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Hartford Multifactor Low Volatility US Equity ETF

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Objective

Hartford Multifactor Low Volatility US Equity ETF ("LVUS") seeks to provide investment returns that, before fees and expenses, correspond to the total return performance of Hartford Multifactor Low Volatility US Equity Index (Bloomberg Ticker: LLVUSX), which tracks the performance of exchange traded U.S. equity securities.

Overview

Focuses on delivering the performance potential of US equities with up to 25% less volatility

More About Hartford Multifactor Low Volatility US Equity ETF 

Our systematic, rules-based index methodology is designed to simultaneously address risks while seeking exposures to return-enhancing factors:

Set Risk Parameters

Seeks to deliver exposure to the low volatility factor, balance risk across sectors, and seek neutral to positive exposure to value, momentum, and quality

Select Securities

Pursue equity-market return potential with up to 25% less volatility* through a combination of stock selection and portfolio construction

Reconstitute and Rebalance

Reapply the index methodology twice a year in March and September to maintain strategy consistency

*Risk objectives are measured over a complete market cycle against the underlying index’s eligible universe of securities, weighted by market capitalization.

Characteristics Allocations, exposures and holdings are subject to change. Percentages may be rounded.

Holdings Characteristics
(as of 7/31/2017)
Fund
Price-to-Book 3.48
Price-to-Earnings 24.08
Return on Equity(%) 13.20
Debt to Equity 1.76
Dividend Yield(%) 2.19
Nominal Countries 1
Effective Countries 1
Nominal Companies 238
Effective Companies 141
Market Cap Distribution(%)
(as of 7/31/2017)
Fund MSCI USA IMI
Less than $2B 15.7 4.0
$2B - $10B 25.9 14.0
$10B - $100B 35.2 44.7
Greater than $100B 23.2 37.2
Holdings Characteristics
(as of 7/31/2017)
Fund MSCI USA IMI
Price-to-Book 3.48 3.03
Price-to-Earnings 24.08 22.74
Return on Equity(%) 13.20 11.84
Debt to Equity 1.76 1.53
Dividend Yield(%) 2.19 1.91
Nominal Countries 1 4
Effective Countries 1 1
Nominal Companies 238 2451
Effective Companies 141 188

Top Ten Holdings (%)

(as of 9/22/2017)
Chevron Corp Common Stock Usd.75 1.57
Verizon Communications Inc Common Stock Usd.1 1.57
At+t Inc Common Stock Usd1.0 1.55
Exxon Mobil Corp Common Stock 1.52
Johnson + Johnson Common Stock Usd1.0 1.49
Mcdonald S Corp Common Stock Usd.01 1.48
Unitedhealth Group Inc Common Stock Usd.01 1.44
Honeywell International Inc Common Stock Usd1.0 1.26
Intl Business Machines Corp Common Stock Usd.2 1.24
Praxair Inc Common Stock Usd.01 1.05
Total of Top Ten Holdings 14.17
Market Cap Distribution(%)
(as of 7/31/2017)
Fund MSCI USA IMI
Less than $2B 15.7 4.0
$2B - $10B 25.9 14.0
$10B - $100B 35.2 44.7
Greater than $100B 23.2 37.2
Sector Exposure (%)
Sectors 6/30/2017 Fund 7/31/2017 MSCI ACWI ex US 7/31/2017 UNDERWEIGHT / OVERWEIGHT -14 0 14
Industrials 18.4 18.7 10.3
Overweight 57.142857142857146%
Consumer Discretionary 17.6 16.8 12.8
Overweight 28.571428571428573%
Telecommunication Services 5.6 5.6 2.0
Overweight 28.571428571428573%
Real-Estate 7.4 7.5 4.1
Overweight 21.42857142857143%
Utilities 6.3 6.4 3.2
Overweight 21.42857142857143%
Materials 6.4 6.4 3.3
Overweight 21.42857142857143%
Consumer Staples 8.5 8.3 7.8
Overweight 7.142857142857143%
Energy 4.3 4.3 5.7
Overweight 7.142857142857143%
Health Care 10.5 10.5 13.9
Overweight 21.42857142857143%
Financials 7.0 7.2 14.6
Overweight 50.0%
Information Technology 8.0 8.3 22.1
Overweight 100.0%

Based on Global Industry Classification Standard (GICS), which was developed by and is the exclusive property and a service mark of MSCI Inc. (MSCI) and Standard & Poor’s, a division of The McGraw-Hill Companies, Inc. (S&P). Excludes cash. May not total to 100% due to rounding and/or pooled vehicle allocations.

Distributions and Capital Gains
Ex-Dividend Date Record Date Payable Date Ordinary Income Short Term Capital Gains Long Term Capital Gains Total Distribution
6/23/2017 6/27/2017 6/29/2017 $0.070405 $0.000000 $0.000000 $0.070405

Past distributions are not indicative of future distributions.

Performance

Performance (%)
% (as of 7/31/2017)
Average Annual Total Returns % (as of 7/31/2017)
YTD 1YR 3YR 5YR SI1
Multifactor Low Volatility US Equity ETF (LVUS, NAV) --- --- --- --- 1.69
Multifactor Low Volatility US Equity ETF (LVUS, Market Price) --- --- --- --- 1.76
Underlying Index (Hartford Multifactor Low Volatility US Equity Index - LLVUSX) --- --- --- --- 1.73
Reference Index (MSCI USA IMI) 11.17 16.10 10.56 14.79 ---
Performance (%)
% (as of 6/30/2017)
Average Annual Total Returns % (as of 6/30/2017)
YTD 1YR 3YR 5YR SI1
Multifactor Low Volatility US Equity ETF (LVUS, NAV) 0.00 0.00 --- --- 0.84
Multifactor Low Volatility US Equity ETF (LVUS, Market Price) 0.00 0.00 --- --- 0.88
Underlying Index (Hartford Multifactor Low Volatility US Equity Index - LLVUSX) 0.00 0.00 --- 0.00 0.88
Reference Index (MSCI USA IMI) 9.05 18.43 9.14 14.59 ---

SI = Since Inception.
Fund Inception: 05/10/2017
Operating Expenses:  
Net  0.29%  |   Gross  0.29%

Performance data quoted represents past performance. Past performance does not guarantee future results. Current performance may be higher or lower than actual data quoted. The investment return and principal value of an investment will fluctuate so that an investor’s shares, when redeemed, may be worth more or less than their original cost. Current performance may be higher or lower than the performance quoted..

Index performance returns do not reflect any management fees, transaction costs, or expenses.

Hartford Multifactor ETF Shares are bought and sold at market price (not NAV) and are not individually redeemed from the Fund. Total returns are calculated using the daily 4:00pm Eastern Time net asset value (NAV). Market price returns reflect the midpoint of the bid/ask spread as of the close of trading on the exchange where Fund shares are listed. Market price returns do not represent the returns you would receive if you traded shares at other times. The Fund is new and has a limited operating history.

1 For comparison purposes, index "inception" return is based on the fund's inception date. 

Key Facts & Trading Details

Key Facts  (as of 9/22/2017)
Ticker LVUS
Inception May 10, 2017
Net Assets $3,859,487.22
Shares Outstanding 150,000
Distributor ALPS Distributors, Inc.
Trading Details  (as of 9/22/2017)
Ticker LVUS
CUSIP 518416706
IOPV TICKER LVUS.IV
Stock Exchange BATS
Close $25.31
Change $0.00
Change % 0.00%
Net Asset Value(NAV) $25.73
NAV Change $0.04
NAV Change % 0.15%
Premium/Discount -1.63%

Insights & Literature

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Tue May 23 10:00:00 EDT 2017
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Fund Literature

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Fact Sheet

03/31/2017 | pdf
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Flyer

07/14/2017 | pdf

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A WORD ABOUT RISK

The Fund is new and has a limited operating history. All investments are subject to risk, including the possible loss of principal. There is no guarantee the Fund will achieve its stated objective. The Fund may experience more than a minimum level of volatility as there is no guarantee that the underlying index’s strategy of seeking to lower volatility will be successful. Diversification does not eliminate the risk of experiencing investment losses. Due to the investment strategy of this Fund it may make higher capital gain distributions than other ETFs. Please read the Fund’s prospectus for specific details regarding the Fund’s risk profile.

Transactions in ETF shares will result in brokerage commissions and will generate tax consequences.  All regulated investment companies are obliged to distribute portfolio gains to shareholders.

IOPV, or Indicative Optimized Portfolio Value, is a calculation disseminated by the stock exchange that approximates the Fund’s NAV every fifteen seconds throughout the trading day.

Premium/discount reflects the relationship between an ETF’s market price and its net asset value (NAV). Because ETFs are traded on an exchange, their market prices are in part driven by supply and demand dynamics. The ETF’s market price may be above its NAV (reflecting a premium) or below its NAV (reflecting a discount).

Investors may acquire ETF Shares and tender them for redemption through the Fund in Creation Unit Aggregations only. Please see the prospectus for more details.

The MSCI information may only be used for your internal use, may not be reproduced or re-disseminated in any form and may not be used as a basis for or a component of any financial instruments or products or indices. None of the MSCI information is intended to constitute investment advice or a recommendation to make (or refrain from making) any kind of investment decision and may not be relied on as such. Historical data and analysis should not be taken as an indication or guarantee of any future performance analysis, forecast or prediction. The MSCI information is provided on an “as is” basis and the user of this information assumes the entire risk of any use made of this information. MSCI, each of its affiliates and each other person involved in or related to compiling, computing or creating any MSCI information (collectively, the “MSCI Parties”) expressly disclaims all warranties (including, without limitation, any warranties or originality, accuracy, completeness, timeliness, non-infringement, merchantability and fitness for a particular purpose) with respect to this information. Without limiting any of the foregoing, in no event shall any MSCI Party have any liability for any direct, indirect, special, incidental, punitive, consequential (including, without limitation, lost profits) or any other damages. (www. msci.com)

Sources for all data: Bloomberg, MSCI and Hartford Funds.

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