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Hartford Multifactor US Equity ETF

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Effective 9/11/19, the Hartford Multifactor US Equity ETF (Fund) changed its principal investment strategy, custom underlying index and reference index. See the Fund's prospectus, as supplemented, for more information.

Objective

Hartford Multifactor US Equity ETF (”ROUS”)  seeks to provide investment results that, before fees and expenses, correspond to the total return performance of an index that tracks the performance of exchange traded U.S. equity securities.

Overview

Designed to provide equity exposure to the US market with potentially less volatility over a complete market cycle than traditional capitalization-weighted indices

More About Hartford Multifactor 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

Seek to improve diversification versus a cap-weighted benchmark by reducing concentration at the sector, market cap, 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

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

Allocations, exposures and holdings are subject to change. Percentages may be rounded.
Holdings Characteristics
(as of 4/30/2020)
Fund Russell 1000 Index
Price/Book 2.3x 3.1x
Price/Earnings 14.9x 21.0x
Return on Equity 27.2% 25.7%
Nominal Companies 376 984
Effective Companies 187 94
Debt to Equity 123.4% 143.7%
Index Dividend Yield (%) 2.67 2.00

Sector Exposure (%)

(as of 4/30/2020)
label currentpercentage
Information Technology 23
Health Care 18
Financials 11
Consumer Staples 9
Communication Services 8
Consumer Discretionary 8
Industrials 7
Utilities 5
Real Estate 5
Materials 4
Energy 2

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.

Top Ten Holdings (%)

(as of 5/22/2020)
VERIZON COMMUNICATIONS INC COMMON STOCK USD.1 1.55
ACCENTURE PLC CL A COMMON STOCK USD.0000225 1.25
INTEL CORP COMMON STOCK USD.001 1.23
BRISTOL MYERS SQUIBB CO COMMON STOCK USD.1 1.22
JOHNSON + JOHNSON COMMON STOCK USD1.0 1.21
AT+T INC COMMON STOCK USD1.0 1.21
MERCK + CO. INC. COMMON STOCK USD.5 1.20
APPLE INC COMMON STOCK USD.00001 1.12
WALMART INC COMMON STOCK USD.1 1.12
UNITEDHEALTH GROUP INC COMMON STOCK USD.01 1.06
Total of Top Ten Holdings 12.17
Market Cap Distribution(%)
(as of 4/30/2020)
Fund Russell 1000 Index
Less than $2B 0 0
$2B - $10B 28 8
$10B - $100B 37 38
Greater than $100B 35 53
Distributions and Capital Gains
Ex-Dividend Date Record Date Payable Date Ordinary Income Short Term Capital Gains Long Term Capital Gains Total Distribution
3/25/2020 3/26/2020 3/30/2020 $0.1409 $0.0000 $0.0000 $0.1409
12/20/2019 12/23/2019 12/26/2019 $0.2448 $0.0000 $0.0000 $0.2448
9/24/2019 9/25/2019 9/27/2019 $0.1571 $0.0000 $0.0000 $0.1571
6/25/2019 6/26/2019 6/28/2019 $0.1552 $0.0000 $0.0000 $0.1552

Past distributions are not indicative of future distributions.

Performance

Performance (%)
% (as of 4/30/2020)
Average Annual Total Returns % (as of 4/30/2020)
YTD 1YR 3YR 5YR SI1
Hartford Multifactor US Equity ETF(ROUS, NAV) -13.78 -7.49 4.20 5.36 4.84
Hartford Multifactor US Equity ETF(ROUS, Market Price) -13.78 -7.52 4.21 5.35 4.83
Underlying Index (Hartford Multifactor Large Cap Spliced Index) -13.80 -7.38 4.38 5.55 ---
Russell 1000 Index -9.68 0.09 8.68 8.74 ---
Performance (%)
% (as of 3/31/2020)
Average Annual Total Returns % (as of 3/31/2020)
YTD 1YR 3YR 5YR SI1
Hartford Multifactor US Equity ETF(ROUS, NAV) -22.39 -13.74 0.95 2.90 2.77
Hartford Multifactor US Equity ETF(ROUS, Market Price) -22.43 -13.83 0.92 2.86 2.76
Underlying Index (Hartford Multifactor Large Cap Spliced Index) -22.41 -13.64 1.11 3.08 ---
Russell 1000 Index -20.22 -8.03 4.64 6.22 ---

SI = Since Inception.
Fund Inception: 02/25/2015
Operating Expenses:  
Net  0.19%  |   Gross  0.19%

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.

Effective 9/11/19, the Fund's custom underlying index changed from the Hartford Risk-Optimized Multifactor US Equity Index ("US Equity Index") to Hartford Multifactor Large Cap Index ("Large Cap Index"). The Hartford Multifactor Large Cap Spliced Index reflects the performance of the US Equity Index through 9/11/19 and the performance of the Large Cap Index thereafter. The Fund’s performance and historical returns shown for the periods prior to 9/11/19 are not necessarily indicative of the performance that the Fund would have generated based on its current custom underlying index.

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.

Morningstar Rating
(as of 4/30/2020)
Overall infoIcon infoIcon Overall, 4 stars, 3-Year, 4 stars, and 5-Year, 4 stars, rated against 1104, 1104 and 953 products, respectively. Morningstar RatingTM is calculated for products with at least a 3-year history, based on a risk-adjusted return measure (excluding any applicable sale charges) and accounts for variations in a product's monthly performance. 5 stars are assigned to the top 10%; 4 stars to the next 22.5%, 3 stars to the next 35%, 2 stars to the next 22.5% and 1 star to the bottom 10%. ETFs and mutual funds are considered a single population. The Overall Rating is derived from a weighted average of the performance figures associated with its 3-, 5-, and 10-year (if applicable) Morningstar Rating metrics. For more information about these ratings, including their methodology, please go to global.morningstar.com/managerdisclosures . Ratings for other share classes may vary and are subject to change monthly. Past performance is no guarantee of future performance.
©2020 Morningstar, Inc. All rights reserved. The information contained herein: (1) is proprietary to Morningstar and/ or its content providers; (2) may not be copied or distributed; and (3) is not warranted to be accurate, complete or timely. Neither Morningstar nor its content providers are responsible for any damages or losses arising from any use of this information.
: starrating
1104 Products | Large Value Category
Based on Risk-Adjusted Returns

Key Facts & Trading Details

Key Facts  (as of 5/22/2020)
Ticker ROUS
Inception February 25, 2015
Underlying Index LROLCX
Net Assets $272,061,674.64
Shares Outstanding 9,375,000
Distributor ALPS Distributors, Inc.
Trading Details  (as of 5/22/2020)
Ticker ROUS
CUSIP 518416409
IOPV TICKER ROUS.IV
Stock Exchange NYSE Arca
Close $28.99
Change $0.02
Change % 0.07%
Net Asset Value(NAV) $29.02
NAV Change $0.01
NAV Change % 0.02%
Premium/Discount -0.10%

Insights & Literature

pdf

FAANG: Taking a Bite Out of the Equity Market 

05/07/2020
You’ve heard a lot about it. But what exactly is FAANG? Could it eventually bite you?
pdf

The Factor Report 2Q20 

04/28/2020
Explore the regions, sectors, and factors that are driving investment performance.
pdf

Pursuing Long-Term Capital Growth Through Risk Efficiency 

02/20/2020
Investor interest in multifactor strategies continues to accelerate as a potential means to enhance capital growth beyond market beta.

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pdf

Fact Sheet

03/31/2020 | 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 US Equity 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

09/30/2019 | pdf

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

Quarterly Attribution Report - ROUS

03/31/2020 | pdf

Hartford Multifactor US Equity ETF attribution report.

Hartford Multifactor ETF Flyer

03/31/2020 | pdf

Hartford Multifactor ETFs are designed for growth and structured for resilience.

View FINRA Letter

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Hartford Funds ETF Flyer

03/31/2020 | 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 US Equity ETF Pitchbook

03/31/2020 | pdf

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

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Hartford Multifactor ETF Introductory Pitchbook

03/31/2020 | pdf

Hartford Multifactor ETF Introductory Pitchbook

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Hartford Multifactor ETFs Pitchbook

03/31/2020 | pdf

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

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Multifactor US Equity 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 US Equity 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. • 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.

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


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