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Hartford Multifactor Global Small Cap ETF

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Objective

Hartford Multifactor Global Small Cap ETF (”ROGS”) seeks
to provide investment results that, before fees and expenses, correspond to the total return performance of Hartford Risk-Optimized Multifactor Global Small Cap Index (Bloomberg Ticker: LROGSX), which tracks the performance of small cap companies in the US, developed and emerging markets.

Overview

Designed to provide equity exposure to global small cap markets with potentially less volatility over a complete market cycle than traditional capitalization-weighted indices

More About Hartford Multifactor Global Small Cap ETF 

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

Set Risk Parameters

Seek to improve diversification versus a cap-weighted benchmark by reducing concentration at the sector and individual company levels

Select Securities

Seek companies with a favorable combination of low valuation (50%), high momentum (30%), and high quality (20%) investment factors

Reconstitute and Rebalance

Reapply the investment process twice a year in March and September to ensure the portfolio stays true to the rules-based index methodology

Characteristics

Country Allocation(%)
(as of 5/31/2018)

ROGS
Sorry, your browser does not support inline SVG. United States 40.21
Sorry, your browser does not support inline SVG. Japan 13.24
Sorry, your browser does not support inline SVG. China 11.11
Sorry, your browser does not support inline SVG. South Korea 6.01
Sorry, your browser does not support inline SVG. Australia 5.03
Sorry, your browser does not support inline SVG. Canada 4.51
Sorry, your browser does not support inline SVG. United Kingdom 4.51
Sorry, your browser does not support inline SVG. Taiwan 3.42
Sorry, your browser does not support inline SVG. Israel 1.37
Sorry, your browser does not support inline SVG. Switzerland 1.28
Total of Top 10 Countries(%) 90.68
Sorry, your browser does not support inline SVG. Other (17 countries)
MSCI ACWI Small Cap Index
Sorry, your browser does not support inline SVG. United States 49.58
Sorry, your browser does not support inline SVG. Japan 11.27
Sorry, your browser does not support inline SVG. United Kingdom 6.79
Sorry, your browser does not support inline SVG. Canada 3.37
Sorry, your browser does not support inline SVG. Australia 2.35
Sorry, your browser does not support inline SVG. China 2.28
Sorry, your browser does not support inline SVG. Germany 2.16
Sorry, your browser does not support inline SVG. Taiwan 1.99
Sorry, your browser does not support inline SVG. South Korea 1.93
Sorry, your browser does not support inline SVG. Sweden 1.77
Total of Top 10 Countries(%) 83.51
Sorry, your browser does not support inline SVG. Other (39 countries)

Country allocations are subject to change.

Holdings Characteristics
(as of 5/31/2018)
Fund MSCI ACWI Small Cap Index
Price-to-Book 1.73 1.94
Price-to-Earnings 14.85 30.97
Return on Equity(%) 15.64 7.93
Debt to Equity 0.72 1.30
Dividend Yield(%) 2.74 1.95
Nominal Countries 27 49
Effective Countries 5 4
Nominal Companies 442 6048
Effective Companies 286 2546
Return Characteristics
(as of 5/31/2018)
Fund
Standard Deviation 10.46
Alpha 2.06
Beta 0.92
R Squared 94.21
Sharpe Ratio 0.97
Information Ratio 0.57
Up Capture 97.40
Down Capture 85.10

Fundamental characteristics are based on industry-standard calculation methodologies and determined by Hartford Funds.

Top Ten Holdings (%)

(as of 6/22/2018)
Tianneng Power Intl Ltd Common Stock Hkd.1 0.84
Lhc Group Inc Common Stock Usd.01 0.77
Insperity Inc Common Stock Usd.01 0.70
Eagle Pharmaceuticals Inc Common Stock Usd.001 0.68
Weichai Power Co Ltd H Common Stock Cny1.0 0.66
Times China Holdings Ltd Common Stock Hkd.1 0.65
Marcus + Millichap Inc Common Stock Usd.0001 0.63
Brp Inc/ca Sub Voting Common Stock 0.63
Luminex Corp Common Stock Usd.001 0.61
Total of Top Ten Holdings 6.98

Holdings are subject to change. Percentages may be rounded.

Market Cap Distribution(%)
(as of 5/31/2018)
Fund MSCI ACWI Small Cap Index
Less than $2B 77.8 45.9
$2B - $10B 22.2 52.5
$10B - $100B 0.0 1.5
Greater than $100B 0.0 0.0
Sector Exposure (%)
Sectors 4/30/2018 Fund 5/31/2018 MSCI ACWI Small Cap Index 5/31/2018 UNDERWEIGHT / OVERWEIGHT -2 0 2
Health Care 12.2 13.0 10.8
Overweight 100.0%
Consumer Discretionary 15.4 15.0 13.8
Overweight 50.0%
Information Technology 14.9 15.3 14.2
Overweight 50.0%
Real-Estate 10.3 10.3 10.0
Overweight 0.0%
Telecommunication Services 1.0 1.0 0.8
Overweight 0.0%
Consumer Staples 5.4 5.2 5.0
Overweight 0.0%
Materials 8.3 8.5 8.3
Overweight 0.0%
0.0 0.1 0.0
Overweight 0.0%
Energy 4.3 4.4 4.3
Overweight 0.0%
Industrials 16.2 15.7 16.8
Overweight 50.0%
Utilities 0.8 0.7 2.9
Overweight 100.0%
Financials 11.3 10.8 13.2
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
12/21/2017 12/22/2017 12/29/2017 $0.442867 $0.000000 $0.000000 $0.442867
6/23/2017 6/27/2017 6/29/2017 $0.229325 $0.000000 $0.000000 $0.229325
12/23/2016 12/28/2016 12/30/2016 $0.342800 $0.000000 $0.000000 $0.342800
6/22/2016 6/24/2016 6/29/2016 $0.226386 $0.000000 $0.000000 $0.226386
12/23/2015 12/28/2015 12/30/2015 $0.364260 $0.000000 $0.000000 $0.364260
6/24/2015 6/26/2015 6/30/2015 $0.207099 $0.000000 $0.000000 $0.207099

Performance

Performance (%)
% (as of 5/31/2018)
Average Annual Total Returns % (as of 5/31/2018)
YTD 1YR 3YR 5YR SI1
Multifactor Global Small Cap ETF (ROGS, NAV) 2.67 18.17 10.69 --- 10.70
Multifactor Global Small Cap ETF (ROGS, Market Price) 2.19 17.79 10.55 --- 10.60
Underlying Index (Hartford Risk-Optimized Global Small Cap Equity Strategy Index - LROGSX) 2.76 18.80 11.33 --- 11.32
MSCI ACWI Small Cap Index 2.45 16.63 9.19 10.37 ---
Performance (%)
% (as of 3/31/2018)
Average Annual Total Returns % (as of 3/31/2018)
YTD 1YR 3YR 5YR SI1
Multifactor Global Small Cap ETF (ROGS, NAV) 0.10 16.92 10.72 --- 10.39
Multifactor Global Small Cap ETF (ROGS, Market Price) 0.57 17.31 10.86 --- 10.63
Underlying Index (Hartford Risk-Optimized Global Small Cap Equity Strategy Index - LROGSX) 0.14 17.61 --- --- 11.03
MSCI ACWI Small Cap Index -0.47 16.21 9.25 10.20 ---

SI = Since Inception.
Fund Inception: 03/23/2015
Operating Expenses:  
Net  0.39%  |   Gross  0.39%

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. 

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

Key Facts & Trading Details

Key Facts  (as of 6/22/2018)
Ticker ROGS
Inception March 23, 2015
Underlying Index LROGSX
Net Assets $22,475,851.17
Shares Outstanding 700,000
Distributor ALPS Distributors, Inc.
Trading Details  (as of 6/22/2018)
Ticker ROGS
CUSIP 518416508
IOPV TICKER ROGS.IV
Stock Exchange NYSE Arca
Close $32.11
Change $0.14
Change % 0.44%
Net Asset Value(NAV) $32.11
NAV Change $0.07
NAV Change % 0.22%
Premium/Discount 0.00%

Insights & Literature

pdf

My Multifactor Mom 

Mon May 14 09:30:00 EDT 2018
By identifying and combining academically and historically backed factors, we believe we can design a more attractive portfolio than just buying the market.
pdf

The Factor Report 2Q18 

Fri Apr 27 11:02:00 EDT 2018
Explore the regions, sectors, and factors that are driving investment performance.
pdf

The 5-Minute Forecast 2Q18 

Wed Apr 18 11:24:00 EDT 2018
A concise summary of the Hartford Funds Multi-Asset Team’s views on the main challenges facing investors: Growth, Income, Volatility, Inflation, and Taxes.

Fund Literature

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Fact Sheet

03/31/2018 | pdf
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Investment Case

02/05/2018 | pdf

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Brochure

03/31/2018 | pdf

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Semi Annual Report

03/31/2018 | pdf

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Annual Report

09/30/2017 | pdf

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Hartford Funds ETF Flyer

01/18/2018 | pdf

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A WORD ABOUT RISK

Investing involves risk, including the possible loss of principal. There is no guarantee a fund will achieve its stated objective. Security prices fluctuate in value depending on general market and economic conditions and the prospects of individual companies. ● Foreign investments may be more volatile and less liquid than U.S. investments and are subject to the risk of currency fluctuations and adverse political and economic developments. These risks may be greater for investments in emerging markets. ● Small cap securities can have greater risk and volatility than large-cap securities. ● Diversification does not eliminate the risk of experiencing investment losses. ● Due to its investment strategy, the fund may make higher capital gain distributions than other ETFs.

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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