As filed with the Securities and Exchange Commission on April 29, 2022
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 14A
Proxy Statement Pursuant to Section 14(a) of
the
Securities Exchange Act of 1934
(Amendment No. )
Filed by the Registrant x | Filed by a Party other than the Registrant ¨ |
Check the appropriate box:
¨ | Preliminary Proxy Statement |
¨ | Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
x | Definitive Proxy Statement |
¨ | Definitive Additional Materials |
¨ | Soliciting Material Pursuant to § 240.14a-12 |
IndexIQ ETF Trust
(Name of Registrant as Specified In Its Charter)
(Name of Person(s) Filing Proxy Statement, if Other than the Registrant)
Payment of Filing Fee (Check the appropriate box):
x | No fee required. |
¨ | Fee paid previously with preliminary materials. |
¨ | Fee computed on table in exhibit required by Item 25(b) per Exchange Act Rules 14a6(i)(1) and 0-11. |
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| | | | | A-1 | | | |
| | | | | B-1 | | |
|
Name and
Year of Birth(1) |
| |
Position(s)
Held with Trust |
| |
Term of Office
and Length of Time Served(2) |
| |
Principal Occupation(s)
During Past 5 Years |
| |
Number of
Portfolios in Fund Complex Overseen by Trustee(3) |
| |
Other Directorships
Held by Trustee During Past 5 Years |
|
|
Lofton Holder,
1964 |
| | Nominee | | | N/A | | | Retired; formerly, Managing Partner and Co-Founder, Pine Street Alternative Asset Management, (2011 – 2019). | | | N/A | | | Board Member, Golub Capital BDC, Inc., Golub Capital BDC 3, Inc., and Golub Capital Direct Lending Corporation (each, a business development company) (2021 – present); Board Member, Manning & Napier (investment manager) (2021 – present). | |
|
Michael A.
Pignataro, 1959 |
| | Trustee | | | Since April 2015 | | | Retired; formerly, Director, Credit Suisse Asset Management (2001 to 2012); and Chief Financial Officer, Credit Suisse Funds (1996 to 2013). | | | 28 | | | The New Ireland Fund, Inc. (closed-end fund) (2015 to present). | |
|
Paul D.
Schaeffer, 1951 |
| | Trustee | | | Since April 2015 | | | President, ASP (dba Aspiring Solution Partners) (financial services consulting) (2013 to present); Consultant and Executive Advisor, Aquiline Capital Partners LLC (private equity investment) (2014 to present). | | | 28 | | | Management Board Member, RIA in a Box LLC (financial services consulting) (2018 to 2021); Context Capital Funds (mutual fund trust) (2 Portfolios) (2014 to 2018); Management Board Member, Altegris Investments, LLC (registered broker-dealer) (2016 to 2018); Management Board Member, AssetMark Inc. (financial services consulting) (2016 to 2017); PopTech! (conference operator) (2012 to 2016); Board Member, Pathways Core Training (non-profit) (2019 to present); Board Member, Center for | |
|
Name and
Year of Birth(1) |
| |
Position(s)
Held with Trust |
| |
Term of Office
and Length of Time Served(2) |
| |
Principal Occupation(s)
During Past 5 Years |
| |
Number of
Portfolios in Fund Complex Overseen by Trustee(3) |
| |
Other Directorships
Held by Trustee During Past 5 Years |
|
| | | | | | | | | | | | | | | | Collaborative Investigative Journalism (non-profit) (2020 – present). | |
|
Michelle A. Shell,
1975 |
| | Nominee | | | N/A | | | Visiting Scholar, Harvard Business School (2020 to present); Visiting Assistant Professor of Operations Management, Boston University Questrom School of Business (2020 to present); Business researcher and consultant, self-employed (2013 – 2020). | | | N/A | | | U.S. Charitable Gift Trust (public charity offering donor-advised funds and trust products) (2017 – present). | |
| Interested Trustee | | | | | | | | | | | | | | |||
| Kirk C. Lehneis, 1974(4) | | |
President
Chairman of
the Board |
| |
Since
January 2018
Since
December 2021 |
| | Chief Operating Officer and Senior Managing Director, New York Life Investment Management LLC (since 2016); Chief Executive Officer, IndexIQ Advisors LLC (since 2018); Chairman of the Board, NYLIM Service Company LLC (since September 2017); President, MainStay DefinedTerm Municipal Opportunities Fund, MainStay Funds, MainStay Funds Trust, and MainStay VP Funds Trust (since September 2017); President, MainStay CBRE Global Infrastructure Megatrends Fund (since 2021). | | | 28 | | | None. | |
Fiscal Year
|
| |
Fiscal Year Ended
April 30, 2021 (each Trust) |
|
Board of Trustees Meeting
|
| |
5
|
|
Audit Committee Meeting
|
| |
4
|
|
Nominating Committee Meeting
|
| |
1
|
|
Valuation Committee Meeting
|
| |
4
|
|
Name of Nominee/Trustee
|
| |
Dollar Range of Equity
Securities in the Funds |
| |
Aggregate Dollar Range of
Equity Securities in All Portfolios in Fund Complex Overseen by Trustee(1) |
|
Lofton Holder
|
| | None | | | None | |
Kirk C. Lehneis(2)
|
| | None | | | Over $100,000 | |
Michael A. Pignataro
|
| | None | | | None | |
Paul D. Schaeffer
|
| |
IQ Merger
Arbitrage ETF IQ Hedge Multi-Strategy Tracker ETF |
| | $50,001 – $100,000 | |
Michelle A. Shell
|
| | None | | | None | |
Name of Trustee
|
| |
Pension or Retirement
Benefits Accrued as Part of Trust’s Expenses |
| |
Total Compensation from
both Trusts and IndexIQ Fund Complex for Fiscal Year Ended April 30, 2021(1) |
|
Kirk C. Lehneis,(2) Trustee, President and Principal Executive Officer
|
| |
None
|
| |
None
|
|
Michael Pignataro, Trustee
|
| |
$0
|
| |
$59,500
|
|
Paul Schaeffer, Trustee
|
| |
$0
|
| |
$59,500
|
|
Name and Year of
Birth |
| |
Position(s)
Held with the Trusts |
| |
Term of Office
and Length of Time Served |
| |
Principal Occupations(s)
During Past 5 Years |
|
Jomil M. Guerrero,
1976 |
| |
Vice President
|
| |
Since March 2022
|
| |
Chief Operating Officer and Managing Director, IndexIQ Advisors LLC (2021 to present); Managing Director, Global Marketing operations, New York Life Investment Management LLC (2016 to 2021); and Director of Finance (2011 to 2016) New York Life Investment Management LLC.
|
|
Adefolahan Oyefeso,
1974 |
| |
Treasurer, Principal Financial Officer and Principal Accounting Officer
|
| | Since April 2018 | | |
Vice President of Operations & Finance, IndexIQ Advisors (2015 to present).
|
|
Matthew V. Curtin,
1982 |
| |
Secretary and Chief Legal Officer
|
| | Since June 2015 | | |
Secretary and Chief Legal Officer, IndexIQ Advisors, IndexIQ Trust, IndexIQ ETF Trust and IndexIQ Active ETF Trust (June 2015 to January 2017); Associate General Counsel, New York Life Insurance Company (since February 2015).
|
|
Kevin M. Bopp,
1969 |
| |
Chief Compliance Officer
|
| | Since June 2021 | | |
Chief Compliance Officer, IndexIQ ETF Trust and IndexIQ Active ETF Trust (since 2021); Head of Investments Compliance, New York Life Investments (since 2019); Chief Compliance Officer, IndexIQ Advisors (since 2017); Chief Compliance Officer, IndexIQ ETF Trust and IndexIQ Active ETF Trust (2017 to 2019) Vice President and Chief Compliance Officer, The MainStay Funds, MainStay Funds Trust, MainStay MacKay DefinedTerm Municipal Opportunities Fund and MainStay VP Funds Trust (2014 to 2019).
|
|
| | |
Fees billed to the Funds
|
| |
Fees billed to the Investment
Adviser and any entity controlling, controlled by, or under common control with the Investment Adviser |
|
Audit Fees
|
| |
Fiscal Year Ended
04/30/20: $358,700
Fiscal Year Ended
04/30/21: $451,573 |
| |
Fiscal Year Ended
04/30/20: $23,919,733
Fiscal Year Ended
04/30/21: $23,804,439 |
|
Audit-Related Fees
|
| |
Fiscal Year Ended
04/30/20: $0
Fiscal Year Ended
04/30/21: $0 |
| |
Fiscal Year Ended
04/30/20: $3,300,000
Fiscal Year Ended
04/30/21: $2,434,616 |
|
Tax Fees
|
| |
Fiscal Year Ended
04/30/20: $0
Fiscal Year Ended
04/30/21: $0 |
| |
Fiscal Year Ended
04/30/20: $10,409,897
Fiscal Year Ended
04/30/21: $10,305,966 |
|
All Other Fees
|
| |
Fiscal Year Ended
04/30/20: $0
Fiscal Year Ended
04/30/21: $0 |
| |
Fiscal Year Ended
04/30/20: $0
Fiscal Year Ended
04/30/21: $0 |
|
Aggregate Non-Audit Fees
|
| |
Fiscal Year Ended
04/30/20: $0
Fiscal Year Ended
04/30/21: $0 |
| |
Fiscal Year Ended
04/30/20: $13,709,897
Fiscal Year Ended
04/30/21: $12,740,582 |
|
| | |
Fees billed to the Funds
|
| |
Fees billed to the Investment
Adviser and any entity controlling, controlled by, or under common control with the Investment Adviser |
|
Audit Fees
|
| |
Fiscal Year Ended
04/30/20: $60,000
Fiscal Year Ended
04/30/21: $49,500 |
| |
Fiscal Year Ended
04/30/20: $23,919,733
Fiscal Year Ended
04/30/21: $23,804,439 |
|
Audit-Related Fees
|
| |
Fiscal Year Ended
04/30/20: $0
Fiscal Year Ended
04/30/21: $0 |
| |
Fiscal Year Ended
04/30/20: $3,300,000
Fiscal Year Ended
04/30/21: $2,434,616 |
|
| | |
Fees billed to the Funds
|
| |
Fees billed to the Investment
Adviser and any entity controlling, controlled by, or under common control with the Investment Adviser |
|
Tax Fees
|
| |
Fiscal Year Ended
04/30/20: $0
Fiscal Year Ended
04/30/21: $0 |
| |
Fiscal Year Ended
04/30/20: $10,409,897
Fiscal Year Ended
04/30/21: $10,305,966 |
|
All Other Fees
|
| |
Fiscal Year Ended
04/30/20: $0
Fiscal Year Ended
04/30/21: $0 |
| |
Fiscal Year Ended
04/30/20: $0
Fiscal Year Ended
04/30/21: $0 |
|
Aggregate Non-Audit Fees
|
| |
Fiscal Year Ended
04/30/20: $0
Fiscal Year Ended
04/30/21: $0 |
| |
Fiscal Year Ended
04/30/20: $13,709,897
Fiscal Year Ended
04/30/21: $12,740,582 |
|
Trust
|
| |
Fund
|
| |
Shares
Outstanding |
|
INDEXIQ ETF TRUST | | |
IQ Hedge Multi-Strategy Tracker ETF
|
| |
25,150,000
|
|
INDEXIQ ETF TRUST | | |
IQ Hedge Macro Tracker ETF
|
| |
150,000
|
|
INDEXIQ ETF TRUST | | |
IQ Real Return ETF
|
| |
1,000,000
|
|
INDEXIQ ETF TRUST | | |
IQ Global Resources ETF
|
| |
950,000
|
|
INDEXIQ ETF TRUST | | |
IQ Merger Arbitrage ETF
|
| |
18,700,000
|
|
INDEXIQ ETF TRUST | | |
IQ U.S. Real Estate Small Cap ETF
|
| |
1,650,000
|
|
INDEXIQ ETF TRUST | | |
IQ Hedge Market Neutral Tracker ETF
|
| |
650,000
|
|
INDEXIQ ETF TRUST | | |
IQ Hedge Long/Short Tracker ETF
|
| |
800,000
|
|
INDEXIQ ETF TRUST | | |
IQ Hedge Event-Driven Tracker ETF
|
| |
450,000
|
|
INDEXIQ ETF TRUST | | |
IQ 50 Percent Hedged FTSE International ETF
|
| |
11,600,000
|
|
INDEXIQ ETF TRUST | | |
IQ S&P High Yield Low Volatility Bond ETF
|
| |
1,200,000
|
|
INDEXIQ ETF TRUST | | |
IQ Chaikin U.S. Small Cap ETF
|
| |
5,900,000
|
|
INDEXIQ ETF TRUST | | |
IQ Chaikin US Large Cap ETF
|
| |
9,500,000
|
|
INDEXIQ ETF TRUST | | |
IQ 500 International ETF
|
| |
7,000,000
|
|
INDEXIQ ETF TRUST | | |
IQ Candriam ESG US Equity ETF
|
| |
12,050,000
|
|
INDEXIQ ETF TRUST | | |
IQ Candriam ESG International Equity ETF
|
| |
7,600,000
|
|
INDEXIQ ETF TRUST | | |
IQ Healthy Hearts ETF
|
| |
250,000
|
|
INDEXIQ ETF TRUST | | |
IQ Cleaner Transport ETF
|
| |
250,000
|
|
INDEXIQ ETF TRUST | | |
IQ Clean Oceans ETF
|
| |
250,000
|
|
INDEXIQ ETF TRUST | | |
IQ Engender Equality ETF
|
| |
250,000
|
|
INDEXIQ ETF TRUST | | |
IQ Global Equity R&D Leaders ETF
|
| |
200,000
|
|
INDEXIQ ETF TRUST | | |
IQ U.S. Large Cap R&D Leaders ETF
|
| |
200,000
|
|
INDEXIQ ETF TRUST | | |
IQ U.S. Mid Cap R&D Leaders ETF
|
| |
200,000
|
|
INDEXIQ ACTIVE ETF TRUST
|
| |
IQ MacKay Municipal Intermediate ETF
|
| |
9,700,000
|
|
INDEXIQ ACTIVE ETF TRUST
|
| |
IQ MacKay Municipal Insured ETF
|
| |
15,300,000
|
|
INDEXIQ ACTIVE ETF TRUST
|
| |
IQ Ultra Short Duration ETF
|
| |
2,600,000
|
|
INDEXIQ ACTIVE ETF TRUST
|
| |
IQ MacKay ESG Core Plus Bond ETF
|
| |
4,750,000
|
|
INDEXIQ ACTIVE ETF TRUST
|
| |
IQ MacKay California Municipal Intermediate ETF
|
| |
2,000,000
|
|
Trust
|
| |
Fund
|
| |
DTC Participants
|
| |
Percentage of
Ownership |
|
INDEXIQ ETF TRUST | | | IQ Hedge Multi-Strategy Tracker ETF | | |
Morgan Stanley Smith Barney LLC
1300 Thames St. 6th Floor Baltimore, MD 21231 |
| |
31.66%
|
|
| | | | | |
Charles Schwab & Co., Inc.
2423 E Lincoln Drive Phoenix, AZ 85016-1215 |
| |
15.44%
|
|
| | | | | |
National Financial Services LLC
499 Washington Blvd. Jersey City, NJ 07310 |
| |
14.36%
|
|
| | | | | |
TD Ameritrade
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
| |
5.22%
|
|
INDEXIQ ETF TRUST | | | IQ Hedge Macro Tracker ETF | | |
Stifel Nicolaus & Company, Incorporated
501 North Broadway St. Louis, Missouri 63102 |
| |
39.60%
|
|
| | | | | |
TD Ameritrade
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
| |
16.60%
|
|
| | | | | |
Bank of America
200 North College Street Charlotte, NC 28255 |
| |
16.29%
|
|
| | | | | |
National Financial Services LLC
499 Washington Blvd. Jersey City, NJ 07310 |
| |
7.79%
|
|
| | | | | |
BNP Paribas
AXA Equitable Bldg. 787 7th Ave. New York, NY 10019 |
| |
5.77%
|
|
INDEXIQ ETF TRUST | | | IQ Real Return ETF | | |
Charles Schwab & Co., Inc.
2423 E Lincoln Drive Phoenix, AZ 85016-1215 |
| |
72.95%
|
|
| | | | | |
The Bank of New York Mellon
525 William Penn Place Suite 153-0400 Pittsburgh, PA 15259 |
| |
7.31%
|
|
Trust
|
| |
Fund
|
| |
DTC Participants
|
| |
Percentage of
Ownership |
|
INDEXIQ ETF TRUST | | | IQ Global Resources ETF | | |
Merrill Lynch, Pierce, Fenner & Smith Inc.
4804 Deerlake Dr. E. Jacksonville, FL 32246 |
| |
15.86%
|
|
| | | | | |
Wells Clearing, LLC
2801 Market Street St. Louis, MO 63103 |
| |
14.27%
|
|
| | | | | |
Charles Schwab & Co., Inc.
2423 E Lincoln Drive Phoenix, AZ 85016-1215 |
| |
13.91%
|
|
| | | | | |
Morgan Stanley Smith Barney LLC
1300 Thames St 6th Floor Baltimore, MD 21231 |
| |
11.56%
|
|
| | | | | |
National Financial Services LLC
499 Washington Blvd. Jersey City, NJ 07310 |
| |
10.42%
|
|
| | | | | |
TD Ameritrade
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
| |
8.02%
|
|
| | | | | |
Pershing LLC
One Pershing Plaza Jersey City, NJ 07399 |
| |
7.45%
|
|
| | | | | |
LPL LLC
9785 Towne Centre Drive San Diego, CA 92121-1968 |
| |
5.14%
|
|
INDEXIQ ETF TRUST
|
| |
IQ Merger Arbitrage ETF
|
| |
Charles Schwab & Co., Inc.
2423 E Lincoln Drive Phoenix, AZ 85016-1215 |
| |
29.86%
|
|
| | | | | |
The Northern Trust Company
801 S. Canal St. Attn: Capital Structures C1N Chicago, IL 60607 |
| |
14.03%
|
|
| | | | | |
National Financial Services LLC
499 Washington Blvd. Jersey City, NJ 07310 |
| |
10.74%
|
|
| | | | | |
TD Ameritrade
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
| |
8.45%
|
|
| | | | | |
American Enterprise Investment Services Inc.
901 Third Ave. South Minneapolis, MN 55474 |
| |
8.16%
|
|
| | | | | |
Morgan Stanley Smith Barney LLC
1300 Thames St 6th Floor Baltimore, MD 21231 |
| |
5.74%
|
|
Trust
|
| |
Fund
|
| |
DTC Participants
|
| |
Percentage of
Ownership |
|
INDEXIQ ETF TRUST | | | IQ U.S. Real Estate Small Cap ETF | | |
Charles Schwab & Co., Inc.
2423 E Lincoln Drive Phoenix, AZ 85016-1215 |
| |
18.24%
|
|
| | | | | |
National Financial Services LLC
499 Washington Blvd. Jersey City, NJ 07310 |
| |
18.12%
|
|
| | | | | |
TD Ameritrade
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
| |
12.89%
|
|
| | | | | |
Merrill Lynch, Pierce, Fenner & Smith Inc.
4804 Deerlake Dr. E. Jacksonville, FL 32246 |
| |
11.77%
|
|
| | | | | |
Morgan Stanley Smith Barney LLC
1300 Thames St 6th Floor Baltimore, MD 21231 |
| |
9.32%
|
|
| | | | | |
Wells Clearing, LLC
2801 Market Street St. Louis, MO 63103 |
| |
6.86%
|
|
INDEXIQ ETF TRUST | | | IQ Hedge Market Neutral Tracker ETF | | |
Charles Schwab & Co., Inc.
2423 E Lincoln Drive Phoenix, AZ 85016-1215 |
| |
56.93%
|
|
| | | | | |
TD Ameritrade
1005 North Ameritrade Place Bellevue, NE 68005-4245 |
| |
12.29%
|
|
| | | | | |
Morgan Stanley Smith Barney LLC
1300 Thames St. 6th Floor Baltimore, MD 21231 |
| |
10.92%
|
|
| | | | | |
Bank of America
200 North College Street Charlotte, NC 28255 |
| |
6.26%
|
|
| | | | | |
LPL Financial Corporation
9785 Towne Centre Drive San Diego, CA 92121-1968 |
| |
5.05%
|
|
INDEXIQ ETF TRUST | | | IQ Hedge Long/Short Tracker ETF | | |
TD Ameritrade
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
| |
49.23%
|
|
| | | | | |
National Financial Services LLC
499 Washington Blvd. Jersey City, NJ 07310 |
| |
16.07%
|
|
| | | | | |
Charles Schwab & Co., Inc.
2423 E Lincoln Drive Phoenix, AZ 85016-1215 |
| |
14.45%
|
|
Trust
|
| |
Fund
|
| |
DTC Participants
|
| |
Percentage of
Ownership |
|
| | | | | |
The Northern Trust Company
801 S. Canal St. Attn: Capital Structures C1N Chicago, IL 60607 |
| |
9.16%
|
|
INDEXIQ ETF TRUST
|
| |
IQ Hedge Event-Driven Tracker ETF
|
| |
National Financial Services LLC
499 Washington Blvd. Jersey City, NJ 07310 |
| |
18.96%
|
|
| | | | | |
TD Ameritrade
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
| |
17.38%
|
|
| | | | | |
Charles Schwab & Co., Inc.
2423 E Lincoln Drive Phoenix, AZ 85016-1215 |
| |
15.49%
|
|
| | | | | |
Bank of America
200 North College Street Charlotte, NC 28255 |
| |
11.33%
|
|
| | | | | |
LPL LLC
9785 Towne Centre Drive San Diego, CA 92121-1968 |
| |
9.28%
|
|
| | | | | |
Wells Clearing, LLC
2801 Market Street St. Louis, MO 63103 |
| |
5.29%
|
|
INDEXIQ ETF TRUST | | |
IQ 50 Percent Hedged FTSE International ETF
|
| |
JP Morgan Chase Bank, Nat’l Association
14201 Dallas Parkway Dallas, TX 75254 |
| |
52.51%
|
|
| | | | | |
UBS Financial Services
1000 Harbour Blvd. Weehawken, NJ 07086 |
| |
12.14%
|
|
INDEXIQ ETF TRUST | | | IQ S&P High Yield Low Volatility Bond ETF | | |
J.P. Morgan Securities LLC
500 Stanton Christiana Road, 2nd Fl. Newark, DE 19713-2107 |
| |
28.58%
|
|
| | | | | |
TD Ameritrade
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
| |
14.71%
|
|
| | | | | |
Charles Schwab & Co., Inc.
2423 E Lincoln Drive Phoenix, AZ 85016-1215 |
| |
12.11%
|
|
| | | | | |
National Financial Services LLC
499 Washington Blvd. Jersey City, NJ 07310 |
| |
8.43%
|
|
| | | | | |
Raymond James & Associates, Inc.
The Raymond James Financial Center 880 Carillon Parkway St. Petersburg, FL 33716 |
| |
8.33%
|
|
Trust
|
| |
Fund
|
| |
DTC Participants
|
| |
Percentage of
Ownership |
|
| | | | | |
Goldman Sachs & Co.
30 Hudson Street Proxy Department Jersey City, NJ 07302 |
| |
8.18%
|
|
| | | | | |
Merrill Lynch, Pierce, Fenner & Smith Inc.
4804 Deerlake Dr. E. Jacksonville, FL 32246 |
| |
6.33%
|
|
INDEXIQ ETF TRUST | | | IQ Chaikin U.S. Small Cap ETF | | |
JP Morgan Chase Bank, Nat’l Association
14201 Dallas Parkway Dallas, TX 75254 |
| |
80.70%
|
|
INDEXIQ ETF TRUST
|
| |
IQ Chaikin US Large Cap ETF
|
| |
JP Morgan Chase Bank, Nat’l Association
14201 Dallas Parkway Dallas, TX 75254 |
| |
98.12%
|
|
INDEXIQ ETF TRUST | | | IQ 500 International ETF | | |
JP Morgan Chase Bank, Nat’l Association
14201 Dallas Parkway Dallas, TX 75254 |
| |
96.12%
|
|
INDEXIQ ETF TRUST
|
| |
IQ Candriam ESG US Equity ETF
|
| |
JP Morgan Chase Bank, Nat’l Association
14201 Dallas Parkway Dallas, TX 75254 |
| |
86.80%
|
|
| | | | | |
Euroclear Bank
28 Liberty St., 33rd Fl. New York, NY 10005 |
| |
9.11%
|
|
INDEXIQ ETF TRUST | | |
IQ Candriam ESG International Equity ETF
|
| |
JP Morgan Chase Bank, Nat’l Association
14201 Dallas Parkway Dallas, TX 75254 |
| |
94.09%
|
|
INDEXIQ ETF TRUST | | |
IQ Healthy Hearts ETF
|
| |
The Bank of NY Mellon
535 William Penn Place Suite 153-0400 Pittsburgh, PA 15259 |
| |
79.62%
|
|
| | | | | |
J.P. Morgan Securities LLC
500 Stanton Christiana Road, 2nd Fl. Newark, DE 19713-2107 |
| |
6.05%
|
|
INDEXIQ ETF TRUST | | | IQ Cleaner Transport ETF | | |
The Bank of NY Mellon
535 William Penn Place Suite 153-0400 Pittsburgh, PA 15259 |
| |
63.33%
|
|
| | | | | |
J.P. Morgan Securities LLC
500 Stanton Christiana Road, 2nd Fl. Newark, DE 19713-2107 |
| |
17.46%
|
|
Trust
|
| |
Fund
|
| |
DTC Participants
|
| |
Percentage of
Ownership |
|
| | | | | |
Bank of America
200 North College Street Charlotte, NC 28255 |
| |
15.21%
|
|
INDEXIQ ETF TRUST | | | IQ Clean Oceans ETF | | |
The Bank of NY Mellon
535 William Penn Place Suite 153-0400 Pittsburgh, PA 15259 |
| |
76.00%
|
|
| | | | | |
Bank of America
200 North College Street Charlotte, NC 28255 |
| |
19.08%
|
|
INDEXIQ ETF TRUST | | | IQ Engender Equality ETF | | |
The Bank of NY Mellon
535 William Penn Place Suite 153-0400 Pittsburgh, PA 15259 |
| |
80.00%
|
|
| | | | | |
Bank of America
200 North College Street Charlotte, NC 28255 |
| |
19.11%
|
|
INDEXIQ ETF TRUST | | | IQ Global Equity R&D Leaders ETF | | |
The Bank of New York Mellon
525 William Penn Place Suite 153-0400 Pittsburgh, PA 15259 |
| |
95.00%
|
|
INDEXIQ ETF TRUST | | | IQ U.S. Large Cap R&D Leaders ETF | | |
The Bank of New York Mellon
525 William Penn Place Suite 153-0400 Pittsburgh, PA 15259 |
| |
95.00%
|
|
INDEXIQ ETF TRUST | | | IQ U.S. Mid Cap R&D Leaders ETF | | |
The Bank of NY Mellon
535 William Penn Place Suite 153-0400 Pittsburgh, PA 15259 |
| |
95.00%
|
|
INDEXIQ ACTIVE ETF TRUST
|
| |
IQ MacKay Municipal Intermediate ETF
|
| |
Merrill Lynch, Pierce, Fenner & Smith Inc.
4804 Deerlake Dr. E. Jacksonville, FL 32246 |
| |
26.41%
|
|
| | | | | |
TD Ameritrade
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
| |
15.78%
|
|
| | | | | |
Morgan Stanley Smith Barney LLC
1300 Thames St. 6th Floor Baltimore, MD 21231 |
| |
13.19%
|
|
| | | | | |
UBS Financial Services
1000 Harbour Blvd. Weehawken, NJ 07086 |
| |
9.74%
|
|
| | | | | |
National Financial Services LLC
499 Washington Blvd. Jersey City, NJ 07310 |
| |
9.70%
|
|
Trust
|
| |
Fund
|
| |
DTC Participants
|
| |
Percentage of
Ownership |
|
| | | | | |
Charles Schwab & Co., Inc.
2423 E Lincoln Drive Phoenix, AZ 85016-1215 |
| |
5.12%
|
|
INDEXIQ ACTIVE ETF TRUST
|
| | IQ MacKay Municipal Insured ETF | | |
Morgan Stanley Smith Barney LLC
1300 Thames St. 6th Floor Baltimore, MD 21231 |
| |
17.58%
|
|
| | | | | |
Charles Schwab & Co., Inc.
2423 E Lincoln Drive Phoenix, AZ 85016-1215 |
| |
16.18%
|
|
| | | | | |
UBS Financial Services
1000 Harbour Blvd. Weehawken, NJ 07086 |
| |
12.94%
|
|
| | | | | |
TD Ameritrade
4700 Alliance Gateway Freeway Fort Worth, TX 76177 |
| |
9.85%
|
|
| | | | | |
Merrill Lynch, Pierce, Fenner & Smith Inc.
4804 Deerlake Dr. E. Jacksonville, FL 32246 |
| |
8.75%
|
|
| | | | | |
National Financial Services LLC
499 Washington Blvd. Jersey City, NJ 07310 |
| |
8.74%
|
|
| | | | | |
RaymondJames & Associates, Inc.
880 Carilion Parkway Saint Petersburg, FL 33716 |
| |
7.63%
|
|
INDEXIQ ACTIVE ETF TRUST
|
| |
IQ Ultra Short Duration ETF
|
| |
The Bank of New York Mellon
535 William Penn Place Suite 153-0400 Pittsburgh, PA 15259 |
| |
51.49%
|
|
| | | | | |
JP Morgan Chase Bank, Nat’l Association
14201 Dallas Parkway Dallas, TX 75254 |
| |
21.91%
|
|
INDEXIQ ACTIVE ETF TRUST
|
| |
IQ MacKay ESG Core Plus Bond ETF
|
| |
JP Morgan Chase Bank, Nat’l Association
14201 Dallas Parkway Dallas, TX 75254 |
| |
99.24%
|
|
INDEXIQ ACTIVE ETF TRUST | | | IQ MacKay California Municipal Intermediate ETF | | |
The Bank of New York Mellon
535 William Penn Place Suite 153-0400 Pittsburgh, PA 15259 |
| |
99.00%
|
|
VOTE BY MAIL 1. Read the proxy statement. 2. Check the appropriate box(es) on the reverse side of the proxy card. 3. Sign, date and return the proxy card in the envelope provided. VOTE ONLINE 1. Read the proxy statement and locate your control number below. 2. Go to www. 3. Follow the simple instructions VOTE BY PHONE 1. Read the proxy statement and locate your control number below. 2. Call toll-free 1-800 3. Follow the simple instructions. PLEASE DETACH AT PERFORATION BEFORE MAILING. INDEXIQ ETF TRUST INDEXIQ ACTIVE ETF TRUST SPECIAL JOINT MEETING OF SHAREHOLDERS ON JUNE 22, 2022 << Fund Name Prints Here >> THIS PROXY IS SOLICITED BY AND ON BEHALF OF THE BOARD OF YOUR FUND. The undersigned shareholder, having received Notice of the Special Joint Meeting of Shareholders (the “Meeting”) of each of the series (collectively, the “Funds”) of each IndexIQ ETF Trust and IndexIQ Active ETF Trust (collectively, the “Trusts”), hereby appoints J. Kevin Gao and Matthew V. Curtin and each of them, the attorneys and proxies of the undersigned, with full power of substitution and revocation, to represent the undersigned and to vote all shares of the Fund(s) that the undersigned is entitled to vote at the Meeting to be held via audio telephone conference call on June 22, 2022 at 10:00 a.m., Eastern Time, and any adjournments or postponements thereof. The undersigned hereby revokes any and all proxies with respect to such shares previously given. This instruction may be revoked at any time prior to its exercise at the Meeting by execution of a subsequent proxy card, by written notice to the Secretary of the Funds or by voting via audio teleconference at the Meeting. CONTROL NUMBER AUTHORIZED SIGNATURE(S) This section must be completed for your vote to be counted. Signature(s) and Title(s), if applicable Sign in the box above. Date NOTE: Please sign exactly as your name(s) appear(s) on this proxy card. If signing for estates, trusts or other fiduciaries, your title or capacity should be stated and where more than one name appears, a majority must sign. If shares are held jointly, one or more joint owners should sign personally. If a corporation, the signature should be that of 1an authorized officer who should state his or her title. 100107-2022 |
Important Notice Regarding the Availability of Proxy Materials for this Special Joint Meeting of Shareholders to be held on June 22, 2022. The proxy statement for this meeting is available at www.eproxyaccess.com/iqetf2022 PLEASE CAST YOUR VOTE TODAY! YOUR VOTE IS IMPORTANT NO MATTER HOW MANY SHARES YOU OWN. IF YOU ARE NOT VOTING BY PHONE OR INTERNET, PLEASE SIGN AND DATE THIS PROXY CARD ON THE REVERSE SIDE AND RETURN IT PROMPTLY IN THE ENCLOSED ENVELOPE. PLEASE DETACH AT PERFORATION BEFORE MAILING. This proxy is solicited by and on behalf of the Board of your Fund. It will be voted as specified. If no specification is made, this proxy shall be voted “FOR” the election of Nominees. If any other matters properly come before the Meeting to be voted on, the proxy holders will vote, act and consent on those matters in their discretion. THE BOARD OF EACH TRUST UNANIMOUSLY RECOMMENDS A VOTE FOR THE ELECTION OF EACH TRUSTEE NOMINEE INDENTIFIED IN THE PROPOSAL. TO VOTE, MARK BOXES BELOW IN BLUE OR BLACK INK AS FOLLOWS: x 1. To elect the following nominees to the Board of each Trust as follows: FOR ALL WITHHOLD ALL FOR ALL EXCEPT* ¨ ¨ ¨ (01) Lofton Holder (02) Kirk C. Lehneis (03) Michael A. Pignataro (04) Paul D. Schaeffer (05) Michelle A. Shell *Instruction: To withhold authority to vote for an individual nominee, mark the FOR ALL EXCEPT box and write the nominee’s number on the line below. 2. To transact such other business as may properly come before the Meeting. 100107-2022 |
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