X0201 N-CEN LIVE 0001559992 XXXXXXXX false false false N-1A S000056598 true S000056599 true S000056600 true S000056601 true S000056602 true Stone Ridge Trust 811-22761 0001559992 549300MJ41489Q5JST27 510 Madison Avenue 21st Floor New York 10022 US-NY US 8556093680 U.S. Bancorp Fund Services, LLC 615 E. Michigan St. Milwaukee 53202 8336121912 Transfer Agent and Accountant ALPS Distributors Inc 1290 Broadway Suite 1100 Denver 80203 3036232577 Distributor U.S. Bank N.A. 615 E. Michigan St. Milwaukee 53202 8336121912 Custodial books held Ernst & Young, LLP 220 South 6th Street Minneapolis 55402 6123431000 Independent Registered Public Accounting Firm Ropes & Gray LLP 800 Boylston Street Boston 02199 6179517000 Legal Counsel Y N N-1A 11 Y Jeffery Ekberg N/A N Daniel Charney 002158255 N Ross Stevens N/A Y Lauren Macioce N/A 510 Madison Avenue, 21st Floor New York 10022 XXXXXX N N N N N N N Alps Distributors, Inc. 8-34626 000016853 N/A N N Ernst & Young LLP 00042 254900H1VLSDPE6LJK37 N N N N N N N Elements U.S. Portfolio S000056598 5493000VS7KRROEI6972 Y 2 1 0 N/A Y N Y N N Securities Finance Trust Company 549300TG9E1QX4XYSB91 N N Revenue sharing split 11876347.279230800000 30268.000000000000 N/A Y Y Y N Stone Ridge Asset Management LLC 801-77228 000165598 549300JXJMSTRDTQF377 N U.S. Bancorp Fund Services, LLC 85-11357 N1GZ7BBF3NP8GI976H15 N N N IHS Markit Ltd. 549300HLPTRASHS0E726 BM N Intercontinental Exchange, Inc. 5493000F4ZO33MV32P92 N Bloomberg L.P. 549300B56MD0ZC402L06 N N U.S. Bank N.A. 6BYL5QZYBDK8S7L73M02 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N N U.S. Bancorp Fund Services, LLC N1GZ7BBF3NP8GI976H15 N N N MORGAN STANLEY & CO. LLC 8-15869-1 000008209 9R7GPTSO7KV3UQJZQ078 13822.700000000000 GOLDMAN SACHS & CO. LLC 8-12900 000000361 FOR8UP27PHTHYVLBNG30 10351.690000000000 UBS SECURITIES LLC 8-22651 000007654 T6FIZBDPKLYJKFCRVK44 2240.500000000000 26414.890000000000 U.S. BANCORP INVESTMENTS, INC. 8-35359-1 000017868 H85Z6XZP8B10ES0M2G89 1437453105.650000000000 GOLDMAN SACHS & CO. LLC 8-00129-1 000000361 FOR8UP27PHTHYVLBNG30 217039218.370000000000 MORGAN STANLEY & CO. LLC 8-33359-1 000016139 549300PMHS66E71I2D34 96376891.510000000000 1750869215.530000000000 N 1000159306.966140000000 Committed 50000000.000000000000 N N N Elements U.S. Small Cap Portfolio S000056599 549300VBHEOD7EH2FH80 Y 2 1 0 N/A Y N Y N N Securities Finance Trust Company 549300TG9E1QX4XYSB91 N N Revenue sharing split 16624422.910769200000 187459.000000000000 N/A Y Y Y N Stone Ridge Asset Management LLC 801-77228 000165598 549300JXJMSTRDTQF377 N U.S. Bancorp Fund Services, LLC 85-11357 N1GZ7BBF3NP8GI976H15 N N N IHS Markit Ltd. 549300HLPTRASHS0E726 BM N Intercontinental Exchange, Inc. 5493000F4ZO33MV32P92 N Bloomberg L.P. 549300B56MD0ZC402L06 N N U.S. Bank N.A. 6BYL5QZYBDK8S7L73M02 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N N U.S. Bancorp Fund Services, LLC N1GZ7BBF3NP8GI976H15 N N N MORGAN STANLEY & CO. LLC 8-15869-1 000008209 9R7GPTSO7KV3UQJZQ078 26172.620000000000 GOLDMAN SACHS & CO. LLC 8-12900 000000361 FOR8UP27PHTHYVLBNG30 12306.030000000000 UBS SECURITIES LLC 8-22651 000007654 T6FIZBDPKLYJKFCRVK44 1118.030000000000 39596.680000000000 U.S. BANCORP INVESTMENTS, INC. 8-35359-1 000017868 H85Z6XZP8B10ES0M2G89 964260781.219999000000 GOLDMAN SACHS & CO. LLC 8-00129-1 000000361 FOR8UP27PHTHYVLBNG30 87671106.160000000000 MORGAN STANLEY & CO. LLC 8-33359-1 000016139 549300PMHS66E71I2D34 25346318.690000000000 1077278206.070000000000 N 471523694.315890000000 Committed 50000000.000000000000 N N N N Elements International Portfolio S000056600 549300DH041V0UF4OA54 Y 2 1 0 N/A Y N Y N N Brown Brothers Harriman & Co. 5493006KMX1VFTPYPW14 N N Revenue sharing split 15723829.082307700000 152920.000000000000 N/A Y Y Y N Stone Ridge Asset Management LLC 801-77228 000165598 549300JXJMSTRDTQF377 N U.S. Bancorp Fund Services, LLC 85-11357 N1GZ7BBF3NP8GI976H15 N N N IHS Markit Ltd. 549300HLPTRASHS0E726 BM N Intercontinental Exchange, Inc. 5493000F4ZO33MV32P92 N Bloomberg L.P. 549300B56MD0ZC402L06 N N Brown Brothers Harriman & Co. 5493006KMX1VFTPYPW14 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) MUFG BANK, LTD. C3GTMMZIHMY46P4OIX74 JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) RBC INVESTOR SERVICES TRUST FOR ROYAL BANK OF CANADA (RBC) 5493002MUOV04NSPT571 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) STANDARD CHARTERED BANK (HONG KONG) LIMITED FOR STANDARD CHARTERED BANK X5AV1MBDXGRPX5UGMX13 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) STANDARD CHARTERED BANK (SINGAPORE) LIMITED FOR STANDARD CHARTERED BANK 549300MDYVVHJ8D1DW28 SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) SKANDINAVISKA ENSKILDA BANKEN AB (PUBL) F3JS33DEI6XQ4ZBPTN86 SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) SKANDINAVISKA ENSKILDA BANKEN AB (PUBL), OSLO BRANCH F3JS33DEI6XQ4ZBPTN86 NO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) SKANDINAVISKA ENSKILDA BANKEN AB (PUBL), DANMARK BRANCH F3JS33DEI6XQ4ZBPTN86 DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) SKANDINAVISKA ENSKILDA BANKEN AB (PUBL), HELSINKI BRANCH F3JS33DEI6XQ4ZBPTN86 FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) SOCIETE GENERALE SUCURSAL EN ESPANA O2RNE8IBXP4R0TD8PU41 ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) SOCIETE GENERALE SECURITIES SERVICES S.P.A. (SGSS S.P.A.) 549300SAMQW7TYZ1TR74 IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BANK HAPOALIM BM B6ARUI4946ST4S7WOU88 IL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP PARIBAS SECURITIES SERVICES - FRANKFURT BRANCH 549300WCGB70D06XZS54 DE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP PARIBAS SECURITIES SERVICES 549300WCGB70D06XZS54 PT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CREDIT SUISSE (SWITZERLAND) LTD. 549300CWR0W0BCS9Q144 CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG 7LTWFZYICNSX8D621K86 AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK AG, AMSTERDAM BRANCH 7LTWFZYICNSX8D621K86 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK AG, AMSTERDAM BRANCH 7LTWFZYICNSX8D621K86 NL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC BANK AUSTRALIA LIMITED FOR THE HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (HSBC) DY9DBNI4W8J63Z298033 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) N N U.S. Bancorp Fund Services, LLC N1GZ7BBF3NP8GI976H15 N N N MORGAN STANLEY & CO. LLC 8-15869-1 000008209 9R7GPTSO7KV3UQJZQ078 71986.680000000000 GOLDMAN SACHS & CO. LLC 8-12900 000000361 FOR8UP27PHTHYVLBNG30 66772.160000000000 UBS SECURITIES LLC 8-22651 000007654 T6FIZBDPKLYJKFCRVK44 46264.960000000000 185023.800000000000 U.S. BANCORP INVESTMENTS, INC. 8-35359-1 000017868 H85Z6XZP8B10ES0M2G89 1056953270.960000000000 GOLDMAN SACHS & CO. LLC 8-00129-1 000000361 FOR8UP27PHTHYVLBNG30 162956914.020000000000 MORGAN STANLEY & CO. LLC 8-33359-1 000016139 549300PMHS66E71I2D34 41106762.620000000000 1261016947.600000000000 N 628745032.783342000000 N N N N Elements International Small Cap Portfolio S000056601 549300D6YT0UIT5ZJU91 Y 2 1 0 N/A Y N Y N N Brown Brothers Harriman & Co. 5493006KMX1VFTPYPW14 N N Revenue sharing split 8692854.526923080000 205838.000000000000 N/A Y Y Y N Stone Ridge Asset Management LLC 801-77228 000165598 549300JXJMSTRDTQF377 N U.S. Bancorp Fund Services, LLC 85-11357 N1GZ7BBF3NP8GI976H15 N N N IHS Markit Ltd. 549300HLPTRASHS0E726 BM N Intercontinental Exchange, Inc. 5493000F4ZO33MV32P92 N Bloomberg L.P. 549300B56MD0ZC402L06 N N Brown Brothers Harriman & Co. 5493006KMX1VFTPYPW14 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) MUFG BANK, LTD. C3GTMMZIHMY46P4OIX74 JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) RBC INVESTOR SERVICES TRUST FOR ROYAL BANK OF CANADA (RBC) 5493002MUOV04NSPT571 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) STANDARD CHARTERED BANK (HONG KONG) LIMITED FOR STANDARD CHARTERED BANK X5AV1MBDXGRPX5UGMX13 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) STANDARD CHARTERED BANK (SINGAPORE) LIMITED FOR STANDARD CHARTERED BANK 549300MDYVVHJ8D1DW28 SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) SKANDINAVISKA ENSKILDA BANKEN AB (PUBL) F3JS33DEI6XQ4ZBPTN86 SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) SKANDINAVISKA ENSKILDA BANKEN AB (PUBL), OSLO BRANCH F3JS33DEI6XQ4ZBPTN86 NO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) SKANDINAVISKA ENSKILDA BANKEN AB (PUBL), DANMARK BRANCH F3JS33DEI6XQ4ZBPTN86 DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) SKANDINAVISKA ENSKILDA BANKEN AB (PUBL), HELSINKI BRANCH F3JS33DEI6XQ4ZBPTN86 FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) SOCIETE GENERALE SUCURSAL EN ESPANA O2RNE8IBXP4R0TD8PU41 ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) SOCIETE GENERALE SECURITIES SERVICES S.P.A. (SGSS S.P.A.) 549300SAMQW7TYZ1TR74 IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BANK HAPOALIM BM B6ARUI4946ST4S7WOU88 IL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP PARIBAS SECURITIES SERVICES - FRANKFURT BRANCH 549300WCGB70D06XZS54 DE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP PARIBAS SECURITIES SERVICES 549300WCGB70D06XZS54 PT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CREDIT SUISSE (SWITZERLAND) LTD. 549300CWR0W0BCS9Q144 CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG 7LTWFZYICNSX8D621K86 AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK AG, AMSTERDAM BRANCH 7LTWFZYICNSX8D621K86 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK AG, AMSTERDAM BRANCH 7LTWFZYICNSX8D621K86 NL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC BANK AUSTRALIA LIMITED FOR THE HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (HSBC) DY9DBNI4W8J63Z298033 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) N N U.S. Bancorp Fund Services, LLC N1GZ7BBF3NP8GI976H15 N N N MORGAN STANLEY & CO. LLC 8-15869-1 000008209 9R7GPTSO7KV3UQJZQ078 35582.970000000000 GOLDMAN SACHS & CO. LLC 8-12900 000000361 FOR8UP27PHTHYVLBNG30 25769.010000000000 UBS SECURITIES LLC 8-22651 000007654 T6FIZBDPKLYJKFCRVK44 17896.620000000000 79248.600000000000 U.S. BANCORP INVESTMENTS, INC. 8-35359-1 000017868 H85Z6XZP8B10ES0M2G89 532640987.190000000000 GOLDMAN SACHS & CO. LLC 8-00129-1 000000361 FOR8UP27PHTHYVLBNG30 114979974.400000000000 MORGAN STANLEY & CO. LLC 8-33359-1 000016139 549300PMHS66E71I2D34 6733104.050000000000 654354065.640000000000 N 264424210.880849000000 N N N N Elements Emerging Markets Portfolio S000056602 5493001JAPRLZ32J2D64 Y 2 1 0 N/A Y N Y N N Brown Brothers Harriman & Co. 5493006KMX1VFTPYPW14 N N Revenue sharing split 21754698.154615400000 49510.000000000000 N/A Y Y Y N Stone Ridge Asset Management LLC 801-77228 000165598 549300JXJMSTRDTQF377 N U.S. Bancorp Fund Services, LLC 85-11357 N1GZ7BBF3NP8GI976H15 N N N IHS Markit Ltd. 549300HLPTRASHS0E726 BM N Intercontinental Exchange, Inc. 5493000F4ZO33MV32P92 N Bloomberg L.P. 549300B56MD0ZC402L06 N N Brown Brothers Harriman & Co. 5493006KMX1VFTPYPW14 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) STANDARD CHARTERED BANK (TAIWAN) LTD FOR STANDARD CHARTERED BANK 549300QJEO1B92LSHZ06 TW N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) STANDARD CHARTERED BANK (HONG KONG) LIMITED FOR STANDARD CHARTERED BANK X5AV1MBDXGRPX5UGMX13 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) SOCIETE GENERALE, JOHANNESBURG BRANCH O2RNE8IBXP4R0TD8PU41 ZA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BANCO NACIONAL DE MEXICO, SA (BANAMEX) FOR CITIBANK, N.A. 2SFFM4FUIE05S37WFU55 MX N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BANK HANDLOWY W WARSZAWIE SA (BHW) FOR CITIBANK NA XLEZHWWOI4HFQDGL4793 PL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK, N.A., SAO PAULO E57ODZWZ7FF32TWEFA76 BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK KOREA INC. FOR CITIBANK, N.A. 745P3MMS7E8CUVXDRJ82 KR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK, N.A., LONDON BRANCH E57ODZWZ7FF32TWEFA76 GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK A.S. FOR DEUTSCHE BANK A.S. AND DEUTSCHE BANK AG 789000N5SE3LWDK7OI11 TR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) EUROCLEAR BK SA NV 549300OZ46BRLZ8Y6F65 BE N Y Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7) THE HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (HSBC) - THAILAND BRANCH 2HI3YI5320L3RW6NJ957 TH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) N N U.S. Bancorp Fund Services, LLC N1GZ7BBF3NP8GI976H15 N N N GOLDMAN SACHS & CO. LLC 8-12900 000000361 FOR8UP27PHTHYVLBNG30 282812.330000000000 MORGAN STANLEY & CO. LLC 8-15869-1 000008209 9R7GPTSO7KV3UQJZQ078 58589.390000000000 UBS SECURITIES LLC 8-22651 000007654 T6FIZBDPKLYJKFCRVK44 29415.000000000000 370816.720000000000 U.S. BANCORP INVESTMENTS, INC. 8-35359-1 000017868 H85Z6XZP8B10ES0M2G89 853103470.810000000000 GOLDMAN SACHS & CO. LLC 8-00129-1 000000361 FOR8UP27PHTHYVLBNG30 136633208.250000000000 MORGAN STANLEY & CO. LLC 8-33359-1 000016139 549300PMHS66E71I2D34 25970820.830000000000 1015707499.890000000000 N 307486451.747068000000 N N N N true