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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 10/31/2019)
Fund Russell 1000 Index
Price/Book 3.1x 3.5x
Price/Earnings 18.1x 21.2x
Return on Equity 25.6% 25.2%
Nominal Companies 351 986
Effective Companies 199 124
Debt to Equity 115.8% 150.7%
Index Dividend Yield (%) 2.22 1.82

Sector Exposure (%)

(as of 10/31/2019)
label currentpercentage
Information Technology 20
Health Care 16
Financials 15
Consumer Discretionary 9
Consumer Staples 8
Industrials 8
Communication Services 8
Real Estate 6
Utilities 5
Materials 3
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 12/13/2019)
PFIZER INC COMMON STOCK USD.05 1.24
JOHNSON + JOHNSON COMMON STOCK USD1.0 1.17
MERCK + CO. INC. COMMON STOCK USD.5 1.17
VERIZON COMMUNICATIONS INC COMMON STOCK USD.1 1.16
INTEL CORP COMMON STOCK USD.001 1.15
WESTERN UNION CO COMMON STOCK USD.01 1.03
VMWARE INC CLASS A COMMON STOCK USD.01 1.03
AT+T INC COMMON STOCK USD1.0 1.02
UNITEDHEALTH GROUP INC COMMON STOCK USD.01 1.01
PEPSICO INC COMMON STOCK USD.017 0.98
Total of Top Ten Holdings 10.96
Market Cap Distribution(%)
(as of 10/31/2019)
Fund Russell 1000 Index
Less than $2B 0 0
$2B - $10B 26 9
$10B - $100B 43 42
Greater than $100B 31 49
Distributions and Capital Gains
Ex-Dividend Date Record Date Payable Date Ordinary Income Short Term Capital Gains Long Term Capital Gains Total Distribution
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
3/25/2019 3/26/2019 3/28/2019 $0.1567 $0.0000 $0.0000 $0.1567
12/20/2018 12/21/2018 12/26/2018 $0.1851 $0.0000 $0.0000 $0.1851

Past distributions are not indicative of future distributions.

Performance

Performance (%)
% (as of 11/30/2019)
Average Annual Total Returns % (as of 11/30/2019)
YTD 1YR 3YR 5YR SI1
Hartford Multifactor US Equity ETF(ROUS, NAV) 21.56 9.35 11.36 --- 8.17
Hartford Multifactor US Equity ETF(ROUS, Market Price) 21.72 9.41 11.39 --- 8.19
Underlying Index (Hartford Multifactor Large Cap Spliced Index) 21.62 9.44 11.53 --- ---
Russell 1000 Index 27.74 16.10 14.67 10.80 ---
Performance (%)
% (as of 9/30/2019)
Average Annual Total Returns % (as of 9/30/2019)
YTD 1YR 3YR 5YR SI1
Hartford Multifactor US Equity ETF(ROUS, NAV) 17.41 -0.31 11.64 --- 7.66
Hartford Multifactor US Equity ETF(ROUS, Market Price) 17.45 -0.31 11.63 --- 7.66
Underlying Index (Hartford Multifactor Large Cap Spliced Index) 17.41 -0.26 11.80 --- ---
Russell 1000 Index 20.53 3.87 13.19 10.62 ---

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 9/10/19 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 11/30/2019)
Overall infoIcon infoIcon Overall, 4 stars and 3-Year, 4 stars, rated against 1082 and 1082 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.
©2019 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
1082 Products | Large Value Category
Based on Risk-Adjusted Returns

Key Facts & Trading Details

Key Facts  (as of 12/13/2019)
Ticker ROUS
Inception February 25, 2015
Underlying Index LROLCX
Net Assets $336,127,501.18
Shares Outstanding 10,050,000
Distributor ALPS Distributors, Inc.
Trading Details  (as of 12/13/2019)
Ticker ROUS
CUSIP 518416409
IOPV TICKER ROUS.IV
Stock Exchange NYSE Arca
Close $33.42
Change $-0.13
Change % -0.39%
Net Asset Value(NAV) $33.45
NAV Change $-0.06
NAV Change % -0.17%
Premium/Discount -0.08%

Insights & Literature

pdf

The Factor Report 4Q19 

11/01/2019
Explore the regions, sectors, and factors that are driving investment performance.
pdf

Factor Implications and Investment Styles 

09/27/2019
A foundation for those just beginning to explore the strategic-beta universe.
pdf

How Risk Efficient Is Your Strategic Beta? 

08/23/2019
Make equity risk work harder to enhance capital growth potential.

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pdf

Fact Sheet

09/30/2019 | 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 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.

5 Tips for Trading ETFs

11/27/2019 | pdf

How to pursue better trade execution

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Hartford Funds ETF Flyer

11/01/2019 | 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 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 US Equity ETF Pitchbook

09/30/2019 | pdf

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

Hartford Multifactor ETFs Pitchbook

09/30/2019 | pdf

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

Hartford Multifactor ETF Introductory Pitchbook

09/30/2019 | pdf

Hartford Multifactor ETF Introductory Pitchbook

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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