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Hartford Multifactor Global Small Cap ETF

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Effective 11/6/19, the Hartford Multifactor Global Small Cap ETF (“ROGS”) will change its name, ticker symbol, principal investment strategy, and broad-based index. The proprietary custom benchmark index tracked by ROGS will change from Hartford Risk Optimized Multifactor Global Small Cap Index to Hartford Multifactor Small Cap Index.

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 an index that tracks the performance of small capitalization exchange traded equity securities.

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 June and December to ensure the portfolio stays true to the rules-based index methodology

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

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

Country Allocation(%)
(as of 9/30/2019)

ROGS
Sorry, your browser does not support inline SVG. UNITED STATES 34
Sorry, your browser does not support inline SVG. JAPAN 16
Sorry, your browser does not support inline SVG. CHINA 9
Sorry, your browser does not support inline SVG. AUSTRALIA 6
Sorry, your browser does not support inline SVG. CANADA 5
Sorry, your browser does not support inline SVG. SOUTH KOREA 5
Sorry, your browser does not support inline SVG. UNITED KINGDOM 4
Sorry, your browser does not support inline SVG. TAIWAN 4
Sorry, your browser does not support inline SVG. SWEDEN 2
Sorry, your browser does not support inline SVG. FRANCE 2
Total of Top 10 Countries(%) 87
Sorry, your browser does not support inline SVG. Other (16 countries)
MSCI ACWI Small Cap Index
Sorry, your browser does not support inline SVG. UNITED STATES 52
Sorry, your browser does not support inline SVG. JAPAN 11
Sorry, your browser does not support inline SVG. UNITED KINGDOM 6
Sorry, your browser does not support inline SVG. CANADA 3
Sorry, your browser does not support inline SVG. AUSTRALIA 3
Sorry, your browser does not support inline SVG. GERMANY 2
Sorry, your browser does not support inline SVG. TAIWAN 2
Sorry, your browser does not support inline SVG. SWEDEN 2
Sorry, your browser does not support inline SVG. SWITZERLAND 2
Sorry, your browser does not support inline SVG. SOUTH KOREA 1
Total of Top 10 Countries(%) 84
Sorry, your browser does not support inline SVG. Other (39 countries)
Holdings Characteristics
(as of 9/30/2019)
Fund MSCI ACWI Small Cap Index
Price/Book 1.4x 1.7x
Price/Earnings 11.7x 16.2x
Return on Equity 16.3% 10.5%
Nominal Companies 441 5952
Effective Companies 290 2375
Nominal Countries 26 49
Effective Countries 6 3
Debt to Equity 84.5% 110.9%
Index Dividend Yield (%) 3.27 2.19
Return Characteristics
(as of 9/30/2019)
Fund
Standard Deviation (3 Year) 11.67%
Alpha (3 Year) 0.02
Beta (3 Year) 0.89
R Squared (3 Year) 96.56
Information Ratio (3 Year) -0.20
Up Capture (3 Year) 93.21
Sharpe Ratio (3 Year) 0.46
Down Capture (3 Year) 93.59

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

Top Ten Holdings (%)

(as of 10/17/2019)
BOSIDENG INTL HLDGS LTD COMMON STOCK USD.00001 1.22
ONESAVINGS BANK PLC COMMON STOCK GBP.01 0.98
MATCH GROUP INC COMMON STOCK USD.001 0.69
AARON S INC COMMON STOCK USD.5 0.65
AMN HEALTHCARE SERVICES INC COMMON STOCK USD.01 0.64
CORVEL CORP COMMON STOCK USD.0001 0.62
UNITE GROUP PLC REIT GBP.25 0.61
ZHEN DING TECHNOLOGY HOLDING COMMON STOCK TWD10. 0.61
US DOLLAR 0.61
VIVA ENERGY REIT REIT 0.58
Total of Top Ten Holdings 7.21
Market Cap Distribution(%)
(as of 9/30/2019)
Fund MSCI ACWI Small Cap Index
Less than $2B 63 39
$2B - $10B 35 60
$10B - $100B 2 1
Greater than $100B 0 0

Sector Exposure (%)

(as of 9/30/2019)
label currentpercentage
Industrials 16
Consumer Discretionary 16
Information Technology 14
Financials 11
Health Care 11
Real Estate 8
Communication Services 6
Energy 6
Materials 6
Consumer Staples 6
Utilities 1

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
6/25/2019 6/26/2019 6/28/2019 $0.3331 $0.0000 $0.0000 $0.3331
12/20/2018 12/21/2018 12/26/2018 $0.4786 $0.0000 $0.0000 $0.4786

Past distributions are not indicative of future distributions.

Performance

Performance (%)
% (as of 9/30/2019)
Average Annual Total Returns % (as of 9/30/2019)
YTD 1YR 3YR 5YR SI1
Hartford Multifactor Global Small Cap ETF(ROGS, NAV) 7.08 -7.46 6.49 --- 5.45
Hartford Multifactor Global Small Cap ETF(ROGS, Market Price) 7.06 -7.33 6.21 --- 5.39
Underlying Index (Hartford Risk-Optimized Global Small Cap Equity Index - LROGSX) 7.21 -7.27 6.87 --- 5.93
MSCI ACWI Small Cap Index 13.59 -5.45 7.00 6.24 ---
Performance (%)
% (as of 9/30/2019)
Average Annual Total Returns % (as of 9/30/2019)
YTD 1YR 3YR 5YR SI1
Hartford Multifactor Global Small Cap ETF(ROGS, NAV) 7.08 -7.46 6.49 --- 5.45
Hartford Multifactor Global Small Cap ETF(ROGS, Market Price) 7.06 -7.33 6.21 --- 5.39
Underlying Index (Hartford Risk-Optimized Global Small Cap Equity Index - LROGSX) 7.21 -7.27 6.87 --- 5.93
MSCI ACWI Small Cap Index 13.59 -5.45 7.00 6.24 ---

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

Performance data quoted represents past performance and does not guarantee future results. 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 lower or higher than the performance data quoted.

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

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. Brokerage commissions apply and will reduce returns.

1 Index "inception" return is based on the fund's inception date.

Key Facts & Trading Details

Key Facts  (as of 10/18/2019)
Ticker ROGS
Inception March 23, 2015
Underlying Index LROGSX
Net Assets $17,422,450.79
Shares Outstanding 600,000
Distributor ALPS Distributors, Inc.
Trading Details  (as of 10/18/2019)
Ticker ROGS
CUSIP 518416508
IOPV TICKER ROGS.IV
Stock Exchange NYSE Arca
Close $28.98
Change $-0.06
Change % -0.21%
Net Asset Value(NAV) $29.04
NAV Change $-0.05
NAV Change % -0.18%
Premium/Discount -0.20%

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pdf

Fact Sheet

06/30/2019 | pdf

This Fact Sheet summarizes the ETF's investment approach, portfolio statistics, top holdings, and current performance.

View FINRA Letter

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Multifactor Global Small Cap ETF Summary Prospectus

01/26/2018 | pdf

A concise summary of the Fund’s investment strategy, performance, expenses, risks, and management team.

Semi Annual Report

03/31/2019 | pdf

A semi-annual update on the Fund that includes a manager discussion of the Fund’s performance and financial statements.

Annual Report

09/30/2018 | pdf

An annual update on the Fund that includes a manager discussion of the Fund’s performance and financial statements.

Hartford Multifactor ETF Investment Process Flyer

09/30/2019 | pdf

This flyer explains how Hartford Multifactor ETFs pursue growth by taking better risk.

View FINRA Letter

Hartford Multifactor Global Small Cap ETF Pitchbook

09/30/2019 | pdf

This Pitchbook reviews the ETFs investment approach, investment team, investment process, and general portfolio parameters.

Hartford Funds ETF Flyer

06/30/2019 | pdf

Exchange-traded funds (ETFs) designed by Hartford Funds - both strategic beta and actively managed - seek to provide investors with the tools to take greater control over the risks and opportunities in their portfolios.

Hartford Multifactor ETFs Pitchbook

06/30/2019 | pdf

This Pitchbook reviews the ETFs' investment approach, investment team, investment process, portfolio statistics, top holdings, and current performance.

Hartford Multifactor ETF Introductory Pitchbook

06/30/2019 | pdf

Hartford Multifactor ETF Introductory Pitchbook

Multifactor Global Small Cap ETF Statutory Prospectus

05/11/2018 | pdf

An annual update on the Fund that includes information about the Fund’s investment manager, sub-adviser, and operations.

Multifactor Global Small Cap ETF SAI

01/26/2018 | pdf

A supplementary document to the Fund’s prospectus that includes additional information about the Fund and its operations.  

Important Risks: Investing involves risk, including the possible loss of principal. 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. • Investments focused in a sector, industry or group of industries may increase volatility and risk. • The Fund is not actively managed but rather attempts to track the performance of an index. The Fund's returns may diverge from that of the index.

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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