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Hartford Multifactor US Equity ETF

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Objective

Hartford Multifactor US Equity ETF (”ROUS”) seeks to provide investment results that, before fees and expenses, correspond to the total return performance of Hartford Risk-Optimized Multifactor US Equity Index (Bloomberg Ticker: LROUSLX), which tracks the performance of publicly traded large-cap US equity securities.

Overview

Designed to provide equity exposure to the US market

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

Characteristics

Holdings Characteristics
(as of 3/31/2018)
Fund MSCI USA Index
Price-to-Book 2.61 3.23
Price-to-Earnings 16.03 21.71
Return on Equity(%) 16.23 13.34
Debt to Equity 1.28 1.69
Dividend Yield(%) 1.88 1.92
30-Day SEC Yield(%) 1.84 -
Nominal Countries 1 2
Effective Countries 1 1
Nominal Companies 354 625
Effective Companies 199 134
Return Characteristics
(as of 3/31/2018)
Fund
Standard Deviation 10.23
Alpha -0.24
Beta 0.94
R Squared 89.66
Sharpe Ratio 0.89
Information Ratio -0.28
Up Capture 91.59
Down Capture 94.51

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

Top Ten Holdings (%)

(as of 4/20/2018)
Valero Energy Corp Common Stock Usd.01 1.44
Vmware Inc Class A Common Stock Usd.01 1.34
Centene Corp Common Stock Usd.001 1.26
Marathon Petroleum Corp Common Stock 1.20
Micron Technology Inc Common Stock Usd.1 1.11
Hp Inc Common Stock Usd.01 1.10
Express Scripts Holding Co Common Stock Usd.01 0.99
Best Buy Co Inc Common Stock Usd.1 0.97
Lyondellbasell Indu Cl A Common Stock Eur.04 0.95
Prudential Financial Inc Common Stock Usd.01 0.95
Total of Top Ten Holdings 11.31

Holdings are subject to change. Percentages may be rounded.

Market Cap Distribution(%)
(as of 3/31/2018)
Fund MSCI USA Index
Less than $2B 0.2 0.0
$2B - $10B 27.5 5.1
$10B - $100B 57.0 48.2
Greater than $100B 15.3 46.6
Sector Exposure (%)
Sectors 2/28/2018 Fund 3/31/2018 MSCI USA Index 3/31/2018 UNDERWEIGHT / OVERWEIGHT -4 0 4
Financials 17.8 17.6 14.6
Overweight 75.0%
Materials 5.0 5.0 2.9
Overweight 50.0%
Health Care 14.8 14.9 13.3
Overweight 50.0%
Real-Estate 3.5 3.5 2.8
Overweight 25.0%
Energy 5.0 6.1 5.7
Overweight 0.0%
Industrials 11.0 10.2 10.0
Overweight 0.0%
Telecommunication Services 1.4 1.4 1.9
Overweight 25.0%
Utilities 2.0 2.3 2.8
Overweight 25.0%
Consumer Staples 6.3 6.8 7.4
Overweight 25.0%
Consumer Discretionary 11.4 10.8 13.1
Overweight 50.0%
Information Technology 21.7 21.3 25.3
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
3/22/2018 3/23/2018 3/27/2018 $0.098706 $0.000000 $0.000000 $0.098706
12/21/2017 12/22/2017 12/29/2017 $0.138877 $0.000000 $0.000000 $0.138877
9/25/2017 9/26/2017 9/28/2017 $0.109584 $0.000000 $0.000000 $0.109584
6/23/2017 6/27/2017 6/29/2017 $0.109161 $0.000000 $0.000000 $0.109161
3/23/2017 3/27/2017 3/29/2017 $0.123768 $0.000000 $0.000000 $0.123768
12/23/2016 12/28/2016 12/30/2016 $0.141720 $0.000000 $0.000000 $0.141720
9/22/2016 9/26/2016 9/29/2016 $0.108954 $0.000000 $0.000000 $0.108954
6/22/2016 6/24/2016 6/29/2016 $0.122848 $0.000000 $0.000000 $0.122848
3/23/2016 3/28/2016 3/31/2016 $0.136784 $0.000000 $0.000000 $0.136784
12/23/2015 12/28/2015 12/30/2015 $0.137899 $0.000000 $0.000000 $0.137899
9/24/2015 9/28/2015 10/1/2015 $0.111086 $0.000000 $0.000000 $0.111086
6/24/2015 6/26/2015 6/30/2015 $0.135400 $0.000000 $0.000000 $0.135400

Performance

Performance (%)
% (as of 3/31/2018)
Average Annual Total Returns % (as of 3/31/2018)
YTD 1YR 3YR 5YR SI1
Multifactor US Equity ETF (ROUS, NAV) -0.13 17.39 9.60 --- 9.16
Multifactor US Equity ETF (ROUS, Market Price) -0.13 17.43 9.57 --- 9.17
Underlying Index (Hartford Risk-Optimized Multifactor US Equity Index - LROUSLX) -0.08 17.67 9.83 --- 9.37
MSCI USA Index -0.63 14.03 10.55 13.23 ---
Performance (%)
% (as of 3/31/2018)
Average Annual Total Returns % (as of 3/31/2018)
YTD 1YR 3YR 5YR SI1
Multifactor US Equity ETF (ROUS, NAV) -0.13 17.39 9.60 --- 9.16
Multifactor US Equity ETF (ROUS, Market Price) -0.13 17.43 9.57 --- 9.17
Underlying Index (Hartford Risk-Optimized Multifactor US Equity Index - LROUSLX) -0.08 17.67 --- --- 9.37
MSCI USA Index -0.63 14.03 10.55 13.23 ---

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

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 4/20/2018)
Ticker ROUS
Inception February 25, 2015
Underlying Index LROUSLX
Net Assets $71,991,046.96
Shares Outstanding 2,300,000
Distributor ALPS Distributors, Inc.
Trading Details  (as of 4/20/2018)
Ticker ROUS
CUSIP 518416409
IOPV TICKER ROUS.IV
Stock Exchange NYSE Arca
Close $31.24
Change $-0.26
Change % -0.83%
Net Asset Value(NAV) $31.30
NAV Change $-0.23
NAV Change % -0.74%
Premium/Discount -0.19%

Insights & Literature

pdf

The 5-Minute Forecast 

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.
pdf

3 Myths About ETF Liquidity 

Thu Mar 01 09:30:00 EST 2018
On the surface, ETFs and mutual funds generally share common characteristics. But underneath the surface, ETF liquidity is significantly different.
pdf

The Factor Report 1Q18 

Wed Jan 31 11:02:00 EST 2018
Explore the regions, sectors, and factors that are driving investment performance.

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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. ● 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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