0001752724-21-123794.txt : 20210614
0001752724-21-123794.hdr.sgml : 20210614
20210614152728
ACCESSION NUMBER: 0001752724-21-123794
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20210331
FILED AS OF DATE: 20210614
DATE AS OF CHANGE: 20210614
EFFECTIVENESS DATE: 20210614
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Krane Shares Trust
CENTRAL INDEX KEY: 0001547576
IRS NUMBER: 456861457
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0331
FILING VALUES:
FORM TYPE: N-CEN
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22698
FILM NUMBER: 211014412
BUSINESS ADDRESS:
STREET 1: 280 PARK AVENUE
STREET 2: 32ND FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 646-479-5031
MAIL ADDRESS:
STREET 1: 280 PARK AVENUE
STREET 2: 32ND FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
0001547576
S000041203
KraneShares CICC China Leaders 100 Index ETF
C000127792
KraneShares CICC China Leaders 100 Index ETF
KFYP
0001547576
S000041596
KraneShares CSI China Internet ETF
C000129136
KraneShares CSI China Internet ETF
KWEB
0001547576
S000041738
KraneShares Bosera MSCI China A Share ETF
C000129571
KraneShares Bosera MSCI China A Share ETF
KBA
0001547576
S000044482
KraneShares E Fund China Commercial Paper ETF
C000138387
KraneShares E Fund China Commercial Paper ETF
KCNY
0001547576
S000045374
KraneShares MSCI All China Index ETF
C000141213
KraneShares MSCI All China Index ETF
KALL
0001547576
S000049858
KraneShares MSCI China Clean Technology Index ETF
C000157444
KraneShares MSCI China Clean Technology Index ETF
KGRN
0001547576
S000056077
KraneShares Emerging Markets Consumer Technology Index ETF
C000176655
KraneShares Emerging Markets Consumer Technology Index ETF
KEMQ
0001547576
S000056904
KraneShares MSCI One Belt One Road Index ETF
C000180685
KraneShares MSCI One Belt One Road Index ETF
OBOR
0001547576
S000058216
KraneShares Bloomberg Barclays China Aggregate Bond Inclusion Index ETF
C000190894
KraneShares Bloomberg Barclays China Aggregate Bond Inclusion Index ETF
KBND
0001547576
S000059793
KraneShares CCBS China Corporate High Yield Bond USD Index ETF
C000195632
KraneShares CCBS China Corporate High Yield Bond USD Index ETF
KCCB
0001547576
S000059794
KraneShares MSCI All China Consumer Discretionary Index ETF
C000195633
KraneShares MSCI All China Consumer Discretionary Index ETF
KDSC
0001547576
S000059795
KraneShares MSCI All China Consumer Staples Index ETF
C000195634
KraneShares MSCI All China Consumer Staples Index ETF
KSTP
0001547576
S000059796
KraneShares MSCI All China Health Care Index ETF
C000195635
KraneShares MSCI All China Health Care Index ETF
KURE
0001547576
S000061164
KraneShares Emerging Markets Healthcare Index ETF
C000198138
KraneShares Emerging Markets Healthcare Index ETF
KMED
0001547576
S000061165
KraneShares Electric Vehicles and Future Mobility Index ETF
C000198139
KraneShares Electric Vehicles and Future Mobility Index ETF
KARS
0001547576
S000062619
KraneShares MSCI China A Hedged Index ETF
C000203109
KraneShares MSCI China A Hedged Index ETF
KBAH
0001547576
S000063652
KraneShares Asia Robotics and Artificial Intelligence Index ETF
C000206147
KraneShares Asia Robotics and Artificial Intelligence Index ETF
KBOT
0001547576
S000063875
CICC Global Wealth Preservation Fund
C000206851
Institutional Class
C000206852
Investor Class
0001547576
S000064914
KraneShares MSCI Emerging Markets ex China Index ETF
C000210156
KraneShares MSCI Emerging Markets ex China Index ETF
KEMX
0001547576
S000065024
CICC US Government Money Market Fund
C000210521
CICC US Government Money Market Fund
0001547576
S000065362
Quadratic Interest Rate Volatility and Inflation Hedge ETF
C000211437
Quadratic Interest Rate Volatility and Inflation Hedge ETF
IVOL
0001547576
S000065596
KFA Large Cap Quality Dividend Index ETF
C000212213
KFA Large Cap Quality Dividend Index ETF
KLCD
0001547576
S000065597
KFA Small Cap Quality Dividend Index ETF
C000212214
KFA Small Cap Quality Dividend Index ETF
KSCD
0001547576
S000066286
KraneShares Global Carbon ETF
C000214065
KraneShares Global Carbon ETF
KRBN
0001547576
S000067123
KFA Dynamic Fixed Income ETF
C000215933
KFA Dynamic Fixed Income ETF
KDFI
0001547576
S000067201
KraneShares CICC China 5G and Semiconductor Index ETF
C000216191
KraneShares CICC China 5G and Semiconductor Index ETF
KFVG
0001547576
S000068565
KraneShares CICC China Consumer Leaders Index ETF
C000219411
KraneShares CICC China Consumer Leaders Index ETF
KBUY
0001547576
S000068743
KraneShares MSCI China ESG Leaders Index ETF
C000219713
KraneShares MSCI China ESG Leaders Index ETF
KESG
0001547576
S000069005
KraneShares SSE STAR Market 50 Index ETF
C000220718
KraneShares SSE STAR Market 50 Index ETF
KSTR
0001547576
S000069664
KFA Value Line(R) Dynamic Core Equity Index ETF
C000222186
KFA Value Line(R) Dynamic Core Equity Index ETF
KVLE
0001547576
S000070105
KraneShares Hang Seng TECH Index ETF
C000223017
KraneShares Hang Seng TECH Index ETF
KTEC
0001547576
S000070143
KFA Mount Lucas Index Strategy ETF
C000223083
KFA Mount Lucas Index Strategy ETF
KMLM
0001547576
S000070727
Krane UBS China A Share Fund
C000224834
Institutional Class
KUAIX
C000224835
Investor Class
KUASX
0001547576
S000070938
Quadratic Deflation ETF
C000225265
Quadratic Deflation ETF
0001547576
S000072749
KraneShares California Carbon ETF
C000229247
KraneShares California Carbon ETF
0001547576
S000072750
KraneShares European Carbon ETF
C000229248
KraneShares European Carbon ETF
0001547576
S000072751
KraneShares Northeast US Carbon ETF
C000229249
KraneShares Northeast US Carbon ETF
N-CEN
1
primary_doc.xml
X0303
N-CEN
LIVE
0001547576
XXXXXXXX
811-22698
N-1A
true
Krane Shares Trust
811-22698
0001547576
2549008E1DI99JHCCA80
280 Park Ave
32nd Floor
NEW YORK
10017
US-NY
US
212-933-0390
E FUND MANAGEMENT
SUITES 3501 02 35F TWO INTERNATIONAL
FINANCE CENTRE 8 FINANCE STREET CENTRAL
Hong Kong
HK
518024
852-3929-0930
Records as Sub-Advisor for Trust
BOSERA ASSET MANAGEMENT
SUITE 4109 JARDINE HOUSE
ONE CONNAUGHT PLACE CENTRAL
Hong Kong
HK
518040
852-2537-6658
Records as Sub-Advisor for Trust
SEI Investments Global Funds Services
1 Freedom Valley Drive
OAKS
19456
610-676-1000
Records as Administrator for Trust
Krane Funds Advisors, LLC
280 Park Avenue 32nd Floor
New York
10017
212-933-0393
Records as Advisor for Trust
SEI Investments Distribution Co.
1 Freedom Valley Drive
OAKS
19456
610-676-1000
Records as Distrubutor for Trust
Quadratic Capital Management LLC
39 Lewis Steet
4th Floor
Greenwich
06830
203-340-2943
Records as Sub-Advisor for Trust
SkyRock Investment Management, LLC
507 Marlowe Road
Raleigh
27609
919-381-7845
Records as Sub-Advisor for Trust
BROWN BROTHERS HARRIMAN & CO.
50 Post Office Square
Boston
02110
617-772-1818
Records as Custodian & Transfer Agent for Trust
3D/L CAPITAL MANAGEMENT, LLC
100 Constitution Plaza
7th Floor
Hartford
06103
860-291-1998
Records as Sub-Advisor for Trust
CCB Securities, Ltd.
18F CCB CENTRE 18 WANG CHIU ROAD
Kowloon
HK
999077
852 3918 6177
Records as Sub-Advisor for Trust
SkyRock Investment Management, LLC
507 Marlowe Road
Raleigh
27609
919-381-7845
Records as Sub-Advisor for Trust
Mount Lucas Management lp
405 S State Street
Newtown
18940
267-759-3500
Records as Sub-Advisor for Trust
CLIMATE FINANCE PARTNERS LLC
156 5th Avenue
Suite 804
New York
10010
212-974-0111
Records as Sub-Advisor for Trust
N
N
N-1A
24
Y
Jonathan Krane
005721277
Y
John Ferguson
N/A
N
Matthew Stroyman
N/A
N
Patrick P. Campo
N/A
N
Michael Quain
N/A
280 Park Avenue
32nd Floor
New York
10017
XXXXXX
N
N
N
N
N
N
SEI INVESTMENTS DISTRIBUTION CO.
8-27897
000010690
N/A
N
N
KPMG, LLP
185
549300G1CEVDWVMRLW77
N
N
N
N
N
N
KraneShares MSCI All China Index ETF
S000045374
549300KWB140R0767E67
N
1
0
0
Exchange-Traded Fund
N
N
2.87
2.14
3.09927085
3.072482593
N
N
Y
N
N/A
0.00000000
0.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 6c-11 (17 CFR 270.6c-11)
Y
Y
N
N
Krane Funds Advisors, LLC
801-77589
000157103
5493001BB3L725IUPM64
N
BROWN BROTHERS HARRIMAN & CO.
84-06072
5493006KMX1VFTPYPW14
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
SCB INDONESIA
N/A
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
AO CITIBANK
N/A
RU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK AS
N/A
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC BANK (CHINA) COMPANY LTD.
N/A
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HBME DIFC
N/A
AE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC THAILAND (SGD)
N/A
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (TAIWAN) LTD
N/A
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC HONG KONG
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
ITAU UNIBANCO S.A.
N/A
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BANK HANDLOWY
N/A
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB PHILIPPINES
N/A
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK MAGHREB
N/A
MA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BANCO DE CHILE
N/A
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SOCGEN SOUTH AFRICA
N/A
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC BANK EGYPT S.A.E.
N/A
EG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC THAILAND
N/A
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BROWN BROTHERS HARRIMAN & CO.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
DBS BANK LTD
N/A
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBK EUROPE HUNG
N/A
HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBK EUROPE CZECH
N/A
CZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK DEL PERU
N/A
PE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BANAMEX
N/A
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITITRUST COLOMBIA
N/A
CO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
EUROCLEAR BK SA NV
N/A
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (PAKISTAN) LTD
N/A
PK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB MALAYSIA BERHAD
N/A
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
N
SEI INVESTMENTS GLOBAL FUNDS SERVICES
801-24593
SEC FILE NUMBER
N
N
N
SEI Investments Distribution Co.
8-27897
000010690
N/A
0.00
JPM CHASE
008-35008
000000079
ZBUT11V806EZRVTWT807
6778.38000000
BTIG LLC
008-65473
000122225
549300GTG9PL6WO3EC51
896.36000000
SOCIETE GENERALE SECURITIES CORPORATION/
008-22522
000007616
549300WR155U7DVMIW58
1329.02000000
JONES TRADING
008-26089
000006888
213800DIYIKDWRCFOC55
5.00000000
CSFB
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
1031.56000000
MERRILL LYNCH, PIERCE, FENNER & SMITH
008-07221
000007691
8NAV47T0Y26Q87Y0QP81
260.52000000
10300.84000000
0.00000000
Y
8900033.03999999
N
N
N
KraneShares Electric Vehicles and Future Mobility Index ETF
S000061165
5493002U7KIWI01PL439
N
1
0
0
Exchange-Traded Fund
N
N
-0.84
-2.43
0.917147062
0.852341892
Y
N
Y
N
N
Brown Brothers Harriman
5493006KMX1VFTPYPW14
N
N
Revenue sharing split
9205.86000000
110470.32000000
Rule 6c-11 (17 CFR 270.6c-11)
Rule 32a-4 (17 CFR 270.32a-4)
Y
N
N
N
Krane Funds Advisors, LLC
801-77589
000157103
5493001BB3L725IUPM64
N
BROWN BROTHERS HARRIMAN & CO.
84-06072
5493006KMX1VFTPYPW14
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
CREDIT SUISSE(SWITZERLAND)LTD.
N/A
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MUFG BANK, LTD.
N/A
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
DEUTSCHE BK FRANCE
N/A
FR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BROWN BROTHERS HARRIMAN & CO.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
CITIBANK LONDON
N/A
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC BK AUSTRALIA
N/A
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CIBC MELLON TRUST
N/A
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (TAIWAN) LTD
N/A
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK KOREA INC
N/A
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
DEUTSCHE FRANKFURT
N/A
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC HONG KONG
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SOCGEN SEC SERV SPA
N/A
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS BELGIUM
N/A
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
N
SEI INVESTMENTS GLOBAL FUNDS SERVICES
801-24593
SEC FILE NUMBER
N
N
N
SEI Investments Distribution Co.
8-27897
000010690
N/A
0.00
SOCIETE GENERALE COWEN SECURITIES CORP.
008-40756
000023857
5493008QI0EFC5WBED75
2753.17000000
MERRILL LYNCH, PIERCE, FENNER & SMITH
008-07221
000007691
8NAV47T0Y26Q87Y0QP81
1077.65000000
CSFB
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
2102.36000000
JPM CHASE
008-35008
000000079
ZBUT11V806EZRVTWT807
13232.23000000
BTIG LLC
008-65473
000122225
549300GTG9PL6WO3EC51
40275.33000000
SOCIETE GENERALE SECURITIES CORPORATION
008-22522
000007616
549300WR155U7DVMIW58
13085.69000000
UBS INTERNATIONAL INC
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
7401.71000000
MISCHLER FINANCIAL
8-48067
000037818
2549004IPXPSM9EJFC92
34562.06000000
VIRTU FINANCIAL BD LLC
8-60815
000148390
54930088MP91YZQJT494
1968.18000000
116458.38000000
0.00000000
Y
64275109.95000000
N
N
N
KFA Small Cap Quality Dividend Index ETF
S000065597
549300S3IDEXNS3K7J73
N
1
0
0
Exchange-Traded Fund
N
N
-0.23
-0.94
0.45174914
0.387473308
Y
N
Y
N
N/A
0.00000000
0.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 6c-11 (17 CFR 270.6c-11)
Y
N
N
N
Krane Funds Advisors, LLC
801-77589
000157103
5493001BB3L725IUPM64
N
BROWN BROTHERS HARRIMAN & CO.
084-06072
5493006KMX1VFTPYPW14
N
N
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
S&P
549300U4VWNITEKO2881
N
IHS Markit
549300HLPTRASHS0E726
GB
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
Bloomberg
254900BF4G8VMW8GG471
N
N
BROWN BROTHERS HARRIMAN & CO.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
N
SEI Investments Global Funds Services
801-24593
SEC File Number
N
N
N
SEI Investments Distribution Co.
8-27897
000010690
N/A
0.00
JANE STREET EXECUTION SERVICES
8-69254
000167280
549300HXJLXCPDWAH070
205.76000000
SANDERS MORRIS MUNDY
N/A
N/A
N/A
49.92000000
SMH CAPITAL
8-40904
000108344
N/A
37867.94000000
MISCHLER FINANCIAL
8-48067
000037818
2549004IPXPSM9EJFC92
96.32000000
38219.94000000
0.00000000
Y
30524581.80000000
N
N
N
KFA Value Line(R) Dynamic Core Equity Index ETF
S000069664
549300UCOXLQBJIZ3306
Y
1
0
0
Exchange-Traded Fund
N
N
0.87
0.25
1.157885459
1.119316297
Y
N
Y
N
N/A
0.00000000
0.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 6c-11 (17 CFR 270.6c-11)
Y
N
N
N
KRANE FUNDS ADVISOR
801-77589
000157103
5493001BB3L725IUPM64
2020-11-23
3D/L CAPITAL MANAGEMENT, LLC
801-107874
000283304
N/A
N
BROWN BROTHERS HARRIMAN & CO.
084-06072
5493006KMX1VFTPYPW14
N
N
N
IHS Markit
549300HLPTRASHS0E726
GB
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
Bloomberg
254900BF4G8VMW8GG471
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
S&P
549300U4VWNITEKO2881
N
N
BROWN BROTHERS HARRIMAN & CO.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
N
SEI Investments Global Funds Services
801-24593
SEC File Number
N
N
N
SEI Investments Distribution Co.
8-27897
000010690
N/A
0.00000000
MISCHLER FINANCIAL
8-48067
000037818
2549004IPXPSM9EJFC92
5793.02000000
BTIG LLC
008-65473
000122225
549300GTG9PL6WO3EC51
5.60000000
5798.62000000
0.00000000
Y
18878088.28000000
N
N
N
KraneShares CICC China Leaders 100 Index ETF
S000041203
549300N122NVB4RYYE09
N
1
0
0
Exchange-Traded Fund
N
N
-3.03
-3.92
4.956782619
4.961903134
Y
N
Y
N
N/A
0.00000000
0.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 6c-11 (17 CFR 270.6c-11)
Y
N
N
N
Krane Funds Advisors, LLC
801-77589
000157103
5493001BB3L725IUPM64
N
BROWN BROTHERS HARRIMAN & CO.
84-06072
5493006KMX1VFTPYPW14
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
DBS BANK LTD
N/A
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BROWN BROTHERS HARRIMAN & CO.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
HSBC HONG KONG
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (HONG KONG) LTD
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
N
SEI INVESTMENTS GLOBAL FUNDS SERVICES
801-24593
SEC FILE NUMBER
N
N
N
SEI Investments Distribution Co.
8-27897
000010690
N/A
0.00
SOCIETE GENERALE COWEN SECURITIES CORP.
008-40756
000023857
5493008QI0EFC5WBED75
25328.97000000
CSFB
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
6525.89000000
JPM CHASE
008-35008
000000079
ZBUT11V806EZRVTWT807
2247.21999999
UBS SECURITIES LLC
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
1040.59999999
35142.68000000
0.00000000
Y
12657734.56000000
N
N
N
KraneShares Emerging Markets Consumer Technology Index ETF
S000056077
5493001N8C4HULFC8081
N
1
0
0
Exchange-Traded Fund
N
N
-0.37
-1.4
2.427433785
0.865536137
Y
N
Y
N
N
Brown Brothers Harriman
5493006KMX1VFTPYPW14
N
N
Revenue sharing split
1044.45000000
12533.43000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 6c-11 (17 CFR 270.6c-11)
Y
Y
N
N
Krane Funds Advisors, LLC
801-77589
000157103
5493001BB3L725IUPM64
N
BROWN BROTHERS HARRIMAN & CO.
84-06072
5493006KMX1VFTPYPW14
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
CITIBANK LONDON
N/A
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB KENYA LIMITED
N/A
KE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK MUMBAI
N/A
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBK BUENOS AIRES
N/A
AR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB MALAYSIA BERHAD
N/A
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HBME QATAR
N/A
QA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
AO CITIBANK
N/A
RU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC HONG KONG
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BANAMEX
N/A
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BROWN BROTHERS HARRIMAN & CO.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
CITITRUST COLOMBIA
N/A
CO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HBME DIFC
N/A
AE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
ITAU UNIBANCO S.A.
N/A
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC THAILAND
N/A
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC FRANCE, ATHENS BRANCH
N/A
FR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB PHILIPPINES
N/A
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK DEL PERU
N/A
PE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BANK HANDLOWY
N/A
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (TAIWAN) LTD
N/A
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC BANK EGYPT S.A.E.
N/A
EG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB INDONESIA
N/A
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC THAILAND (SGD)
N/A
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
EUROCLEAR BK SA NV
N/A
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK AS
N/A
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBK EUROPE HUNG
N/A
HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BANCO DE CHILE
N/A
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SOCGEN SOUTH AFRICA
N/A
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBK EUROPE CZECH
N/A
CZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK KOREA INC
N/A
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
N
SEI INVESTMENTS GLOBAL FUNDS SERVICES
801-24593
SEC FILE NUMBER
N
N
N
SEI Investments Distribution Co.
8-27897
000010690
N/A
0.00
SOCIETE GENERALE SECURITIES CORPORATION
008-22522
000007616
549300WR155U7DVMIW58
26531.35000000
MERRILL LYNCH, PIERCE, FENNER & SMITH
008-07221
000007691
8NAV47T0Y26Q87Y0QP81
1862.62000000
CHINA RENAISSANCE
8-69197
000166318
254900HNGZEZ9UH1VD09
4.00000000
CSFB
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
4012.13000000
JANE STREET EXECUTION SERVICES
8-69254
000167280
549300HXJLXCPDWAH070
2504.88000000
JPM CHASE
008-35008
000000079
ZBUT11V806EZRVTWT807
50509.50000000
BTIG LLC
008-65473
000122225
549300GTG9PL6WO3EC51
73632.14000000
159056.62000000
JPM CHASE
008-35008
000000079
ZBUT11V806EZRVTWT807
73825.82000000
73825.82000000
Y
92274220.95999999
N
N
N
KraneShares SSE STAR Market 50 Index ETF
S000069005
549300KP7V75G1O7ZY91
Y
1
0
0
Exchange-Traded Fund
N
N
5.44
4.73
6.769235935
6.388862176
Y
N
Y
N
N/A
0.00000000
0.00000000
Rule 6c-11 (17 CFR 270.6c-11)
Rule 32a-4 (17 CFR 270.32a-4)
Y
N
N
N
KRANE FUNDS ADVISOR
801-77589
000157103
5493001BB3L725IUPM64
2021-01-26
BOSERA ASSET MANAGEMENT
801-78507
000168895
5493007L3OY1WAC3H512
N
HK
BROWN BROTHERS HARRIMAN & CO.
084-06072
5493006KMX1VFTPYPW14
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
IHS Markit
549300HLPTRASHS0E726
GB
N
Bloomberg
254900BF4G8VMW8GG471
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
S&P
549300U4VWNITEKO2881
N
N
BROWN BROTHERS HARRIMAN & CO.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
N
SEI Investments Global Funds Services
801-24593
SEC File Number
N
N
N
SEI Investments Distribution Co.
8-27897
000010690
N/A
0.00000000
CITIC SECURITIES BROKERAGE (HK) LIMITED
N/A
N/A
254900EQ4EESUIKTW472
HK
83090.78000000
83090.78000000
0.00000000
Y
18952540.55999999
N
N
N
KraneShares MSCI All China Health Care Index ETF
S000059796
549300QX48JOVJXEFW26
N
1
0
0
Exchange-Traded Fund
N
N
-1.4
-2.44
2.676648191
2.675053694
Y
N
Y
N
N
Brown Brothers Harriman
5493006KMX1VFTPYPW14
N
N
Revenue sharing split
1682.47000000
20189.68000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 6c-11 (17 CFR 270.6c-11)
Y
Y
N
N
Krane Funds Advisors, LLC
801-77589
000157103
5493001BB3L725IUPM64
N
BROWN BROTHERS HARRIMAN & CO.
84-06072
5493006KMX1VFTPYPW14
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
BROWN BROTHERS HARRIMAN & CO.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
HSBC HONG KONG
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
DBS BANK LTD
N/A
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
N
SEI INVESTMENTS GLOBAL FUNDS SERVICES
801-24593
N
N
N
SEI Investments Distribution Co.
8-27897
000010690
N/A
0.00
SOCIETE GENERALE SECURITIES CORPORATION
008-22522
000007616
549300WR155U7DVMIW58
14570.45000000
SOCIETE GENERALE COWEN SECURITIES CORP.
008-40756
000023857
5493008QI0EFC5WBED75
845.98000000
UBS INTERNATIONAL INC
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
6406.97000000
MISCHLER FINANCIAL
8-48067
000037818
2549004IPXPSM9EJFC92
8954.01000000
JPM CHASE
008-35008
000000079
ZBUT11V806EZRVTWT807
87363.61000000
CSFB
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
32068.83000000
VIRTU FINANCIAL BD LLC
8-60815
000148390
54930088MP91YZQJT494
1648.77000000
MERRILL LYNCH, PIERCE, FENNER & SMITH
008-07221
000007691
8NAV47T0Y26Q87Y0QP81
1256.66000000
UBS SECURITIES LLC
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
9469.45999999
CREDIT SUISSE - FIRST BOSTON
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
3300.59000000
165929.31000000
0.00000000
Y
130770351.84000000
N
N
N
KFA Large Cap Quality Dividend Index ETF
S000065596
549300KVY3JD2EPDSZ54
N
1
0
0
Exchange-Traded Fund
N
N
-0.35
-0.96
0.37671002
0.353452046
Y
N
Y
N
N/A
0.00000000
0.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 6c-11 (17 CFR 270.6c-11)
Y
N
N
N
KRANE FUNDS ADVISOR
801-77589
000157103
5493001BB3L725IUPM64
N
BROWN BROTHERS HARRIMAN & CO.
084-06072
5493006KMX1VFTPYPW14
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
S&P
549300U4VWNITEKO2881
N
IHS Markit
549300HLPTRASHS0E726
GB
N
Bloomberg
254900BF4G8VMW8GG471
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
N
BROWN BROTHERS HARRIMAN & CO.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
N
SEI Investments Global Funds Services
801-24593
SEC File Number
N
N
N
SEI Investments Distribution Co.
8-27897
000010690
N/A
0.00000000
MISCHLER FINANCIAL
8-48067
000037818
2549004IPXPSM9EJFC92
48.00000000
SMH CAPITAL
8-40904
000108344
N/A
35192.83999999
JONES TRADING
008-26089
000006888
213800DIYIKDWRCFOC55
26.28000000
BTIG LLC
008-65473
000122225
549300GTG9PL6WO3EC51
4.16000000
35271.27999999
0.00000000
Y
45094012.07999999
N
N
N
KraneShares Global Carbon ETF
S000066286
549300N19OWO53YWFA13
Y
1
0
0
Exchange-Traded Fund
N
N
1.72
0.63
3.901102389
3.909900564
Y
Y
N
N/A
0.00000000
0.00000000
Rule 6c-11 (17 CFR 270.6c-11)
Rule 32a-4 (17 CFR 270.32a-4)
Y
N
N
N
KRANE FUNDS ADVISOR
801-77589
000157103
5493001BB3L725IUPM64
2020-07-29
CLIMATE FINANCE PARTNERS LLC
801-117593
000306077
N/A
N
BROWN BROTHERS HARRIMAN & CO.
084-06072
5493006KMX1VFTPYPW14
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Bloomberg
254900BF4G8VMW8GG471
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
IHS Markit
549300HLPTRASHS0E726
GB
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
S&P
549300U4VWNITEKO2881
N
N
BROWN BROTHERS HARRIMAN & CO.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
N
SEI Investments Global Funds Services
801-24593
SEC File Number
N
N
N
SEI Investments Distribution Co.
8-27897
000010690
N/A
0.00000000
BRILL SECURITIES INC
8-36654
000018565
N/A
110.00000000
JONES TRADING
008-26089
000006888
213800DIYIKDWRCFOC55
2089.00000000
2199.00000000
0.00000000
Y
18796460.23000000
N
N
N
KraneShares Bosera MSCI China A Share ETF
S000041738
549300COS8LSFBN8GG59
N
1
0
0
Exchange-Traded Fund
N
N
-0.21
-1.09
0.375151916
0.380122818
N
N
Y
N
N/A
0.00000000
0.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 6c-11 (17 CFR 270.6c-11)
Rule 17e-1 (17 CFR 270.17e-1)
Y
Y
N
N
Krane Funds Advisors, LLC
801-77589
000157103
5493001BB3L725IUPM64
N
BOSERA ASSET MANAGEMENT
801-78507
000168895
5493007L3OY1WAC3H512
N
HK
N
BROWN BROTHERS HARRIMAN & CO.
84-06072
5493006KMX1VFTPYPW14
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
DBS BANK LTD
N/A
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC HONG KONG
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BROWN BROTHERS HARRIMAN & CO.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
HSBC BANK (CHINA) COMPANY LTD.
N/A
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
N
SEI INVESTMENTS GLOBAL FUNDS SERVICES
801-24593
SEC FILE NUMBER
N
N
N
SEI Investments Distribution Co.
8-27897
000010690
N/A
0.00
CICC US SECURITIES
008-67544
000143221
N/A
3337.03000000
SOCIETE GENERALE
008-40756
000023857
5493008QI0EFC5WBED75
272444.88000000
UBS INTERNATIONAL INC
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
28576.22000000
JPM CHASE
008-35008
000000079
ZBUT11V806EZRVTWT807
67317.33000000
CALYON/CLSA LTD.
8-69166
000165533
213800M2DXATWY7JMS07
22.97000000
MACQUARIE CAPITAL
008-47198
000036368
549300670K07JRB5UQ40
6270.84000000
CICC US SECURITIES
008-67544
000143221
N/A
3337.03000000
CSFB
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
217.36000000
378186.63000000
SOCIETE GENERALE
008-40756
000023857
5493008QI0EFC5WBED75
40946.62999999
40946.62999999
Y
698535172.48000002
N
N
N
KraneShares MSCI China Clean Technology Index ETF
S000049858
549300HN5O7BMK5AIO97
N
1
0
0
Exchange-Traded Fund
N
N
11.67
9.79
3.977663715
3.963104309
Y
N
Y
N
N/A
0.00000000
0.00000000
Rule 6c-11 (17 CFR 270.6c-11)
Rule 32a-4 (17 CFR 270.32a-4)
Y
N
N
N
KRANE FUNDS ADVISOR
801-77589
000157103
5493001BB3L725IUPM64
N
BROWN BROTHERS HARRIMAN & CO.
084-06072
5493006KMX1VFTPYPW14
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
HSBC HONG KONG
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BROWN BROTHERS HARRIMAN & CO.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
CITIBANK LONDON
N/A
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
DBS BANK LTD
N/A
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
N
SEI Investments Global Funds Services
801-24593
SEC File Number
N
N
N
SEI Investments Distribution Co.
8-27897
000010690
N/A
0.00000000
MISCHLER FINANCIAL
8-48067
000037818
2549004IPXPSM9EJFC92
29374.87000000
CSFB
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
22478.83000000
MERRILL LYNCH, PIERCE, FENNER & SMITH
008-07221
000007691
8NAV47T0Y26Q87Y0QP81
1338.75000000
JPM CHASE
008-35008
000000079
ZBUT11V806EZRVTWT807
53073.88000000
UBS SECURITIES
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
32282.95000000
VIRTU FINANCIAL BD LLC
8-60815
000148390
54930088MP91YZQJT494
2028.44000000
BTIG LLC
008-65473
000122225
549300GTG9PL6WO3EC51
1473.93000000
SOCIETE GENERALE SECURITIES CORPORATION/
008-22522
000007616
549300WR155U7DVMIW58
5850.48000000
147902.13000000
UBS INTERNATIONAL INC
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
79408.70000000
UBS SECURITIES
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
24647.83000000
104056.53000000
N
49087148.06000000
N
N
N
KraneShares E Fund China Commercial Paper ETF
S000044482
549300T76GJMCJ0ZKO67
N
1
0
0
Exchange-Traded Fund
N
N
-0.18
-0.81
3.417608453
3.42726895
Y
N
Y
N
N/A
0.00000000
0.00000000
Rule 6c-11 (17 CFR 270.6c-11)
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
N
N
Krane Funds Advisors, LLC
801-77589
000157103
5493001BB3L725IUPM64
N
E FUND MANAGEMENT
801-78973
000169726
N/A
N
HK
N
BROWN BROTHERS HARRIMAN & CO.
84-06072
5493006KMX1VFTPYPW14
N
N
N
Reuters
549300561UZND4C7B569
CA
N
N
CHINA CONSTRUCTION BANK
N/A
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC HONG KONG
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BROWN BROTHERS HARRIMAN & CO.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
N
SEI INVESTMENTS GLOBAL FUNDS SERVICES
801-24593
SEC FILE NUMBER
N
N
N
SEI Investments Distribution Co.
8-27897
000010690
N/A
0.00
BIC
8-22967
000007672
N/A
73.00000000
CHINA CONSTRUCTION BANK
N/A
000289781
5493001KQW6DM7KEDR62
CN
2675.54000000
2748.54000000
CITIC SECURITIES BROKERAGE (HK) LIMITED
N/A
N/A
254900EQ4EESUIKTW472
HK
599.52000000
CREDIT SUISSE - FIRST BOSTON
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
44370.15000000
44969.67000000
Y
13041385.63000000
N
N
N
KraneShares MSCI Emerging Markets ex China Index ETF
S000064914
5493009BC3HOYHW2UH32
N
1
0
0
Exchange-Traded Fund
N
N
3.16
2.42
2.520832475
2.546255073
N
N
Y
N
N/A
0.00000000
0.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 6c-11 (17 CFR 270.6c-11)
Y
Y
N
N
KRANE FUNDS ADVISOR
801-77589
000157103
5493001BB3L725IUPM64
N
BROWN BROTHERS HARRIMAN & CO.
084-06072
5493006KMX1VFTPYPW14
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
Bloomberg
254900BF4G8VMW8GG471
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
S&P
549300U4VWNITEKO2881
N
IHS Markit
549300HLPTRASHS0E726
GB
N
N
BROWN BROTHERS HARRIMAN & CO.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
DEUTSCHE NETHERLAND
N/A
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HBME DIFC
N/A
AE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BANCO DE CHILE
N/A
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (TAIWAN) LTD
N/A
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SBSA
N/A
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
EUROCLEAR BK SA NV
N/A
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITITRUST COLOMBIA
N/A
CO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
AO CITIBANK
N/A
RU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBK EUROPE HUNG
N/A
HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC FRANCE, ATHENS BRANCH
N/A
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC BANK EGYPT S.A.E.
N/A
EG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HBME QATAR
N/A
QA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB INDONESIA
N/A
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK DEL PERU
N/A
PE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB MALAYSIA BERHAD
N/A
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (PAKISTAN) LTD
N/A
PK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BANAMEX
N/A
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK MUMBAI
N/A
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BANK HANDLOWY
N/A
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB PHILIPPINES
N/A
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC THAILAND
N/A
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK AS
N/A
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK KOREA INC
N/A
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBK EUROPE CZECH
N/A
CZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK, N.A., SAO PAULO
N/A
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CLEARSTREAM BANK SA
N/A
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
N
SEI Investments Global Funds Services
801-24593
SEC File Number
N
N
N
SEI Investments Distribution Co.
8-27897
000010690
N/A
0.00
BTIG LLC
008-65473
000122225
549300GTG9PL6WO3EC51
6.54000000
SOCIETE GENERALE SECURITIES CORPORATION
008-22522
000007616
549300WR155U7DVMIW58
26342.01000000
26348.55000000
0.00000000
Y
6733204.12999999
N
N
N
KraneShares MSCI One Belt One Road Index ETF
S000056904
549300224X9BV37QDG14
N
1
0
0
Exchange-Traded Fund
N
N
-0.45
-1.76
1.451311605
1.477838776
Y
N
Y
N
N/A
0.00000000
0.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 6c-11 (17 CFR 270.6c-11)
Y
N
N
N
Krane Funds Advisors, LLC
801-77589
000157103
5493001BB3L725IUPM64
N
BROWN BROTHERS HARRIMAN & CO.
84-06072
5493006KMX1VFTPYPW14
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
SCB JORDAN
N/A
JO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK MUMBAI
N/A
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HBME KUWAIT
N/A
KW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BANK HANDLOWY
N/A
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
EUROCLEAR BK SA NV
N/A
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BROWN BROTHERS HARRIMAN & CO.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
HSBC THAILAND (SGD)
N/A
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB PHILIPPINES
N/A
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK AS
N/A
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC HONG KONG
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK LONDON
N/A
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BANK HAPOALIM BM
N/A
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SOCGEN SOUTH AFRICA
N/A
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB MALAYSIA BERHAD
N/A
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC THAILAND
N/A
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB INDONESIA
N/A
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
AO CITIBANK
N/A
RU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
DBS BANK LTD
N/A
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
N
SEI INVESTMENTS GLOBAL FUNDS SERVICES
801-24593
SEC FILE NUMBER
N
N
N
SEI Investments Distribution Co.
8-27897
000010690
N/A
0.00
CSFB
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
1398.62000000
SOCIETE GENERALE SECURITIES CORPORATION
008-22522
000007616
549300WR155U7DVMIW58
2780.69000000
BTIG LLC
008-65473
000122225
549300GTG9PL6WO3EC51
3611.04000000
7790.35000000
SOCIETE GENERALE SECURITIES CORPORATION
008-22522
000007616
549300WR155U7DVMIW58
122902.37000000
122902.37000000
Y
8271600.42999999
N
N
N
KraneShares CSI China Internet ETF
S000041596
549300URDNVSGEWBN526
N
1
0
0
Exchange-Traded Fund
N
N
-0.3
-1.49
0.7737921
0.767910398
Y
N
Y
N
N
Brown Brothers Harriman
5493006KMX1VFTPYPW14
N
N
Revenue sharing split
317873.19000000
3814484.22999999
Rule 32a-4 (17 CFR 270.32a-4)
Rule 6c-11 (17 CFR 270.6c-11)
Y
N
N
N
Krane Funds Advisors, LLC
801-77589
000157103
5493001BB3L725IUPM64
N
BROWN BROTHERS HARRIMAN & CO.
84-06072
5493006KMX1VFTPYPW14
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
DBS BANK LTD
N/A
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BROWN BROTHERS HARRIMAN & CO.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
HSBC HONG KONG
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (HONG KONG) LTD
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
N
SEI INVESTMENTS GLOBAL FUNDS SERVICES
801-24593
SEC FILE NUMBER
N
N
N
SEI Investments Distribution Co.
8-27897
000010690
N/A
0.00
MISCHLER FINANCIAL
8-48067
000037818
2549004IPXPSM9EJFC92
145276.14000000
VIRTU FINANCIAL BD LLC
8-60815
000148390
54930088MP91YZQJT494
1207919.44000000
BENCHMARK CO., INC. (THE)
008-40081
000022982
5493000V3LZP2HNBUZ41
42912.06000000
CHINA RENAISSANCE
8-69197
000166318
254900HNGZEZ9UH1VD09
36043.91000000
UBS SECURITIES
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
46387.13000000
CITIGROUP GLOBAL MARKETS
008-08177
000007059
MBNUM2BPBDO7JBLYG310
119769.84000000
JPM CHASE
008-35008
000000079
ZBUT11V806EZRVTWT807
155544.60999999
SOCIETE GENERALE SECURITIES CORPORATION/
008-22522
000007616
549300WR155U7DVMIW58
53276.75000000
MERRILL LYNCH, PIERCE, FENNER & SMITH
008-07221
000007691
8NAV47T0Y26Q87Y0QP81
168696.01000000
BTIG LLC
008-65473
000122225
549300GTG9PL6WO3EC51
2009472.71000000
4185316.24000000
0.00000000
Y
3101559915.00000000
N
N
N
KraneShares MSCI China ESG Leaders Index ETF
S000068743
549300V4TFEWRNXOCD80
Y
1
0
0
Exchange-Traded Fund
N
N
0.14
-0.61
0.758381506
0.741896231
Y
N
Y
N
N/A
0.00000000
0.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 6c-11 (17 CFR 270.6c-11)
Y
N
N
N
KRANE FUNDS ADVISOR
801-77589
000157103
5493001BB3L725IUPM64
2020-07-28
BROWN BROTHERS HARRIMAN & CO.
084-06072
5493006KMX1VFTPYPW14
N
N
N
S&P
549300U4VWNITEKO2881
N
Bloomberg
254900BF4G8VMW8GG471
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
IHS Markit
549300HLPTRASHS0E726
GB
N
N
BROWN BROTHERS HARRIMAN & CO.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
N
SEI Investments Global Funds Services
801-24593
SEC File Number
N
N
N
SEI Investments Distribution Co.
8-27897
000010690
N/A
0.00000000
JPM CHASE
008-35008
000000079
ZBUT11V806EZRVTWT807
3214.44000000
JONES TRADING
008-26089
000006888
213800DIYIKDWRCFOC55
0.66000000
CSFB
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
945.79000000
MERRILL LYNCH, PIERCE, FENNER & SMITH
008-07221
000007691
8NAV47T0Y26Q87Y0QP81
1120.88000000
SOCIETE GENERALE SECURITIES CORPORATION
008-22522
000007616
549300WR155U7DVMIW58
472.42000000
5754.19000000
0.00000000
Y
5417161.55999999
N
N
N
KraneShares CCBS China Corporate High Yield Bond USD Index ETF
S000059793
549300KIE6TMQTZK2V13
N
1
0
0
Exchange-Traded Fund
N
N
0.35
-0.43
1.340795691
1.344393266
Y
N
Y
N
N/A
0.00000000
0.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 6c-11 (17 CFR 270.6c-11)
Y
N
N
N
Krane Funds Advisors, LLC
801-77589
000157103
5493001BB3L725IUPM64
N
CCB Securities Limited
801-112053
000289781
254900SP2RM3SPS08E85
N
HK
N
BROWN BROTHERS HARRIMAN & CO.
84-06072
5493006KMX1VFTPYPW14
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
EUROCLEAR BK SA NV
N/A
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC HONG KONG
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BROWN BROTHERS HARRIMAN & CO.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
DBS BANK LTD
N/A
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
N
SEI INVESTMENTS GLOBAL FUNDS SERVICES
801-24593
SEC FILE NUMBER
N
N
N
SEI Investments Distribution Co.
8-27897
000010690
N/A
0.00
0.00000000
BARCLAYS CAPITAL (DMA)
008-41342
000019714
AC28XWWI3WIBK2824319
1007572.00000000
UBS INTERNATIONAL INC
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
1228750.00000000
NORTHERN CAPITAL ADVISORS
008-49130
000040659
254900ZANH7XTB94LS53
1235028.00000000
UBS SECURITIES LLC
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
2480426.00000000
JPM CHASE
008-35008
000000079
ZBUT11V806EZRVTWT807
2189099.00000000
NOMURA SECURITIES
008-15255
000004297
OXTKY6Q8X53C9ILVV871
1510090.00000000
HAITONG INTERNATIONAL SECURITIES
008-66566
000132201
549300NE01PCWMXUF415
HK
418550.00000000
GUOTAI JUNAN SECURITIES (HONG KONG) LIMI
N/A
N/A
N/A
HK
1509980.00000000
NOMURA
008-15255
000004297
OXTKY6Q8X53C9ILVV871
2017600.00000000
COMMONWEALTH BANK OF AUSTRALIA
N/A
N/A
N/A
AU
472000.00000000
15098339.00000000
Y
10176745.14000000
N
N
N
KraneShares CICC China 5G and Semiconductor Index ETF
S000067201
5493005Q82TVCXGCDA70
Y
1
0
0
Exchange-Traded Fund
N
N
-1.9
-2.48
4.140631491
4.045880071
Y
N
Y
N
N/A
0.00000000
0.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 6c-11 (17 CFR 270.6c-11)
Y
Y
N
N
KRANE FUNDS ADVISOR
801-77589
000157103
5493001BB3L725IUPM64
2020-11-23
BROWN BROTHERS HARRIMAN & CO.
084-06072
5493006KMX1VFTPYPW14
N
N
N
S&P
549300U4VWNITEKO2881
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
IHS Markit
549300HLPTRASHS0E726
GB
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Bloomberg
254900BF4G8VMW8GG471
N
N
BROWN BROTHERS HARRIMAN & CO.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
N
SEI Investments Global Funds Services
801-24593
SEC File Number
N
N
N
SEI Investments Distribution Co.
8-27897
000010690
N/A
0.00
VIRTU FINANCIAL BD LLC
8-60815
000148390
54930088MP91YZQJT494
100542.33000000
JPM CHASE
008-35008
000000079
ZBUT11V806EZRVTWT807
60236.21000000
SOCIETE GENERALE SECURITIES CORPORATION
008-22522
000007616
549300WR155U7DVMIW58
27926.79999999
UBS INTERNATIONAL INC
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
161.81000000
188867.15000000
0.00000000
Y
124961216.52000000
N
N
N
KraneShares CICC China Consumer Leaders Index ETF
S000068565
54930018IPT4SUTIWQ70
Y
1
0
0
Exchange-Traded Fund
N
N
-2.03
-2.7
3.215518739
3.215117357
Y
N
Y
N
N/A
0.00000000
0.00000000
Rule 6c-11 (17 CFR 270.6c-11)
Rule 32a-4 (17 CFR 270.32a-4)
Y
N
N
N
KRANE FUNDS ADVISOR
801-77589
000157103
5493001BB3L725IUPM64
2020-12-07
BROWN BROTHERS HARRIMAN & CO.
084-06072
5493006KMX1VFTPYPW14
N
N
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
S&P
549300U4VWNITEKO2881
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Bloomberg
254900BF4G8VMW8GG471
N
IHS Markit
549300HLPTRASHS0E726
GB
N
N
BROWN BROTHERS HARRIMAN & CO.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
N
SEI Investments Global Funds Services
801-24593
SEC File Number
N
N
N
SEI Investments Distribution Co.
8-27897
000010690
N/A
0.00000000
CSFB
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
1738.32000000
JPM CHASE
008-35008
000000079
ZBUT11V806EZRVTWT807
29437.80000000
BTIG LLC
008-65473
000122225
549300GTG9PL6WO3EC51
494.84000000
UBS INTERNATIONAL INC
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
16134.23000000
MERRILL LYNCH, PIERCE, FENNER & SMITH
008-07221
000007691
8NAV47T0Y26Q87Y0QP81
1223.93000000
SOCIETE GENERALE SECURITIES CORPORATION/
008-22522
000007616
549300WR155U7DVMIW58
15365.35000000
64394.47000000
0.00000000
Y
30987654.57000000
N
N
N
KFA Mount Lucas Index Strategy ETF
S000070143
549300PX8VC0XNHU3M82
Y
1
0
0
Exchange-Traded Fund
Y
Y
N
N/A
0.00000000
0.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 6c-11 (17 CFR 270.6c-11)
Y
N
N
N
KRANE FUNDS ADVISOR
801-77589
000157103
5493001BB3L725IUPM64
2020-12-01
MOUNT LUCAS MANAGEMENT LP
801-28254
000108255
549300KGSSFB18TBWK88
N
BROWN BROTHERS HARRIMAN & CO.
084-06072
5493006KMX1VFTPYPW14
N
N
N
Bloomberg
254900BF4G8VMW8GG471
N
S&P
549300U4VWNITEKO2881
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
IHS Markit
549300HLPTRASHS0E726
GB
N
N
BROWN BROTHERS HARRIMAN & CO.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
N
SEI Investments Global Funds Services
801-24593
SEC File Number
N
N
N
SEI Investments Distribution Co.
8-27897
000010690
N/A
0.00000000
CREDIT SUISSE FIRST BOSTON LLC.
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
7962.64000000
7962.64000000
CREDIT SUISSE FIRST BOSTON LLC.
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
879878.53000000
879878.53000000
Y
26261924.25000000
N
N
N
KFA Dynamic Fixed Income ETF
S000067123
549300C27M02D8QXJ168
N
1
0
0
Exchange-Traded Fund
N
N
-5.37
-5.85
2.624851506
2.618699249
Y
N
Y
N
N/A
0.00000000
0.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 6c-11 (17 CFR 270.6c-11)
Y
N
N
N
KRANE FUNDS ADVISOR
801-77589
000157103
5493001BB3L725IUPM64
N
SkyRock Investment Management, LLC
801-117333
000305408
N/A
N
N
BROWN BROTHERS HARRIMAN & CO.
084-06072
5493006KMX1VFTPYPW14
N
N
N
Bloomberg
254900BF4G8VMW8GG471
N
S&P
549300U4VWNITEKO2881
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
IHS Markit
549300HLPTRASHS0E726
GB
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
BROWN BROTHERS HARRIMAN & CO.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
N
SEI Investments Global Funds Services
801-24593
SEC File Number
N
N
N
SEI Investments Distribution Co.
8-27897
000010690
N/A
0.00
MISCHLER FINANCIAL
8-48067
000037818
2549004IPXPSM9EJFC92
742.50000000
742.50000000
TRADEWEB DIRECT / JOHN PROVOST
8-52278
000103787
549300MII67ES5YBJH61
10510776.41000000
WEB STREET SECURITIES
8-47940
000037733
N/A
241849.98000000
FALCON SQUARE
8-69147
000165225
2549008E9N7P2N3WFE24
195614402.78000000
FALCON RESEARCH, INC.
8-40005
000013115
N/A
206125179.19000000
412492208.36000001
Y
49883484.10000000
N
N
N
Quadratic Interest Rate Volatility and Inflation Hedge ETF
S000065362
549300KNDIWWMQ7QHZ30
N
1
0
0
Exchange-Traded Fund
Y
N
N
N
N/A
0.00000000
0.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 6c-11 (17 CFR 270.6c-11)
Y
Y
N
N
Krane Funds Advisors, LLC
801-77589
000157103
5493001BB3L725IUPM64
N
Quadratic Capital Management LLC
801-106485
000172768
549300BXYVZV5KEZKW26
N
N
BROWN BROTHERS HARRIMAN & CO.
084-06072
5493006KMX1VFTPYPW14
N
N
N
Bloomberg
254900BF4G8VMW8GG471
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
S&P
549300U4VWNITEKO2881
N
IHS Markit
549300HLPTRASHS0E726
GB
N
N
BROWN BROTHERS HARRIMAN & CO.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
N
SEI Investments Global Funds Services
801-24593
SEC File Number
N
N
N
SEI Investments Distribution Co.
8-27897
000010690
N/A
0.00000000
0.00000000
NOMURA SECURITIES INTERNATIONAL, INC.
008-15255
000004297
OXTKY6Q8X53C9ILVV871
57017400.00000000
GOLDMAN, SACHS & CO.
008-00129
000000361
FOR8UP27PHTHYVLBNG30
97146750.00000000
154164150.00000000
Y
757066878.89999998
N
N
N
KraneShares Emerging Markets Healthcare Index
S000061164
549300QQCPNME1RVLU13
N
1
0
0
Exchange-Traded Fund
N
N
-0.77
-2.05
1.310231509
1.265684165
Y
N
Y
N
N
Brown Brothers Harriman
5493006KMX1VFTPYPW14
N
N
Revenue sharing split
1268.47000000
3805.39999999
Rule 32a-4 (17 CFR 270.32a-4)
Rule 6c-11 (17 CFR 270.6c-11)
Y
N
N
N
Krane Funds Advisors, LLC
801-77589
000157103
5493001BB3L725IUPM64
N
BROWN BROTHERS HARRIMAN & CO.
84-06072
5493006KMX1VFTPYPW14
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
SOCGEN SOUTH AFRICA
N/A
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK, N.A., SAO PAULO
N/A
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB INDONESIA
N/A
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BANAMEX
N/A
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC THAILAND (SGD)
N/A
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BROWN BROTHERS HARRIMAN & CO.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
BANCO DE CHILE
N/A
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK MUMBAI
N/A
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB MALAYSIA BERHAD
N/A
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HBME DIFC
N/A
AE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK KOREA INC
N/A
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBK EUROPE HUNG
N/A
HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC BANK (CHINA) COMPANY LTD.
N/A
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC THAILAND
N/A
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC HONG KONG
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
N
SEI INVESTMENTS GLOBAL FUNDS SERVICES
801-24593
SEC FILE NUMBER
N
N
N
SEI Investments Distribution Co.
8-27897
000010690
N/A
0.00
VIRTU FINANCIAL BD LLC
8-60815
000148390
54930088MP91YZQJT494
162.33000000
JPM CHASE
008-35008
000000079
ZBUT11V806EZRVTWT807
3019.76000000
BTIG LLC
008-65473
000122225
549300GTG9PL6WO3EC51
1102.64000000
SOCIETE GENERALE SECURITIES CORPORATION
008-22522
000007616
549300WR155U7DVMIW58
1651.32000000
5936.05000000
0.00000000
Y
3353395.57000000
N
N
N
KraneShares MSCI All China Index ETF
S000045374
N
50000.00000000
73.95424211
0.21398635
26.04575788
0.21398635
76.72596471
1.99954439
23.27403528
1.99954439
0.00000000
4900.00000000
0.00000000
0.00000000
4900.00000000
0.00000000
0.00000000
4900.00000000
0.00000000
0.00000000
4900.00000000
0.00000000
N
KraneShares Electric Vehicles and Future Mobility Index ETF
S000061165
N
50000.00000000
19.30999180
2.31701860
80.69000819
2.31701860
20.49429347
0.22555672
79.50570652
0.22555672
0.00000000
800.00000000
0.00000000
0.00000000
800.00000000
0.00000000
0.00000000
800.00000000
0.00000000
0.00000000
800.00000000
0.00000000
N
Quadratic Interest Rate Volatility and Inflation Hedge ETF
S000065362
N
25000.00000000
13.88177389
1.13269051
86.11822610
1.13269051
13.99422307
1.29602263
86.00577692
1.29602263
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
N
KFA Small Cap Quality Dividend Index ETF
S000065597
N
50000.00000000
-0.47998045
0.67925163
100.47998045
0.67925163
-0.12554156
0.51627829
100.12554156
0.51627829
0.00000000
350.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
350.00000000
0.00000000
0.00000000
0.00000000
0.00000000
N
KFA Value Line(R) Dynamic Core Equity Index ETF
S000069664
N
50000.00000000
-0.14253422
0.20367916
100.14253422
0.20367916
-0.07147868
0.00000000
100.07147868
0.00000000
0.00000000
333.33333333
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
400.00000000
0.00000000
0.00000000
0.00000000
0.00000000
N
KraneShares CICC China Leaders 100 Index ETF
S000041203
N
50000.00000000
100.00000000
0.00000000
0.00000000
0.00000000
100.00000000
0.00000000
0.00000000
0.00000000
0.00000000
1700.00000000
0.00000000
0.00000000
1700.00000000
0.00000000
0.00000000
1700.00000000
0.00000000
0.00000000
1700.00000000
0.00000000
N
KraneShares Emerging Markets Consumer Technology Index ETF
S000056077
N
50000.00000000
45.22078433
4.56202264
54.77921566
4.56202264
37.87729149
0.81866297
62.12270850
0.81866297
0.00000000
1500.00000000
0.00000000
0.00000000
1500.00000000
0.00000000
0.00000000
1500.00000000
0.00000000
0.00000000
1500.00000000
0.00000000
N
KraneShares MSCI All China Health Care Index ETF
S000059796
N
50000.00000000
100.00000000
0.00000000
0.00000000
0.00000000
100.00000000
0.00000000
0.00000000
0.00000000
0.00000000
1200.00000000
0.00000000
0.00000000
1200.00000000
0.00000000
0.00000000
1200.00000000
0.00000000
0.00000000
1200.00000000
0.00000000
N
KFA Large Cap Quality Dividend Index ETF
S000065596
N
50000.00000000
-2.11261138
0.27127013
102.11261138
0.27127013
0.11411420
0.13404362
99.88588579
0.13404362
0.00000000
700.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
700.00000000
0.00000000
0.00000000
0.00000000
0.00000000
N
KraneShares Global Carbon ETF
S000066286
N
50000.00000000
100.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00400584
0.00000000
0.00000000
0.00400584
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
N
KraneShares Bosera MSCI China A Share ETF
S000041738
N
50000.00000000
100.00000000
0.00000000
0.00000000
0.00000000
100.00000000
0.00000000
0.00000000
0.00000000
0.00000000
7500.00000000
0.00000000
0.00000000
7500.00000000
0.00000000
0.00000000
7500.00000000
0.00000000
0.00000000
7500.00000000
0.00000000
N
KraneShares MSCI China Clean Technology Index ETF
S000049858
N
50000.00000000
100.00000000
0.00000000
0.00000000
0.00000000
100.00000000
0.00000000
0.00000000
0.00000000
0.00000000
800.00000000
0.00000000
0.00000000
800.00000000
0.00000000
0.00000000
800.00000000
0.00000000
0.00000000
800.00000000
0.00000000
N
KraneShares E Fund China Commercial Paper ETF
S000044482
N
50000.00000000
100.00000000
0.00000000
0.00000000
0.00000000
100.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00074797
0.00000000
0.00000000
0.00074797
0.00000000
0.00000000
0.00071295
0.00000000
0.00000000
0.00071295
N
KraneShares MSCI Emerging Markets ex China Index ETF
S000064914
N
50000.00000000
75.29744664
0.14532049
24.70255335
0.14532049
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
17500.00000000
0.00000000
0.00000000
17500.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
N
KraneShares MSCI One Belt One Road Index ETF
S000056904
N
50000.00000000
46.02627187
0.00000000
53.97372812
0.00000000
51.79326927
0.00000000
48.20673072
0.00000000
0.00000000
3600.00000000
0.00000000
0.00000000
3600.00000000
0.00000000
0.00000000
3600.00000000
0.00000000
0.00000000
3600.00000000
0.00000000
N
KraneShares CSI China Internet ETF
S000041596
N
50000.00000000
31.31595592
2.36771807
68.68404407
2.36771807
29.76774848
7.20858700
70.23225151
7.20858700
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
N
KraneShares MSCI China ESG Leaders Index ETF
S000068743
N
50000.00000000
84.62832977
0.63544991
15.37167022
0.63544991
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
1750.00000000
0.00000000
0.00000000
1750.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
N
KraneShares CCBS China Corporate High Yield Bond USD Index ETF
S000059793
N
50000.00000000
100.00000000
0.00000000
0.00000000
0.00000000
100.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00063548
0.00000000
0.00000000
0.00063548
0.00000000
0.00000000
0.00063480
0.00000000
0.00000000
0.00063480
N
KraneShares CICC China 5G and Semiconductor Index ETF
S000067201
N
50000.00000000
100.00000000
0.00000000
0.00000000
0.00000000
100.00000000
0.00000000
0.00000000
0.00000000
0.00000000
466.66666666
0.00000000
0.00000000
466.66666666
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
N
KraneShares CICC China Consumer Leaders Index ETF
S000068565
N
50000.00000000
100.00000000
0.00000000
0.00000000
0.00000000
100.00000000
0.00000000
0.00000000
0.00000000
0.00000000
855.00000000
0.00000000
0.00000000
855.00000000
0.00000000
0.00000000
900.00000000
0.00000000
0.00000000
900.00000000
0.00000000
N
KFA Mount Lucas Index Strategy ETF
S000070143
N
50000.00000000
100.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00105641
0.00000000
0.00000000
0.00105641
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
N
KFA Dynamic Fixed Income ETF
S000067123
N
50000.00000000
100.00000000
0.00000000
0.00000000
0.00000000
3.46097761
0.00000000
96.53902238
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
N
KraneShares SSE STAR Market 50 Index ETF
S000069005
N
50000.00000000
100.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
2045.45454545
0.00000000
0.00000000
2045.45454545
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
N
KraneShares Emerging Markets Healthcare Index
S000061164
N
50000.00000000
93.12493605
0.82680859
6.87506394
0.82680859
92.70059408
0.00000000
7.29940591
0.00000000
0.00000000
2100.00000000
0.00000000
0.00000000
2100.00000000
0.00000000
0.00000000
2100.00000000
0.00000000
0.00000000
2100.00000000
0.00000000
N
true
INTERNAL CONTROL RPT
2
Kraneshares_ICL.txt
INTERNAL CONTROL LETTER
Report of Independent Registered Public Accounting Firm
To the Shareholders and Board of Trustees KraneShares Trust:
In planning and performing our audits of the financial statements and
consolidated financial statements of KraneShares Trust, comprised of
the funds listed in the Appendix (collectively, the Funds), as of and for
the year or period ended March 31, 2021, in accordance with the
standards of the Public Company Accounting Oversight Board (United
States), we considered the Funds 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 consolidated 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 Funds internal control over financial reporting. Accordingly, we
express no such opinion.
Management of the Funds 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 companys 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 and
consolidated financial statements for external purposes in accordance
with generally accepted accounting principles. A companys 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 and consolidated 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 the
companys assets that could have a material effect on the financial
statements and consolidated 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 Funds
annual or interim financial statements and consolidated financial
statements will not be prevented or detected on a timely basis.
Our consideration of the Funds 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 Funds 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 March 31, 2021.
This report is intended solely for the information and use of
management and the Board of Trustees of KraneShares 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.
KPMG LLP
Philadelphia, Pennsylvania
May 28, 2021
Appendix
Financial statements for the year ended March 31, 2021:
KraneShares CICC China Leaders 100 Index ETF
KraneShares CSI China Internet ETF
KraneShares Bosera MSCI China A Share ETF
KraneShares E Fund China Commercial Paper ETF
KraneShares MSCI All China Index ETF
KraneShares MSCI One Belt One Road Index ETF
KraneShares Emerging Markets Consumer Technology Index ETF
KraneShares MSCI China Clean Technology Index ETF
(Formerly, KraneShares MSCI China Environment Index ETF)
KraneShares Electric Vehicles and Future Mobility Index ETF
KraneShares MSCI All China Health Care Index ETF
KraneShares CCBS China Corporate High Yield Bond USD Index ETF
KraneShares Emerging Markets Healthcare Index ETF
KraneShares MSCI Emerging Markets ex China Index ETF
KFA Large Cap Quality Dividend Index ETF
KFA Small Cap Quality Dividend Index ETF
KFA Dynamic Fixed Income ETF
Quadratic Interest Rate Volatility and Inflation Hedge ETF
Financial statements for the period from July 28, 2020 through
March 31, 2021:
KraneShares MSCI China ESG Leaders Index ETF
Consolidated financial statements or the period from July 29, 2020
through March 31, 2021:
KraneShares Global Carbon ETF (Formerly, KFA Global Carbon ETF)
Financial statements for the period from November 23, 2020
through March 31, 2021:
KraneShares CICC China 5G & Semiconductor Index ETF
KFA Value Line Dynamic Core Equity Index ETF
Consolidated financial statements for the period from December 1, 2020
through March 31, 2021:
KFA Mount Lucas Index Strategy ETF
Financial statements for the period from December 8, 2020
through March 31, 2021:
KraneShares CICC China Consumer Leaders Index ETF
Financial statements or the period from January 26, 2021 through
March 31, 2021:
KraneShares SSE STAR Market 50 Index ETF