23,080   

Fujibo Holdings Inc.

     12,000        22,275   

G-Tekt Corp.

     3,400        42,347   

Geo Holdings Corp.

     18,000        270,727   

Godo Steel Ltd.

     6,000        10,590   

Heiwa Corp.

     1,200        22,255   

Heiwado Co. Ltd.

     1,200        27,137   

Hitachi Maxell Ltd.

     9,400        162,256   

Hokuetsu Bank Ltd. (The)

     6,000        12,579   

Hokuetsu Kishu Paper Co. Ltd.

     6,000        42,014   

Hokuto Corp.

     1,200        23,528   

Idemitsu Kosan Co. Ltd.

     16,800        276,902   

IwaiCosmo Holdings Inc.

     2,400        26,929   

J-Oil Mills Inc.

     12,000        34,804   

Japan Petroleum Exploration Co. Ltd.

     1,200        36,196   

Japan Rental Housing Investments Inc.

     12        8,055   

Juki Corp.

     1,200        15,025   

JVC Kenwood Corp.

     5,400        14,230   

Kamei Corp.

     3,600        36,186   

Kanamoto Co. Ltd.

     600        12,196   

Kanematsu Corp.

     12,000        19,988   

Kenedix Residential Investment Corp.

     19        48,809   

Kenedix Retail REIT Corp.

     12        23,518   

KEY Coffee Inc.

     600        9,646   

Kinugawa Rubber Industrial Co. Ltd.

     12,000        67,520   

Kohnan Shoji Co. Ltd.

     19,200        281,934   

Kura Corp.

     600        18,223   

Maruha Nichiro Corp.

     15,200        229,244   
Security   Shares     Value  
   

MCUBS MidCity Investment Corp.

     6      $ 17,253   

Megachips Corp.

     4,800        48,805   

Mimasu Semiconductor Industry Co. Ltd.

     1,200        11,376   

Ministop Co. Ltd.

     1,200        22,275   

Mitsubishi Steel Manufacturing Co. Ltd.

     12,000        23,170   

Morinaga Milk Industry Co. Ltd.

     12,000        54,692   

Musashi Seimitsu Industry Co. Ltd.

     1,200        24,502   

NEC Capital Solutions Ltd.

     600        8,696   

Nichiha Corp.

     1,200        16,308   

Nichii Gakkan Co.

     1,200        8,323   

Nikkon Holdings Co. Ltd.

     1,200        23,359   

Nippon Chemi-Con Corp.

     12,000        28,042   

Nippon Coke & Engineering Co. Ltd.

     23,400        19,585   

Nippon Koei Co. Ltd.

     6,000        24,313   

Nippon Signal Co. Ltd.

     1,200        12,539   

Nishimatsuya Chain Co. Ltd.

     1,800        16,005   

Nissha Printing Co. Ltd.

     1,200        26,312   

Nisshin OilliO Group Ltd. (The)

     12,000        44,748   

Nisshin Steel Co. Ltd.

     1,200        12,450   

Okinawa Electric Power Co. Inc. (The)

     1,800        44,435   

Pacific Industrial Co. Ltd.

     3,600        40,393   

Pioneer Corp.a

     3,000        8,129   

Press Kogyo Co. Ltd.

     12,000        51,908   

Prima Meat Packers Ltd.

     12,000        33,710   

Riso Kagaku Corp.

     1,200        21,927   

Saizeriya Co. Ltd.

     1,800        41,004   

Sanyo Shokai Ltd.

     12,000        35,202   

Senshu Ikeda Holdings Inc.

     9,600        41,606   

Shinko Electric Industries Co. Ltd.

     12,000        73,586   

Showa Corp.

     1,200        11,217   

Tachi-S Co. Ltd.

     1,200        16,885   

Taiho Kogyo Co. Ltd.

     1,800        20,942   

Taikisha Ltd.

     1,200        29,206   

Takata Corp.a

     1,200        13,713   

Tamron Co. Ltd.

     1,200        24,154   

Tatsuta Electric Wire and Cable Co. Ltd.

     2,400        9,208   

TOKAI Holdings Corp.

     4,800        20,445   

TOKO Inc.

     12,000        34,506   

Tokyo Seimitsu Co. Ltd.

     600        13,380   

Tokyo TY Financial Group Inc.

     1,400        44,143   

TOPY Industries Ltd.

     12,000        27,247   

Toridoll.corp.

     1,200        15,294   

Towa Bank Ltd. (The)

     90,000        79,055   

TPR Co. Ltd.

     1,200        29,623   

Tsukuba Bank Ltd.

     4,200        14,861   

UKC Holdings Corp.

     3,600        72,612   

Unipres Corp.

     5,800        133,134   

United Super Markets Holdings Inc.

     2,400        21,042   

Warabeya Nichiyo Co. Ltd.

     1,800        35,321   

WATAMI Co. Ltd.a,b

     1,200        8,443   

Yahagi Construction Co. Ltd.

     1,200        10,372   

Yellow Hat Ltd.

     1,200        26,541   

Yorozu Corp.

     5,400        116,211   
   

 

 

  
      4,285,390   

NETHERLANDS — 1.77%

    

ASM International NV

     2,652        101,962   

Fugro NV CVAa

     7,507        143,048   
   

 

 

  
      245,010   
 

 

     5   

Schedule of Investments  (Unaudited) (Continued)

iSHARES® ENHANCED INTERNATIONAL SMALL-CAP ETF

October 31, 2015

 

Security   Shares     Value  
   

NEW ZEALAND — 3.13%

    

Air New Zealand Ltd.

     9,024      $ 17,767   

Fletcher Building Ltd.

     57,126        288,340   

Ryman Healthcare Ltd.

     24,048        128,377   
   

 

 

  
      434,484   

NORWAY — 2.82%

    

Akastor ASAa

     5,814        7,627   

BW LPG Ltd.c

     1,530        10,433   

BW Offshore Ltd.

     30,048        12,571   

Det Norske Oljeselskap ASAa,b

     1,476        9,096   

Fred Olsen Energy ASAa

     13,788        64,118   

Petroleum Geo-Services ASA

     4,566        19,091   

TGS Nopec Geophysical Co. ASAb

     13,575        268,715   
   

 

 

  
      391,651   

SINGAPORE — 2.91%

    

AIMS AMP Capital Industrial REIT

     36,000        35,987   

Cambridge Industrial Trust

     103,200        44,950   

Far East Hospitality Trust

     30,000        14,352   

First REIT

     18,000        15,937   

k1 Ventures Ltd.

     55,200        7,883   

Noble Group Ltd.b

     789,600        284,718   
   

 

 

  
      403,827   

SPAIN — 0.08%

    

Tubacex SA

     4,956        10,703   
   

 

 

  
      10,703   

SWEDEN — 1.49%

    

Bure Equity AB

     3,060        19,911   

Haldex AB

     1,440        13,949   

Hemfosa Fastigheter AB

     660        7,209   

Industrial & Financial Systems Class B

     552        21,486   

Industrivarden AB Class C

     2,148        39,338   

NetEnt AB

     282        16,141   

Nolato AB Class B

     2,266        62,582   

Tethys Oil AB

     4,194        26,055   
   

 

 

  
      206,671   

SWITZERLAND — 3.52%

    

Autoneum Holding AG

     630        116,126   

BKW AG

     1,164        44,340   

Cosmo Pharmaceuticals SAa

     84        12,944   

Emmi AG

     126        57,168   

Intershop Holdings AG

     132        56,174   

Mobilezone Holding AG

     7,940        118,003   

St Galler Kantonalbank AG Registered

     96        34,816   

Swissquote Group Holding SA Registered

     360        8,692   

Vetropack Holding AG Bearer

     12        18,504   

Zehnder Group AG

     648        22,153   
   

 

 

  
      488,920   

UNITED KINGDOM — 14.65%

    

Bank of Georgia Holdings PLC

     420        12,973   

Beazley PLC

     13,548        76,078   
Security   Shares     Value  
   

Berendsen PLC

     5,202      $ 82,348   

Big Yellow Group PLC

     1,644        19,042   

Cape PLC

     5,418        19,245   

Carillion PLC

     2,460        11,607   

Centamin PLC

     69,288        68,057   

Chesnara PLC

     2,568        12,929   

Dairy Crest Group PLC

     7,080        70,417   

Dart Group PLC

     15,672        114,545   

De La Rue PLC

     1,824        13,043   

Debenhams PLC

     178,962        247,230   

Devro PLC

     2,922        12,816   

EnQuest PLCa

     21,231        8,853   

Entertainment One Ltd.

     3,202        10,865   

Fenner PLC

     3,438        8,084   

FirstGroup PLCa

     17,424        26,035   

Globo PLCa,b

     58,128        12,680   

Go-Ahead Group PLC

     432        16,179   

Greencore Group PLC

     3,654        17,043   

Greggs PLC

     4,266        78,270   

GVC Holdings PLCb

     1,371        8,438   

Halfords Group PLC

     1,992        13,379   

Innovation Group PLC

     62,520        38,381   

Intermediate Capital Group PLC

     1,912        16,713   

Interserve PLC

     1,584        13,614   

Kcom Group PLC

     9,066        12,181   

Laird PLC

     2,772        14,509   

Lancashire Holdings Ltd.

     18,492        203,483   

LondonMetric Property PLC

     9,426        24,631   

Mitie Group PLC

     20,670        102,600   

Moneysupermarket.com Group PLC

     5,082        26,230   

Morgan Advanced Materials PLC

     2,712        11,719   

Northgate PLC

     28,309        177,242   

Ophir Energy PLCa

     7,302        10,820   

Optimal Payments PLCa

     7,764        36,452   

Pace PLC

     20,022        115,215   

Paragon Group of Companies PLC (The)

     4,218        27,360   

Premier Farnell PLC

     6,864        10,601   

QinetiQ Group PLC

     6,132        21,213   

Restaurant Group PLC (The)

     1,416        15,680   

Shanks Group PLC

     11,298        16,533   

SOCO International PLC

     4,590        12,547   

Speedy Hire PLC

     14,286        6,674   

Spirent Communications PLC

     8,634        9,801   

Synergy Health PLC

     2,076        74,544   

Trinity Mirror PLC

     9,150        24,094   

TT electronics PLC

     10,074        19,876   

Vesuvius PLC

     2,076        11,456   

Xchanging PLC

     7,044        18,276   
   

 

 

  
      2,032,601   
   

 

 

  

TOTAL COMMON STOCKS
(Cost: $13,321,589)

   

     13,558,866   
 

 

6   

Schedule of Investments  (Unaudited) (Continued)

iSHARES® ENHANCED INTERNATIONAL SMALL-CAP ETF

October 31, 2015

 

Security   Shares     Value  
   

PREFERRED STOCKS — 1.92%

  

ITALY — 1.92%

    

Intesa Sanpaolo SpA RSP

     83,022      $ 266,510   
   

 

 

  
      266,510   
   

 

 

  

TOTAL PREFERRED STOCKS

    

(Cost: $268,949)

       266,510   

RIGHTS — 0.00%

  

FRANCE — 0.00%

  

Euro Disney SCAa

     2,236        —   
   

 

 

  
      —   
   

 

 

  

TOTAL RIGHTS

    

(Cost: $0)

       —   

SHORT-TERM INVESTMENTS — 4.72%

  

MONEY MARKET FUNDS — 4.72%

  

BlackRock Cash Funds: Institutional,
SL Agency Shares

    

0.19%d,e,f

     618,115        618,115   

BlackRock Cash Funds: Prime,
SL Agency Shares

    

0.19%d,e,f

     31,984        31,984   

BlackRock Cash Funds: Treasury,
SL Agency Shares

    

0.02%d,e

     4,287        4,287   
   

 

 

  
      654,386   
   

 

 

  

TOTAL SHORT-TERM INVESTMENTS

  

  

(Cost: $654,386)

       654,386   
   

 

 

  

TOTAL INVESTMENTS IN SECURITIES — 104.36%

   

  

(Cost: $14,244,924)

       14,479,762   

Other Assets, Less Liabilities — (4.36)%

  

     (605,073 ) 
   

 

 

  

NET ASSETS — 100.00%

  

   $ 13,874,689   
   

 

 

  

 

a Non-income earning security.
b All or a portion of this security represents a security on loan. See Note 1.
c This security may be resold to qualified institutional buyers under Rule 144A of the Securities Act of 1933.
d Affiliated issuer. See Note 2.
e The rate quoted is the annualized seven-day yield of the fund at period end.
f All or a portion of this security represents an investment of securities lending collateral. See Note 1.

See accompanying notes to schedules of investments.

    

 

 

     7   

Schedule of Investments  (Unaudited)

iSHARES® ENHANCED U.S. LARGE-CAP ETF

October 31, 2015

 

Security   Shares     Value  
   

COMMON STOCKS — 99.59%

    

AEROSPACE & DEFENSE — 2.77%

  

  

General Dynamics Corp.

     11,180      $ 1,661,124   

L-3 Communications Holdings Inc.

     3,532        446,445   
   

 

 

  
      2,107,569   

AIR FREIGHT & LOGISTICS — 1.54%

  

  

FedEx Corp.

     7,482        1,167,566   
   

 

 

  
      1,167,566   

AIRLINES — 1.82%

  

  

Allegiant Travel Co.

     7,003        1,382,742   
   

 

 

  
      1,382,742   

BANKS — 1.38%

  

  

JPMorgan Chase & Co.

     16,278        1,045,862   
   

 

 

  
      1,045,862   

BEVERAGES — 0.08%

  

  

Molson Coors Brewing Co. Class B

     708        62,375   
   

 

 

  
      62,375   

CHEMICALS — 0.11%

  

  

Mosaic Co. (The)

     2,493        84,239   
   

 

 

  
      84,239   

COMMUNICATIONS EQUIPMENT — 2.80%

  

  

Cisco Systems Inc.

     52,484        1,514,164   

F5 Networks Inc.a

     5,566        613,373   
   

 

 

  
      2,127,537   

CONSTRUCTION & ENGINEERING — 0.10%

  

  

Jacobs Engineering Group Inc.a

     1,880        75,463   
   

 

 

  
      75,463   

DIVERSIFIED FINANCIAL SERVICES — 2.06%

  

  

CBOE Holdings Inc.

     16,455        1,103,143   

CME Group Inc./IL

     2,510        237,120   

FactSet Research Systems Inc.

     321        56,213   

Nasdaq Inc.

     2,901        167,939   
   

 

 

  
      1,564,415   

DIVERSIFIED TELECOMMUNICATION
SERVICES — 1.73%

   

  

AT&T Inc.

     39,239        1,314,899   
   

 

 

  
      1,314,899   
Security   Shares     Value  
   

ELECTRIC UTILITIES — 2.04%

  

  

Great Plains Energy Inc.

     3,431      $ 94,352   

Pinnacle West Capital Corp.

     21,052        1,337,013   

Xcel Energy Inc.

     3,392        120,857   
   

 

 

  
      1,552,222   

ELECTRICAL EQUIPMENT — 0.07%

  

  

Regal Beloit Corp.

     786        50,139   
   

 

 

  
      50,139   

ELECTRONIC EQUIPMENT, INSTRUMENTS & COMPONENTS — 2.85%

   

  

Avnet Inc.

     2,263        102,808   

Corning Inc.

     73,021        1,358,191   

Ingram Micro Inc. Class A

     14,273        425,050   

Jabil Circuit Inc.

     12,148        279,161   
   

 

 

  
      2,165,210   

ENERGY EQUIPMENT & SERVICES — 4.18%

  

  

Helmerich & Payne Inc.

     7,687        432,547   

National Oilwell Varco Inc.

     35,143        1,322,783   

Schlumberger Ltd.

     18,222        1,424,232   
   

 

 

  
      3,179,562   

FOOD & STAPLES RETAILING — 1.78%

  

  

CVS Health Corp.

     1,833        181,064   

Wal-Mart Stores Inc.

     20,544        1,175,938   
   

 

 

  
      1,357,002   

FOOD PRODUCTS — 2.43%

  

  

Archer-Daniels-Midland Co.

     29,842        1,362,586   

Bunge Ltd.

     3,375        246,240   

Hormel Foods Corp.

     2,084        140,774   

JM Smucker Co. (The)

     857        100,603   
   

 

 

  
      1,850,203   

GAS UTILITIES — 0.50%

  

  

Atmos Energy Corp.

     5,455        343,665   

Piedmont Natural Gas Co. Inc.

     598        34,271   
   

 

 

  
      377,936   

HEALTH CARE EQUIPMENT &
SUPPLIES — 4.77%

   

  

Abbott Laboratories

     20,282        908,634   

Becton Dickinson and Co.

     1,699        242,141   

CR Bard Inc.

     7,586        1,413,651   

Medtronic PLC

     1,266        93,583   

Stryker Corp.

     10,137        969,300   
   

 

 

  
      3,627,309   

HEALTH CARE PROVIDERS &
SERVICES — 3.71%

   

  

Aetna Inc.

     1,060        121,667   

AmerisourceBergen Corp.

     11,384        1,098,670   

Anthem Inc.

     9,321        1,297,017   

Cardinal Health Inc.

     1,177        96,749   
 

 

8   

Schedule of Investments  (Unaudited) (Continued)

iSHARES® ENHANCED U.S. LARGE-CAP ETF

October 31, 2015

 

Security   Shares     Value  
   

Centene Corp.a,b

     2,698      $ 160,477   

Cigna Corp.

     325        43,563   
   

 

 

  
      2,818,143   

HOTELS, RESTAURANTS & LEISURE — 1.89%

  

Carnival Corp.

     23,417        1,266,391   

Panera Bread Co. Class Aa

     975        172,936   
   

 

 

  
      1,439,327   

HOUSEHOLD PRODUCTS — 0.80%

  

Procter & Gamble Co. (The)

     8,005        611,422   
   

 

 

  
      611,422   

INSURANCE — 14.88%

  

ACE Ltd.

     13,883        1,576,276   

Aflac Inc.

     24,210        1,543,387   

Allied World Assurance Co. Holdings AG

     24,452        889,075   

American Financial Group Inc./OH

     3,682        265,804   

Axis Capital Holdings Ltd.

     20,142        1,087,668   

Lincoln National Corp.

     5,650        302,331   

Loews Corp.

     25,317        923,058   

MetLife Inc.

     7,608        383,291   

PartnerRe Ltd.

     4,183        581,437   

Principal Financial Group Inc.

     5,596        280,695   

Prudential Financial Inc.

     11,478        946,935   

Reinsurance Group of America Inc.

     17,103        1,543,375   

Torchmark Corp.

     7,301        423,531   

Travelers Companies Inc. (The)

     3,964        447,496   

Validus Holdings Ltd.

     2,674        118,458   
   

 

 

  
      11,312,817   

INTERNET & CATALOG RETAIL — 2.10%

  

Amazon.com Inc.a

     2,547        1,594,167   
   

 

 

  
      1,594,167   

INTERNET SOFTWARE & SERVICES — 3.27%

  

Akamai Technologies Inc.a

     1,598        97,190   

Alphabet Inc. Class Aa

     1,147        845,786   

Alphabet Inc. Class Ca

     1,201        853,683   

eBay Inc.a

     24,813        692,283   
   

 

 

  
      2,488,942   

IT SERVICES — 3.92%

  

Amdocs Ltd.

     15,329        913,148   

Automatic Data Processing Inc.

     2,134        185,637   

Jack Henry & Associates Inc.

     379        29,312   

PayPal Holdings Inc.a

     24,813        893,516   

Teradata Corp.a

     4,265        119,889   

Total System Services Inc.

     13,395        702,568   

Xerox Corp.

     14,728        138,296   
   

 

 

  
      2,982,366   

MACHINERY — 0.30%

  

AGCO Corp.

     4,674        226,175   
   

 

 

  
      226,175   
Security   Shares     Value  
   

MULTI-UTILITIES — 6.08%

  

Alliant Energy Corp.

     3,713      $ 219,141   

Consolidated Edison Inc.

     17,677        1,162,263   

DTE Energy Co.

     17,980        1,466,988   

PG&E Corp.

     23,716        1,266,435   

Public Service Enterprise Group Inc.

     12,370        510,757   
   

 

 

  
      4,625,584   

MULTILINE RETAIL — 0.82%

  

Target Corp.

     8,075        623,229   
   

 

 

  
      623,229   

OIL, GAS & CONSUMABLE FUELS — 1.30%

  

Chevron Corp.

     3,249        295,269   

EOG Resources Inc.

     8,069        692,724   
   

 

 

  
      987,993   

PHARMACEUTICALS — 3.59%

  

Eli Lilly & Co.

     3,328        271,465   

Johnson & Johnson

     15,328        1,548,588   

Pfizer Inc.

     26,788        905,970   
   

 

 

  
      2,726,023   

ROAD & RAIL — 0.14%

  

Ryder System Inc.

     1,471        105,588   
   

 

 

  
      105,588   

SEMICONDUCTORS & SEMICONDUCTOR
EQUIPMENT — 4.99%

   

Broadcom Corp. Class A

     14,269        733,427   

First Solar Inc.a

     948        54,102   

Intel Corp.

     51,007        1,727,097   

Maxim Integrated Products Inc.

     1,786        73,190   

Skyworks Solutions Inc.

     15,641        1,208,111   
   

 

 

  
      3,795,927   

SOFTWARE — 5.13%

  

Citrix Systems Inc.a

     6,299        517,148   

Intuit Inc.

     7,117        693,409   

Microsoft Corp.

     34,644        1,823,660   

Red Hat Inc.a

     960        75,946   

VMware Inc. Class Aa

     13,134        790,010   
   

 

 

  
      3,900,173   

SPECIALTY RETAIL — 6.43%

  

Bed Bath & Beyond Inc.a

     7,898        470,958   

GameStop Corp. Class Ab

     24,828        1,143,826   

O’Reilly Automotive Inc.a

     5,455        1,506,998   

Ross Stores Inc.

     5,480        277,178   

TJX Companies Inc. (The)

     20,410        1,493,808   
   

 

 

  
      4,892,768   

TECHNOLOGY HARDWARE, STORAGE &
PERIPHERALS — 5.72%

   

Apple Inc.

     13,146        1,570,947   
 

 

     9   

Schedule of Investments  (Unaudited) (Continued)

iSHARES® ENHANCED U.S. LARGE-CAP ETF

October 31, 2015

 

Security   Shares     Value  
   

EMC Corp./MA

     57,145        1,498,342   

Western Digital Corp.

     19,112        1,277,064   
   

 

 

  
    4,346,353   

TEXTILES, APPAREL & LUXURY GOODS — 1.51%

  

Coach Inc.

     7,675        239,460   

NIKE Inc. Class B

     6,943        909,741   
   

 

 

  
    1,149,201   
   

 

 

  

TOTAL COMMON STOCKS

  

  

(Cost: $68,542,191)

  

     75,718,448   

SHORT-TERM INVESTMENTS — 1.97%

  

MONEY MARKET FUNDS — 1.97%

  

BlackRock Cash Funds: Institutional,
SL Agency Shares

   

  

0.19%c,d,e

     1,215,358        1,215,358   

BlackRock Cash Funds: Prime,
SL Agency Shares

   

  

0.19%c,d,e

     62,887        62,887   

BlackRock Cash Funds: Treasury,
SL Agency Shares

    

0.02%c,d

     220,327        220,327   
   

 

 

  
    1,498,572   
   

 

 

  

TOTAL SHORT-TERM INVESTMENTS

  

  

(Cost: $1,498,572)

  

     1,498,572   
   

 

 

  

TOTAL INVESTMENTS
IN SECURITIES — 101.56%

    

(Cost: $70,040,763)

  

     77,217,020   

Other Assets, Less Liabilities — (1.56)%

  

     (1,186,595 ) 
   

 

 

  

NET ASSETS — 100.00%

     $ 76,030,425   
   

 

 

  

 

a  Non-income earning security.
b  All or a portion of this security represents a security on loan. See Note 1.
c  Affiliated issuer. See Note 2.
d  The rate quoted is the annualized seven-day yield of the fund at period end.
e  All or a portion of this security represents an investment of securities lending collateral. See Note 1.

See accompanying notes to schedules of investments.

 

 

10   

Schedule of Investments  (Unaudited)

iSHARES® ENHANCED U.S. SMALL-CAP ETF

October 31, 2015

 

Security   Shares     Value  
   

COMMON STOCKS — 99.77%

  

AEROSPACE & DEFENSE — 1.19%

  

BWX Technologies Inc.

     6,717      $ 190,091   

National Presto Industries Inc.

     987        86,905   
   

 

 

  
      276,996   

BANKS — 5.13%

  

1st Source Corp.

     614        19,501   

American National Bankshares Inc.

     885        22,302   

Arrow Financial Corp.

     1,145        31,602   

BancFirst Corp.

     244        15,038   

Bank of Marin Bancorp

     450        23,931   

Camden National Corp.

     501        19,584   

City Holding Co.

     429        20,519   

CNB Financial Corp./PA

     885        16,443   

Community Trust Bancorp Inc.

     1,334        45,983   

First Financial Corp./IN

     1,080        37,012   

First Interstate BancSystem Inc.

     14,139        400,982   

First of Long Island Corp. (The)

     630        17,495   

Great Southern Bancorp Inc.

     495        23,923   

Great Western Bancorp Inc.

     1,086        30,690   

Heritage Financial Corp./WA

     2,446        45,055   

Horizon Bancorp/IN

     755        19,706   

Lakeland Financial Corp.

     771        34,641   

Merchants Bancshares Inc./VT

     495        15,602   

Renasant Corp.

     703        24,345   

S&T Bancorp Inc.

     540        17,215   

Simmons First National Corp. Class A

     1,503        77,465   

State Bank Financial Corp.

     1,823        39,012   

Stock Yards Bancorp Inc.

     824        31,048   

Suffolk Bancorp

     961        28,724   

Tompkins Financial Corp.

     366        19,867   

Triumph Bancorp Inc.a

     1,456        24,301   

Trustmark Corp.

     2,084        50,079   

Univest Corp. of Pennsylvania

     735        14,472   

WesBanco Inc.

     679        22,169   
   

 

 

  
      1,188,706   

BIOTECHNOLOGY — 0.58%

  

Ardelyx Inc.a

     2,389        39,132   

Kite Pharma Inc.a,b

     1,011        68,798   

Ophthotech Corp.a,b

     283        14,130   

Radius Health Inc.a

     199        12,782   
   

 

 

  
      134,842   

BUILDING PRODUCTS — 0.05%

  

AAON Inc.

     564        11,545   
   

 

 

  
      11,545   

CAPITAL MARKETS — 3.51%

  

Artisan Partners Asset Management Inc.

     1,140        43,605   

Diamond Hill Investment Group Inc.

     813        162,641   

GAMCO Investors Inc. Class A

     215        12,401   

Greenhill & Co. Inc.

     647        16,705   
Security   Shares     Value  
   

Moelis & Co. Class A

     14,679      $ 432,737   

WisdomTree Investments Inc.

     7,577        145,706   
   

 

 

  
      813,795   

CHEMICALS — 0.61%

  

Cabot Corp.

     2,955        106,203   

Hawkins Inc.

     872        36,135   
   

 

 

  
      142,338   

COMMERCIAL SERVICES & SUPPLIES — 2.09%

  

Ennis Inc.

     19,093        382,433   

Kimball International Inc. Class B

     4,440        48,485   

McGrath RentCorp

     660        19,833   

Quad/Graphics Inc.

     905        11,674   

UniFirst Corp./MA

     204        21,434   
   

 

 

  
      483,859   

COMMUNICATIONS EQUIPMENT — 1.93%

  

Black Box Corp.

     968        11,819   

EchoStar Corp. Class Aa

     8,148        365,275   

ViaSat Inc.a

     1,051        69,324   
   

 

 

  
      446,418   

CONSTRUCTION & ENGINEERING — 2.09%

  

Argan Inc.

     12,216        451,381   

MasTec Inc.a

     1,988        33,339   
   

 

 

  
      484,720   

CONSUMER FINANCE — 2.57%

  

Cash America International Inc.

     15,732        543,226   

Ezcorp Inc. Class Aa,b

     7,839        52,208   
   

 

 

  
      595,434   

DISTRIBUTORS — 0.28%

  

Core-Mark Holding Co. Inc.

     641        52,107   

VOXX International Corp.a

     2,290        11,816   
   

 

 

  
      63,923   

DIVERSIFIED CONSUMER SERVICES — 0.75%

  

Apollo Education Group Inc.a

     5,830        42,326   

Capella Education Co.

     2,042        92,196   

Steiner Leisure Ltd.a

     255        16,157   

Strayer Education Inc.a

     440        23,285   
   

 

 

  
      173,964   

DIVERSIFIED TELECOMMUNICATION SERVICES — 0.16%

  

Inteliquent Inc.

     1,774        36,757   
   

 

 

  
      36,757   

ELECTRIC UTILITIES — 3.02%

  

ALLETE Inc.

     328        16,469   

El Paso Electric Co.

     6,419        248,223   

Empire District Electric Co. (The)

     5,516        124,386   

IDACORP Inc.

     1,879        125,611   
 

 

     11   

Schedule of Investments  (Unaudited) (Continued)

iSHARES® ENHANCED U.S. SMALL-CAP ETF

October 31, 2015

 

Security   Shares     Value  
   

MGE Energy Inc.

     2,933      $ 121,045   

Unitil Corp.

     1,794        63,633   
   

 

 

  
      699,367   

ELECTRONIC EQUIPMENT, INSTRUMENTS &
COMPONENTS — 2.38%

   

AVX Corp.

     1,652        22,302   

Benchmark Electronics Inc.a

     4,464        88,298   

Dolby Laboratories Inc. Class A

     4,922        170,646   

Mesa Laboratories Inc.

     145        16,218   

Methode Electronics Inc.

     1,514        50,462   

Multi-Fineline Electronix Inc.a,b

     674        12,523   

PC Connection Inc.

     821        19,080   

ScanSource Inc.a

     908        31,335   

Tech Data Corp.a

     1,682        122,433   

TTM Technologies Inc.a

     2,534        18,498   
   

 

 

  
      551,795   

ENERGY EQUIPMENT & SERVICES — 2.91%

  

Atwood Oceanics Inc.

     7,126        117,935   

Diamond Offshore Drilling Inc.

     3,239        64,391   

Matrix Service Co.a

     4,575        103,852   

Natural Gas Services Group Inc.a

     990        22,295   

Oil States International Inc.a

     7,152        214,632   

Patterson-UTI Energy Inc.

     1,007        14,994   

Rowan Companies PLC Class A

     1,739        34,224   

Unit Corp.a

     8,020        101,132   
   

 

 

  
      673,455   

FOOD & STAPLES RETAILING — 1.82%

  

Fresh Market Inc. (The)a,b

     13,002        324,010   

SpartanNash Co.

     2,550        71,145   

Weis Markets Inc.

     661        27,193   
   

 

 

  
      422,348   

FOOD PRODUCTS — 1.12%

  

Fresh Del Monte Produce Inc.

     3,514        160,344   

John B Sanfilippo & Son Inc.

     788        50,999   

Omega Protein Corp.a

     2,686        48,885   
   

 

 

  
      260,228   

GAS UTILITIES — 1.40%

  

Chesapeake Utilities Corp.

     2,819        147,180   

New Jersey Resources Corp.

     1,513        47,932   

Northwest Natural Gas Co.

     2,688        128,406   
   

 

 

  
      323,518   

HEALTH CARE EQUIPMENT & SUPPLIES — 3.58%

  

CryoLife Inc.

     1,455        15,336   

Exactech Inc.a

     731        12,449   

Hill-Rom Holdings Inc.

     8,600        453,134   

ICU Medical Inc.a

     1,846        203,005   

LivaNova PLCb

     526        34,863   

Natus Medical Inc.a

     589        26,817   

Vascular Solutions Inc.a

     2,616        84,026   
   

 

 

  
      829,630   
Security   Shares     Value  
   

HEALTH CARE PROVIDERS & SERVICES — 3.18%

  

Addus HomeCare Corp.a

     1,305      $ 32,599   

Almost Family Inc.a,b

     1,170        48,415   

BioTelemetry Inc.a

     2,118        27,576   

LHC Group Inc.a

     1,770        79,765   

Magellan Health Inc.a

     2,095        111,873   

Triple-S Management Corp. Class Ba

     20,061        413,056   

U.S. Physical Therapy Inc.

     510        25,021   
   

 

 

  
      738,305   

HEALTH CARE TECHNOLOGY — 0.07%

  

Quality Systems Inc.

     1,156        16,242   
   

 

 

  
      16,242   

HOTELS, RESTAURANTS & LEISURE — 3.40%

  

Bob Evans Farms Inc./DE

     1,333        57,679   

Cheesecake Factory Inc. (The)

     2,328        112,210   

Hyatt Hotels Corp. Class Aa,b

     8,571        431,978   

Red Robin Gourmet Burgers Inc.a

     161        12,057   

Texas Roadhouse Inc.

     5,053        173,571   
   

 

 

  
      787,495   

HOUSEHOLD DURABLES — 0.26%

  

CSS Industries Inc.

     2,204        60,169   
   

 

 

  
      60,169   

INSURANCE — 10.46%

  

American National Insurance Co.

     3,675        379,554   

AMERISAFE Inc.

     314        17,185   

Aspen Insurance Holdings Ltd.

     5,556        270,077   

EMC Insurance Group Inc.

     1,816        45,400   

FBL Financial Group Inc. Class A

     1,081        67,995   

Federated National Holding Co.

     2,221        68,373   

Fidelity & Guaranty Life

     764        20,399   

HCI Group Inc.

     686        29,916   

Heritage Insurance Holdings Inc.a

     19,588        433,287   

Horace Mann Educators Corp.

     8,087        276,899   

Kansas City Life Insurance Co.

     1,863        91,343   

Maiden Holdings Ltd.

     11,057        171,936   

National Western Life Group Inc.

     791        204,070   

Navigators Group Inc. (The)a,b

     1,116        95,251   

OneBeacon Insurance Group Ltd. Class A

     845        12,160   

United Fire Group Inc.

     1,633        60,731   

Universal Insurance Holdings Inc.

     5,712        180,214   
   

 

 

  
      2,424,790   

INTERNET & CATALOG RETAIL — 3.22%

  

1-800-Flowers.com Inc. Class Aa,b

     49,510        491,634   

NutriSystem Inc.

     8,072        186,705   

Overstock.com Inc.a

     845        13,233   

PetMed Express Inc.

     3,297        55,456   
   

 

 

  
      747,028   

INTERNET SOFTWARE & SERVICES — 3.12%

  

Carbonite Inc.a

     1,311        13,267   

comScore Inc.a,b

     531        22,716   
 

 

12   

Schedule of Investments  (Unaudited) (Continued)

iSHARES® ENHANCED U.S. SMALL-CAP ETF

October 31, 2015

 

Security   Shares     Value  
   

Envestnet Inc.a,b

     1,521      $ 45,417   

Liquidity Services Inc.a,b

     6,130        50,205   

LogMeIn Inc.a

     7,515        506,211   

Shutterstock Inc.a,b

     1,785        50,837   

Stamps.com Inc.a

     269        20,339   

Wix.com Ltd.a

     610        13,493   
   

 

 

  
      722,485   

IT SERVICES — 2.37%

  

CACI International Inc. Class Aa

     409        39,689   

CSG Systems International Inc.

     1,605        53,800   

ManTech International Corp./VA Class A

     15,207        439,482   

Sykes Enterprises Inc.a

     554        16,066   
   

 

 

  
      549,037   

LEISURE PRODUCTS — 0.31%

  

Johnson Outdoors Inc. Class A

     798        17,101   

Sturm Ruger & Co. Inc.

     607        34,562   

Vista Outdoor Inc.a

     476        21,287   
   

 

 

  
      72,950   

MACHINERY — 2.03%

  

Briggs & Stratton Corp.

     888        15,780   

Chart Industries Inc.a,b

     662        11,380   

Kennametal Inc.

     14,391        404,675   

LB Foster Co. Class A

     2,600        38,298   
   

 

 

  
      470,133   

MEDIA — 1.12%

  

Harte-Hanks Inc.

     4,140        17,595   

Martha Stewart Living Omnimedia Inc. Class Aa

     18,374        110,979   

Rentrak Corp.a

     1,036        57,166   

Scholastic Corp.

     1,418        57,954   

Sizmek Inc.a

     2,827        16,764   
   

 

 

  
      260,458   

METALS & MINING — 0.49%

  

Kaiser Aluminum Corp.

     1,095        89,013   

Schnitzer Steel Industries Inc. Class A

     1,489        25,104   
   

 

 

  
      114,117   

MULTILINE RETAIL — 0.22%

  

Big Lots Inc.

     461        21,252   

Fred’s Inc. Class A

     2,100        29,043   
   

 

 

  
      50,295   

OIL, GAS & CONSUMABLE FUELS — 0.38%

  

Denbury Resources Inc.

     12,209        43,220   

Energy XXI Ltd.b

     13,461        23,288   

Matador Resources Co.a,b

     816        20,979   
   

 

 

  
      87,487   

PERSONAL PRODUCTS — 2.14%

  

Medifast Inc.a

     4,926        137,780   

Nutraceutical International Corp.a

     795        19,478   
Security   Shares     Value  
   

USANA Health Sciences Inc.a

     2,638      $ 339,247   
   

 

 

  
      496,505   

PHARMACEUTICALS — 0.83%

  

SciClone Pharmaceuticals Inc.a

     25,284        192,664   
   

 

 

  
      192,664   

PROFESSIONAL SERVICES — 2.87%

  

Barrett Business Services Inc.

     1,528        74,842   

CRA International Inc.a

     1,225        28,665   

ICF International Inc.a

     1,290        39,564   

Navigant Consulting Inc.a

     2,312        39,766   

RPX Corp.a

     31,590        449,842   

VSE Corp.

     555        31,890   
   

 

 

  
      664,569   

REAL ESTATE INVESTMENT TRUSTS (REITS) — 3.79%

  

Agree Realty Corp.

     769        24,900   

Care Capital Properties Inc.

     1,109        36,542   

Chesapeake Lodging Trust

     686        18,893   

Dynex Capital Inc.

     6,313        41,855   

EPR Propertiesb

     214        12,157   

MFA Financial Inc.b

     57,175        395,651   

Select Income REIT

     17,261        348,672   
   

 

 

  
      878,670   

ROAD & RAIL — 1.28%

  

Knight Transportation Inc.

     707        17,972   

Marten Transport Ltd.

     6,104        100,044   

Werner Enterprises Inc.

     6,780        179,399   
   

 

 

  
      297,415   

SEMICONDUCTORS & SEMICONDUCTOR EQUIPMENT — 6.24%

   

Advanced Energy Industries Inc.a

     630        17,816   

Alpha & Omega Semiconductor Ltd.a

     3,687        32,741   

Cirrus Logic Inc.a

     13,257        408,713   

Integrated Device Technology Inc.a

     7,643        194,896   

Integrated Silicon Solution Inc.

     870        19,558   

PMC-Sierra Inc.a

     26,904        320,696   

Synaptics Inc.a,b

     5,314        452,168   
   

 

 

  
      1,446,588   

SOFTWARE — 6.26%

  

AVG Technologies NVa

     10,790        255,723   

Gigamon Inc.a

     4,135        108,461   

HubSpot Inc.a

     292        15,149   

Imperva Inc.a

     3,938        278,101   

Infoblox Inc.a

     730        11,906   

Pegasystems Inc.

     14,813        413,135   

TeleCommunication Systems Inc. Class Aa

     12,974        53,064   

VirnetX Holding Corp.a,b

     6,703        25,471   

Zendesk Inc.a,b

     14,456        290,855   
   

 

 

  
      1,451,865   

SPECIALTY RETAIL — 3.61%

  

Ascena Retail Group Inc.a,b

     15,202        202,491   
 

 

     13   

Schedule of Investments  (Unaudited) (Continued)

iSHARES® ENHANCED U.S. SMALL-CAP ETF

October 31, 2015

 

Security   Shares     Value  
   

Children’s Place Inc. (The)

     7,250      $ 389,107   

Kirkland’s Inc.

     1,590        36,554   

Select Comfort Corp.a

     5,909        125,271   

Stage Stores Inc.

     2,222        21,620   

Tilly’s Inc. Class Aa

     6,671        48,632   

Winmark Corp.

     119        11,989   
   

 

 

  
    835,664   

TECHNOLOGY HARDWARE, STORAGE &
PERIPHERALS — 2.38%

   

Lexmark International Inc. Class A

     5,585        181,456   

Nimble Storage Inc.a

     14,048        317,485   

Stratasys Ltd.a,b

     2,082        53,091   
   

 

 

  
    552,032   

TEXTILES, APPAREL & LUXURY GOODS — 0.28%

  

Culp Inc.

     716        21,487   

Fossil Group Inc.a

     784        42,658   
   

 

 

  
    64,145   

THRIFTS & MORTGAGE FINANCE — 0.81%

  

First Defiance Financial Corp.

     1,485        56,876   

Meta Financial Group Inc.

     1,035        44,588   

Territorial Bancorp Inc.

     2,373        66,159   

United Financial Bancorp Inc.

     1,494        19,392   
   

 

 

  
    187,015   

WATER UTILITIES — 1.16%

    

American States Water Co.

     3,086        125,755   

Artesian Resources Corp. Class A

     1,170        28,501   

California Water Service Group

     1,817        40,628   

Connecticut Water Service Inc.

     515        18,957   

Middlesex Water Co.

     900        23,193   

York Water Co. (The)

     1,350        31,293   
   

 

 

  
    268,327   

WIRELESS TELECOMMUNICATION SERVICES — 0.32%

  

U.S. Cellular Corp.a

     1,817        74,025   
   

 

 

  
    74,025   
   

 

 

  

TOTAL COMMON STOCKS

  

  

(Cost: $22,328,133)

  

     23,124,113   

SHORT-TERM INVESTMENTS — 10.80%

  

MONEY MARKET FUNDS — 10.80%

  

BlackRock Cash Funds: Institutional,
SL Agency Shares

   

  

0.19%c,d,e

     2,351,270        2,351,270   

BlackRock Cash Funds: Prime,
SL Agency Shares

   

  

0.19%c,d,e

     121,664        121,664   
Security   Shares     Value  
   

BlackRock Cash Funds: Treasury,
SL Agency Shares

   

  

0.02%c,d

     30,563      $ 30,563   
   

 

 

  
    2,503,497   
   

 

 

  

TOTAL SHORT-TERM INVESTMENTS

  

  

(Cost: $2,503,497)

  

     2,503,497   
   

 

 

  

TOTAL INVESTMENTS
IN SECURITIES — 110.57%

   

  

(Cost: $24,831,630)

       25,627,610   

Other Assets, Less Liabilities — (10.57)%

  

     (2,449,419 ) 
   

 

 

  

NET ASSETS — 100.00%

  

   $ 23,178,191   
   

 

 

  

 

a  Non-income earning security.
b  All or a portion of this security represents a security on loan. See Note 1.
c  Affiliated issuer. See Note 2.
d  The rate quoted is the annualized seven-day yield of the fund at period end.
e  All or a portion of this security represents an investment of securities lending collateral. See Note 1.

See accompanying notes to schedules of investments.

 

 

14   

Notes to Schedules of Investments  (Unaudited)

iSHARES® U.S. ETF TRUST

 

iShares U.S. ETF Trust (the “Trust”) is registered under the Investment Company Act of 1940, as amended (the “1940 Act”), as an open-end management investment company. The Trust was established as a Delaware statutory trust pursuant to an Agreement and Declaration of Trust dated June 21, 2011.

These schedules of investments relate only to the following funds (each, a “Fund,” and collectively, the “Funds”):

 

iShares ETF

Enhanced International Large-Cap

Enhanced International Small-Cap

Enhanced U.S. Large-Cap

Enhanced U.S. Small-Cap

 

1. SIGNIFICANT ACCOUNTING POLICIES

SECURITY VALUATION

Each Fund’s investments are valued at fair value each day that the Fund’s listing exchange is open and, for financial reporting purposes, as of the report date should the reporting date end on a day that the Fund’s listing exchange is not open. Accounting principles generally accepted in the United States of America (“U.S. GAAP”) define fair value as the price a fund would receive to sell an asset or pay to transfer a liability in an orderly transaction between market participants at the measurement date. The BlackRock Global Valuation Methodologies Committee (the “Global Valuation Committee”) provides oversight of the valuation of investments for the Funds. The investments of each Fund are valued pursuant to policies and procedures developed by the Global Valuation Committee and approved by the Board of Trustees of the Trust (the “Board”).

 

  •  

Equity investments traded on a recognized securities exchange are valued at that day’s last reported trade price or the official closing price, as applicable, on the exchange where the stock is primarily traded. Equity investments traded on a recognized exchange for which there were no sales on that day are valued at the last traded price.

 

  •  

Open-end U.S. mutual funds are valued at that day’s published net asset value (“NAV”).

In the event that application of these methods of valuation results in a price for an investment which is deemed not to be representative of the fair value of such investment or if a price is not available, the investment will be valued based upon other available factors deemed relevant by the Global Valuation Committee, in accordance with policies approved by the Board. These factors include but are not limited to (i) attributes specific to the investment; (ii) the principal market for the investment; (iii) the customary participants in the principal market for the investment; (iv) data assumptions by market participants for the investment, if reasonably available; (v) quoted prices for similar investments in active markets; and (vi) other factors, such as future cash flows, interest rates, yield curves, volatilities, prepayment speeds, loss severities, credit risks and/or default rates. Valuations based on such factors are reported to the Board on a quarterly basis.

 

     15   

Notes to Schedules of Investments  (Unaudited) (Continued)

iSHARES® U.S. ETF TRUST

 

The Global Valuation Committee employs various methods for calibrating valuation approaches for investments where an active market does not exist, including regular due diligence of the Trust’s pricing vendors, a regular review of key inputs and assumptions, transactional back-testing or disposition analysis to compare unrealized gains and losses to realized gains and losses, reviews of missing or stale prices, reviews of large movements in market values, and reviews of market related activity.

Various inputs are used in determining the fair value of financial instruments. Inputs may be based on independent market data (“observable inputs”) or they may be internally developed (“unobservable inputs”). These inputs are categorized into a disclosure hierarchy consisting of three broad levels for financial reporting purposes. The level of a value determined for a financial instrument within the fair value hierarchy is based on the lowest level of any input that is significant to the fair value measurement in its entirety. The categorization of a value determined for a financial instrument within the hierarchy is based upon the pricing transparency of the instrument and is not necessarily an indication of the risk associated with investing in the instrument. The three levels of the fair value hierarchy are as follows:

 

  •  

Level 1 — Unadjusted quoted prices in active markets for identical assets or liabilities;

 

  •  

Level 2 — Inputs other than quoted prices included within Level 1 that are observable for the asset or liability either directly or indirectly, including quoted prices for similar assets or liabilities in active markets, quoted prices for identical or similar assets or liabilities in markets that are not considered to be active, inputs other than quoted prices that are observable for the asset or liability (such as exchange rates, financing terms, interest rates, yield curves, volatilities, prepayment speeds, loss severities, credit risks and default rates) or other market-corroborated inputs; and

 

  •  

Level 3 — Unobservable inputs for the asset or liability, including the Global Valuation Committee’s assumptions used in determining the fair value of investments.

Changes in valuation techniques may result in transfers in or out of an assigned level within the disclosure hierarchy. In accordance with the Trust’s policy, transfers between different levels of the fair value hierarchy are deemed to have occurred as of the beginning of the reporting period.

The following table summarizes the value of each of the Funds’ investments according to the fair value hierarchy as of October 31, 2015. The breakdown of each Fund’s investments into major categories is disclosed in its respective schedule of investments.

 

iShares ETF    Level 1      Level 2       Level 3      Total  

Enhanced International Large-Cap

           

Investments:

           

Assets:

           

Common Stocks

    $ 63,393,283       $ —       $ —      $ 63,393,283   

Preferred Stocks

      79,036         —         —        79,036   

Money Market Funds

      107,961         —         —        107,961   
  

 

 

     

 

 

     

 

 

    

 

 

  

Total

    $ 63,580,280       $ —       $ —      $ 63,580,280   
  

 

 

     

 

 

     

 

 

    

 

 

  

Enhanced International Small-Cap

           

Investments:

           

Assets:

           

Common Stocks

    $ 13,471,642       $ 74,544       $ 12,680      $ 13,558,866   

Preferred Stocks

      266,510         —         —        266,510   

Rights

      —         —         0 a      0 a 

Money Market Funds

      654,386         —         —        654,386   
  

 

 

     

 

 

     

 

 

    

 

 

  

Total

    $ 14,392,538       $ 74,544       $ 12,680      $ 14,479,762   
  

 

 

     

 

 

     

 

 

    

 

 

  

 

16   

Notes to Schedules of Investments (Unaudited) (Continued)

iSHARES® U.S. ETF TRUST

 

iShares ETF

 

    Investments  
   Level 1      Level 2       Level 3       Total  

Enhanced U.S. Large-Cap

            

Investments:

            

Assets:

            

Common Stocks

    $ 75,718,448       $ —       $ —       $ 75,718,448   

Money Market Funds

      1,498,572         —         —         1,498,572   
  

 

 

     

 

 

     

 

 

     

 

 

  

Total

    $ 77,217,020       $ —       $ —       $ 77,217,020   
  

 

 

     

 

 

     

 

 

     

 

 

  

Enhanced U.S. Small-Cap

            

Investments:

            

Assets:

            

Common Stocks

    $ 23,124,113       $ —       $ —       $ 23,124,113   

Money Market Funds

      2,503,497         —         —         2,503,497   
  

 

 

     

 

 

     

 

 

     

 

 

  

Total

    $ 25,627,610       $ —       $ —       $ 25,627,610   
  

 

 

     

 

 

     

 

 

     

 

 

  
                                     

 

  a   

Rounds to less than $1.

FOREIGN CURRENCY TRANSLATION

The accounting records of the Funds are maintained in U.S. dollars. Foreign currencies, as well as investment securities and other assets and liabilities denominated in foreign currencies, are translated into U.S. dollars using exchange rates deemed appropriate by the investment adviser. Purchases and sales of securities, income receipts and expense payments are translated into U.S. dollars on the respective dates of such transactions.

FEDERAL INCOME TAXES

As of October 31, 2015, gross unrealized appreciation and gross unrealized depreciation based on cost for federal income tax purposes were as follows:

 

iShares ETF    Tax Cost      Gross
Unrealized
Appreciation		      Gross
Unrealized
Depreciation		     Net Unrealized
Appreciation
(Depreciation)		  

Enhanced International Large-Cap

    $ 67,084,730       $ 3,355,593       $ (6,860,043 )    $ (3,504,450 ) 

Enhanced International Small-Cap

      14,322,753         1,384,834         (1,227,825 )      157,009   

Enhanced U.S. Large-Cap

      70,115,561         9,668,683         (2,567,224 )      7,101,459   

Enhanced U.S. Small-Cap

      24,845,052         2,415,592         (1,633,034 )      782,558   

LOANS OF PORTFOLIO SECURITIES

Each Fund may lend its investment securities to approved borrowers, such as brokers, dealers and other financial institutions. The borrower pledges and maintains with the Fund collateral consisting of cash, an irrevocable letter of credit issued by a bank, or securities issued or guaranteed by the U.S. government. The initial collateral received by each Fund is required to have a value of at least 102% of the current value of the loaned securities for securities traded on U.S. exchanges and a value of at least 105% for all other securities. The collateral is maintained thereafter at a value equal to at least 100% of the current value of the securities on loan. The market value of the loaned securities is determined at the close of each business day of the Funds. Any additional required collateral is delivered to the Funds and any excess collateral is returned by the Funds on the next business day. During the term of the loan, each Fund is entitled to all distributions made on or in respect of the loaned securities. Loans of securities are terminable at any time and the borrower, after notice, is required to return borrowed securities within the standard time period for settlement of securities transactions.

 

     17   

Notes to Schedules of Investments  (Unaudited) (Continued)

iSHARES® U.S. ETF TRUST

 

Any cash received as collateral for securities on loan may be reinvested in certain short-term instruments either directly on behalf of a fund or through one or more joint accounts or money market funds, including those managed by BlackRock Fund Advisors (“BFA”), the Funds’ investment adviser, or its affiliates. As of October 31, 2015, any securities on loan were collateralized by cash. The cash collateral received was invested in money market funds managed by BFA and is disclosed in the schedules of investments.

The risks of securities lending include the risk that the borrower may not provide additional collateral when required or may not return the securities when due. To mitigate these risks, the Funds benefit from a borrower default indemnity provided by BlackRock, Inc. (“BlackRock”). BlackRock’s indemnity allows for full replacement of securities lent. Each Fund could suffer a loss if the value of the investments purchased with cash collateral falls below the value of the cash collateral received.

 

2. TRANSACTIONS WITH AFFILIATES

Each Fund may invest its positive cash balances in certain money market funds managed by BFA, the Funds’ investment adviser, or an affiliate. BFA is a California corporation indirectly owned by BlackRock.

 

18   

Item 2. Controls and Procedures.

 

  (a) The President (the Registrant’s Principal Executive Officer) and Chief Financial Officer (the Registrant’s Principal Financial Officer) have concluded that, based on their evaluation as of a date within 90 days of the filing date of this report, the disclosure controls and procedures of the Registrant (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) are reasonably designed to achieve the purposes described in Section 4(a) of the certifications filed with this Form N-Q.

 

  (b) There were no changes in the Registrant’s internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) that occurred during the Registrant’s last fiscal quarter that have materially affected, or are reasonably likely to materially affect, the Registrant’s internal control over financial reporting.

Item 3. Exhibits.

 

  (a) Certifications of the President (the Registrant’s Principal Executive Officer) and Chief Financial Officer (the Registrant’s Principal Financial Officer) as required by Rule 30a-2(a) under the Investment Company Act of 1940 are filed with this Form N-Q as exhibits.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

iShares U.S. ETF Trust
By:  

/s/ Manish Mehta

  Manish Mehta, President (Principal Executive Officer)
Date: December 29, 2015

Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the Registrant and in the capacities and on the dates indicated.

 

By:  

/s/ Manish Mehta

  Manish Mehta, President (Principal Executive Officer)
Date: December 29, 2015

 

By:  

/s/ Jack Gee

  Jack Gee, Treasurer and Chief Financial Officer (Principal Financial Officer)
Date: December 29, 2015