0001752724-23-021491.txt : 20230210
0001752724-23-021491.hdr.sgml : 20230210
20230210164039
ACCESSION NUMBER: 0001752724-23-021491
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 6
CONFORMED PERIOD OF REPORT: 20221130
FILED AS OF DATE: 20230210
DATE AS OF CHANGE: 20230210
EFFECTIVENESS DATE: 20230210
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: EXCHANGE TRADED CONCEPTS TRUST
CENTRAL INDEX KEY: 0001452937
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0731
FILING VALUES:
FORM TYPE: N-CEN
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22263
FILM NUMBER: 23612781
BUSINESS ADDRESS:
STREET 1: 10900 HEFNER POINTE DRIVE
STREET 2: SUITE 400
CITY: OKLAHOMA CITY
STATE: OK
ZIP: 73120
BUSINESS PHONE: 405-778-8377
MAIL ADDRESS:
STREET 1: 10900 HEFNER POINTE DRIVE
STREET 2: SUITE 400
CITY: OKLAHOMA CITY
STATE: OK
ZIP: 73120
FORMER COMPANY:
FORMER CONFORMED NAME: FAITHSHARES TRUST
DATE OF NAME CHANGE: 20090717
FORMER COMPANY:
FORMER CONFORMED NAME: FAITHSHARES INC
DATE OF NAME CHANGE: 20090225
FORMER COMPANY:
FORMER CONFORMED NAME: VERITAS FUNDS INC
DATE OF NAME CHANGE: 20081230
0001452937
S000042584
Hull Tactical US ETF
C000131678
Hull Tactical US ETF
HTUS
0001452937
S000061191
Capital Link Global Fintech Leaders ETF
C000198171
Capital Link Global Fintech Leaders ETF
KOIN
0001452937
S000061192
Capital Link Global Green Energy Transport and Technology Leaders ETF
C000198172
Capital Link Global Green Energy Transport and Technology Leaders ETF
EKAR
0001452937
S000068543
ETC 6 Meridian Low Beta Equity Strategy ETF
C000219253
ETC 6 Meridian Low Beta Equity Strategy ETF
SIXL
0001452937
S000068544
ETC 6 Meridian Mega Cap Equity ETF
C000219254
ETC 6 Meridian Mega Cap Equity ETF
SIXA
0001452937
S000068545
ETC 6 Meridian Small Cap Equity ETF
C000219255
ETC 6 Meridian Small Cap Equity ETF
SIXS
0001452937
S000068546
ETC 6 Meridian Hedged Equity-Index Option Strategy ETF
C000219256
ETC 6 Meridian Hedged Equity-Index Option Strategy ETF
SIXH
0001452937
S000071535
ETC 6 Meridian Quality Growth ETF
C000226842
ETC 6 Meridian Quality Growth ETF
SXQG
0001452937
S000075604
Optica Rare Earths & Critical Materials ETF
C000234825
Optica Rare Earths & Critical Materials ETF
CRIT
N-CEN
1
primary_doc.xml
X0404
N-CEN
LIVE
0001452937
XXXXXXXX
811-22263
N-1A
S000068546
true
S000075604
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S000071535
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S000061191
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EXCHANGE TRADED CONCEPTS TRUST
811-22263
0001452937
549300TXJW88BSB0KL90
10900 HEFNER POINTE DRIVE
SUITE 400
OKLAHOMA CITY
73120
US-OK
US
405-778-8377
SEI INVESTMENTS GLOBAL FUNDS SERVICES
1 Freedom Valley Drive
OAKS
19456
610-676-1000
Records as Administrator for Trust
BROWN BROTHERS HARRIMAN & CO.
40 Water Street
Boston
02109
617-772-1818
Records as Custodian for Trust & Transfer Agent
Exchange Traded Concepts, LLC
10900 Hefner Pointe Drive
Suite 400
Oklahoma City
73120
1-405-778-8377
Records as Advisor for Trust
The Bank of New York Mellon
240 Greenwich Street
New York
10286
1-212-495-1784
Records As Transfer Agent For Trust & Custodian for Trust
6 Meridian LLC
8301 E 21st St. North
Suite 150
Wichita
67206
316-776-4601
Records as sub-advisor for Trust
SEI INVESTMENTS DISTRIBUTION CO.
1 Freedom Valley Drive
OAKS
19456
610-676-1000
Records as Distributor for Trust
Hull Tactical Asset Allocation, LLC
141 W. Jackson Blvd.
Suite 1650
Chicago
60604
1-312-356-3150
Records as sub-advisor for Trust
N
N
N
N-1A
19
Y
Linda Petrone
N/A
N
J. Garrett Stevens
N/A
Y
Stuart Strauss
N/A
N
Timothy Jacoby
N/A
N
Mark Zurack
N/A
N
Matthew B. Fleischer
N/A
295 Madison Avenue
26th Floor
New York
10017
XXXXXX
N
N
N
N
N
SEI INVESTMENTS DISTRIBTUION CO.
8-27897
000010690
N/A
N
N
Cohen & Company, Ltd
925
N/A
N
N
N
N
N
N
N
ETC 6 Meridian Hedged Equity-Index Option Strategy ETF
S000068546
549300SFX566SXJXXW60
N
1
0
0
Exchange-Traded Fund
Y
N
Y
N
N/A
0.00000000
0.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))
Rule 18f-4 (17 CFR 270.18f-4)
Rule 6c-11 (17 CFR 270.6c-11)
Y
N
N
N
Exchange Traded Concepts, LLC
801-70485
000151197
549300BB5DRIKK8VVV91
2022-09-15
Exchange Traded Concepts, LLC
801-70485
000151197
549300BB5DRIKK8VVV91
2022-06-06
6 Meridian LLC
801-108131
000283845
N/A
N
N
The Bank of New York Mellon
N/A
HPFHU0OQ28E4N0NFVK49
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Bloomberg
254900BF4G8VMW8GG471
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
S&P
549300U4VWNITEKO2881
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
IHS Markit
549300HLPTRASHS0E726
GB
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
SEI Investments Global Funds Services
801-24593
SEC File Number
N
N
N
JANE STREET EXECUTION SERVICES
8-69254
000167280
549300HXJLXCPDWAH070
7448.06999999
INTERACTIVE BROKERS LLC
008-47257
000036418
50OBSE5T5521O6SMZR28
12604.14999999
MISCHLER FINANCIAL
8-48067
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2549004IPXPSM9EJFC92
59611.31000000
CREDIT SUISSE FIRST BOSTON LLC.
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
219.10000000
VIRTU FINANCIAL LLC
008-68193
000149823
549300RA02N3BNSWBV74
723.35000000
JP MORGAN - OLD BEAR STEARNS
008-35008
000000079
ZBUT11V806EZRVTWT807
19963.36000000
BTIG
008-65473
000122225
549300GTG9PL6WO3EC51
7520.92000000
108090.26000000
0.00000000
N
273797730.13999999
N
N
N
Optica Rare Earths & Critical Materials ETF
S000075604
5493001FE6E1V26OH236
Y
1
0
0
Exchange-Traded Fund
N
Y
-0.36
-1.11
0.75984705
0.557799231
Y
N
Y
N
N/A
0.00000000
0.00000000
Rule 6c-11 (17 CFR 270.6c-11)
Rule 32a-4 (17 CFR 270.32a-4)
N
N
N
N
Exchange Traded Concepts, LLC
801-70485
000151197
549300BB5DRIKK8VVV91
N
The Bank of New York Mellon
N/A
HPFHU0OQ28E4N0NFVK49
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
S&P
549300U4VWNITEKO2881
N
IHS Markit
549300HLPTRASHS0E726
GB
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
Bloomberg
254900BF4G8VMW8GG471
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
SEI INVESTMENTS GLOBAL FUNDS SERVICES
801-24593
SEC File Number
N
N
N
BTIG
008-65473
000122225
549300GTG9PL6WO3EC51
0.67000000
MORGAN STANLEY & CO, INC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
6.85000000
MISCHLER FINANCIAL
8-48067
000037818
2549004IPXPSM9EJFC92
483.20000000
490.72000000
0.00000000
N
1202463.12000000
N
N
N
ETC 6 Meridian Quality Growth ETF
S000071535
549300IVJOA6VGR92P39
N
1
0
0
Exchange-Traded Fund
Y
N
Y
N
N/A
0.00000000
0.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 6c-11 (17 CFR 270.6c-11)
Y
Y
Y
N
Exchange Traded Concepts, LLC
801-70485
000151197
549300BB5DRIKK8VVV91
N
6 Meridian LLC
801-108131
000283845
N/A
N
N
The Bank of New York Mellon
N/A
HPFHU0OQ28E4N0NFVK49
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
S&P
549300U4VWNITEKO2881
N
Bloomberg
254900BF4G8VMW8GG471
N
IHS Markit
549300HLPTRASHS0E726
GB
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
SEI Investments Global Funds Services
801-24593
SEC File Number
N
N
N
MISCHLER FINANCIAL
8-48067
000037818
2549004IPXPSM9EJFC92
14.10000000
JANE STREET EXECUTION SERVICES
8-69254
000167280
549300HXJLXCPDWAH070
1227.61999999
BTIG
008-65473
000122225
549300GTG9PL6WO3EC51
2126.33999999
3368.05999999
0.00000000
N
27074931.75000000
N
N
N
Capital Link Global Fintech Leaders ETF
S000061191
54930074J37PH81HXU19
N
1
0
0
Exchange-Traded Fund
N
N
0.43
-0.15
0.289251376
0.264915685
N
N
Y
N
N
Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Revenue sharing split
1051983.55
5520.00
Rule 6c-11 (17 CFR 270.6c-11)
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
N
N
Exchange Traded Concepts, LLC
801-70485
000151197
549300BB5DRIKK8VVV91
N
The Bank of New York Mellon
N/A
HPFHU0OQ28E4N0NFVK49
N
N
N
S&P
549300U4VWNITEKO2881
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
IHS Markit
549300HLPTRASHS0E726
GB
N
Bloomberg
254900BF4G8VMW8GG471
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
SEI Investments Global Funds Services
801-24593
SEC File Number
N
N
N
PERSHING LLC
008-17574
000007560
ZI8Q1A8EI8LQFJNM0D94
1580.95999999
BTIG
008-65473
000122225
549300GTG9PL6WO3EC51
4211.71000000
MISCHLER FINANCIAL
8-48067
000037818
2549004IPXPSM9EJFC92
8273.38000000
14066.05000000
0.00000000
N
22094869.75000000
N
N
N
Capital Link Global Green Energy Transport and Technology Leaders ETF
S000061192
549300R4S2ZNH6BN6D96
N
1
0
0
Exchange-Traded Fund
N
N
0.04
-0.48
0.650566744
0.643981814
N
N
Y
N
N
Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Revenue sharing split
355536.67
750.00
Rule 6c-11 (17 CFR 270.6c-11)
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
N
N
Exchange Traded Concepts, LLC
801-70485
000151197
549300BB5DRIKK8VVV91
N
The Bank of New York Mellon
N/A
HPFHU0OQ28E4N0NFVK49
N
N
N
IHS Markit
549300HLPTRASHS0E726
GB
N
S&P
549300U4VWNITEKO2881
N
Bloomberg
254900BF4G8VMW8GG471
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
SEI Investments Global Funds Services
801-24593
SEC File Number
N
N
N
BTIG
008-65473
000122225
549300GTG9PL6WO3EC51
1481.48000000
MORGAN STANLEY & CO, INC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
2.23999999
MISCHLER FINANCIAL
8-48067
000037818
2549004IPXPSM9EJFC92
3265.40000000
PERSHING LLC
008-17574
000007560
ZI8Q1A8EI8LQFJNM0D94
357.75000000
5106.87000000
0.00000000
N
8797755.77999999
N
N
N
ETC 6 Meridian Small Cap Equity ETF
S000068545
5493000VD2P95N3QO780
N
1
0
0
Exchange-Traded Fund
N
N
Y
N
N/A
0.00000000
0.00000000
Rule 6c-11 (17 CFR 270.6c-11)
Rule 32a-4 (17 CFR 270.32a-4)
Y
N
N
Y
Exchange Traded Concepts, LLC
801-70485
000151197
549300BB5DRIKK8VVV91
2022-08-24
Exchange Traded Concepts, LLC
801-70485
000151197
549300BB5DRIKK8VVV91
2022-06-06
6 Meridian LLC
801-108131
000283845
N/A
N
N
The Bank of New York Mellon
N/A
HPFHU0OQ28E4N0NFVK49
N
N
N
Bloomberg
254900BF4G8VMW8GG471
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
S&P
549300U4VWNITEKO2881
N
IHS Markit
549300HLPTRASHS0E726
GB
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
SEI Investments Global Funds Services
801-24593
SEC File Number
N
N
N
MISCHLER FINANCIAL
8-48067
000037818
2549004IPXPSM9EJFC92
717.04000000
JANE STREET EXECUTION SERVICES
8-69254
000167280
549300HXJLXCPDWAH070
21275.30000000
BTIG
008-65473
000122225
549300GTG9PL6WO3EC51
805.53000000
JP MORGAN - OLD BEAR STEARNS
008-35008
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ZBUT11V806EZRVTWT807
18819.91000000
41617.78000000
0.00000000
N
62434201.18000000
N
N
N
ETC 6 Meridian Low Beta Equity Strategy ETF
S000068543
549300JMPISHRRF9IF22
N
1
0
0
Exchange-Traded Fund
N
N
Y
N
N/A
0.00000000
0.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 6c-11 (17 CFR 270.6c-11)
Y
N
N
N
Exchange Traded Concepts, LLC
801-70485
000151197
549300BB5DRIKK8VVV91
2022-09-15
Exchange Traded Concepts, LLC
801-70485
000151197
549300BB5DRIKK8VVV91
2022-06-06
6 Meridian LLC
801-108131
000283845
N/A
N
N
The Bank of New York Mellon
N/A
HPFHU0OQ28E4N0NFVK49
N
N
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
IHS Markit
549300HLPTRASHS0E726
GB
N
S&P
549300U4VWNITEKO2881
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
Bloomberg
254900BF4G8VMW8GG471
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
SEI Investments Global Funds Services
801-24593
SEC File Number
N
N
N
JANE STREET EXECUTION SERVICES
8-69254
000167280
549300HXJLXCPDWAH070
21162.78999999
JP MORGAN - OLD BEAR STEARNS
008-35008
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ZBUT11V806EZRVTWT807
80.48999999
BTIG
008-65473
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549300GTG9PL6WO3EC51
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MISCHLER FINANCIAL
8-48067
000037818
2549004IPXPSM9EJFC92
1116.98000000
45392.15999999
0.00000000
N
144480750.52000001
N
N
N
ETC 6 Meridian Mega Cap Equity ETF
S000068544
549300S2SS533Z8TTY60
N
1
0
0
Exchange-Traded Fund
Y
N
Y
N
N/A
0.00000000
0.00000000
Rule 6c-11 (17 CFR 270.6c-11)
Rule 32a-4 (17 CFR 270.32a-4)
Y
N
N
N
Exchange Traded Concepts, LLC
801-70485
000151197
549300BB5DRIKK8VVV91
2022-08-24
Exchange Traded Concepts, LLC
801-70485
000151197
549300BB5DRIKK8VVV91
2022-06-06
6 Meridian LLC
801-108131
000283845
N/A
N
N
The Bank of New York Mellon
N/A
HPFHU0OQ28E4N0NFVK49
N
N
N
Bloomberg
254900BF4G8VMW8GG471
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
IHS Markit
549300HLPTRASHS0E726
GB
N
S&P
549300U4VWNITEKO2881
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
N
SEI Investments Global Funds Services
801-24593
SEC File Number
N
N
N
JP MORGAN - OLD BEAR STEARNS
008-35008
000000079
ZBUT11V806EZRVTWT807
12103.16999999
JANE STREET EXECUTION SERVICES
8-69254
000167280
549300HXJLXCPDWAH070
8745.71000000
BTIG
008-65473
000122225
549300GTG9PL6WO3EC51
16462.89000000
MISCHLER FINANCIAL
8-48067
000037818
2549004IPXPSM9EJFC92
22042.51000000
59354.28000000
0.00000000
N
161943393.74000001
N
N
N
Hull Tactical US ETF
S000042584
549300MKXG1WPT0STH40
N
1
0
0
Exchange-Traded Fund
Fund of Funds
N
N
Y
N
N/A
0.00000000
0.00000000
Rule 6c-11 (17 CFR 270.6c-11)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 18f-4 (17 CFR 270.18f-4)
Rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))
N
N
N
N
Exchange Traded Concepts, LLC
801-70485
000151197
549300BB5DRIKK8VVV91
N
Hull Tactical Asset Allocation, LLC
801-79752
000171391
N/A
N
N
BROWN BROTHERS HARRIMAN & CO.
084-60256
5493006KMX1VFTPYPW14
N
N
N
IHS Markit
549300HLPTRASHS0E726
GB
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
Bloomberg
254900BF4G8VMW8GG471
N
S&P
549300U4VWNITEKO2881
N
N
BROWN BROTHERS HARRIMAN & CO.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
BROWN BROTHERS HARRIMAN & CO.
8-60256
SEC File Number
N
N
N
SEI INVESTMENTS GLOBAL FUNDS SERVICES
801-24593
SEC File Number
N
N
N
JPM CHASE
008-35008
000000079
ZBUT11V806EZRVTWT807
35.70000000
NOMURA SECURITIES INTERNATIONAL, INC.
008-15255
000004297
OXTKY6Q8X53C9ILVV871
24.68000000
INTERACTIVE BROKERS LLC
008-47257
000036418
50OBSE5T5521O6SMZR28
7485.09000000
7545.47000000
0.00000000
N
24544110.16000000
N
N
N
ETC 6 Meridian Hedged Equity-Index Option Strategy ETF
S000068546
N
25000.00000000
2.06444387
2.11642778
97.93555612
2.11642778
2.01196606
1.92430757
97.98803393
1.92430757
0.00000000
380.95238095
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
100.00000000
0.00000000
0.00000000
0.00000000
0.00000000
Y
Optica Rare Earths & Critical Materials ETF
S000075604
Y
10000.00000000
7.86146034
8.22529418
92.13853965
8.22529418
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
540.00000000
0.00000000
0.00000000
450.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
Y
Capital Link Global Green Energy Transport and Technology Leaders ETF
S000061192
Y
25000.00000000
0.00000000
0.00000000
0.00000000
0.00000000
10.46237243
0.00000000
89.53762756
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
1300.00000000
0.00000000
0.00000000
1300.00000000
0.00000000
Y
ETC 6 Meridian Quality Growth ETF
S000071535
N
25000.00000000
3.24762816
1.82097058
96.75237183
1.82097058
4.73061022
1.71258649
95.26938977
1.71258649
0.00000000
470.58823529
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
166.66666666
0.00000000
0.00000000
0.00000000
0.00000000
Y
Capital Link Global Fintech Leaders ETF
S000061191
Y
25000.00000000
0.00000000
0.00000000
0.00000000
0.00000000
15.14270264
2.52379032
84.85729735
2.52379032
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
N
ETC 6 Meridian Small Cap Equity ETF
S000068545
Y
25000.00000000
0.56374397
0.07201303
99.43625602
0.07201303
6.19855488
5.55443703
93.80144511
5.55443703
0.00000000
500.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
Y
ETC 6 Meridian Low Beta Equity Strategy ETF
S000068543
N
25000.00000000
1.89383468
0.37730852
98.10616531
0.37730852
2.50043586
0.62999956
97.49956413
0.62999956
0.00000000
650.00000000
0.00000000
0.00000000
1000.00000000
0.00000000
0.00000000
333.33333333
0.00000000
0.00000000
0.00000000
0.00000000
Y
ETC 6 Meridian Mega Cap Equity ETF
S000068544
Y
25000.00000000
0.88455432
0.17739033
99.11544567
0.17739033
5.13482935
3.19140365
94.86517064
3.19140365
0.00000000
307.69230769
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
Y
Hull Tactical US ETF
S000042584
N
50000.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
N
false
false
true
false
false
false
INTERNAL CONTROL RPT
2
6Meridian_ICL.txt
INTERNAL CONTROL LETTER
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM
To the Shareholders of ETC 6 Meridian Hedged Equity-
Index Option Strategy ETF, ETC 6 Meridian Low Beta
Equity Strategy ETF, ETC 6 Meridian Mega Cap Equity
ETF, ETC 6 Meridian Small Cap Equity ETF, and ETC 6
Meridian Quality Growth ETF and Board of Trustees of
Exchange Traded Concepts Trust
In planning and performing our audit of the
financial statements of ETC 6 Meridian Hedged
Equity-Index Option Strategy ETF, ETC 6 Meridian Low
Beta Equity Strategy ETF, ETC 6 Meridian Mega Cap
Equity ETF, ETC 6 Meridian Small Cap Equity ETF, and
ETC 6 Meridian Quality Growth ETF (the "Funds"),
each a series of Exchange Traded Concepts Trust, as
of and for the year ended November 30, 2022, in
accordance with the standards of the Public Company
Accounting Oversight Board (United States) (PCAOB),
we considered the Funds' internal control over
financial reporting, including controls over
safeguarding securities, as a basis for designing
our auditing procedures for the purpose of
expressing our opinion on the financial statements
and to comply with the requirements of Form N-CEN,
but not for the purpose of expressing an opinion on
the effectiveness of the Funds' internal control
over financial reporting. Accordingly, we express
no such opinion.
The management of the Funds is responsible for
establishing and maintaining effective internal
control over financial reporting. In fulfilling
this responsibility, estimates and judgments by
management are required to assess the expected
benefits and related costs of controls. A fund's
internal control over financial reporting is a
process designed to provide reasonable assurance
regarding the reliability of financial reporting and
the preparation of financial statements for external
purposes in accordance with generally accepted
accounting principles (GAAP). A fund's internal
control over financial reporting includes those
policies and procedures that (1) pertain to the
maintenance of records that, in reasonable detail,
accurately and fairly reflect the transactions and
dispositions of the assets of the fund; (2) provide
reasonable assurance that transactions are recorded
as necessary to permit preparation of financial
statements in accordance with GAAP, and that
receipts and expenditures of the fund are being made
only in accordance with authorizations of management
and trustees of the fund; and (3) provide reasonable
assurance regarding prevention or timely detection
of unauthorized acquisition, use or disposition of a
fund's assets that could have a material effect on
the financial statements.
Because of its inherent limitations, internal
control over financial reporting may not prevent or
detect misstatements. Also, projections of any
evaluation of effectiveness to future periods are
subject to the risk that controls may become
inadequate because of changes in conditions, or that
the degree of compliance with the policies or
procedures may deteriorate.
A deficiency in internal control over financial
reporting exists when the design or operation of a
control does not allow management or employees, in
the normal course of performing their assigned
functions, to prevent or detect misstatements on a
timely basis. A material weakness is a deficiency,
or combination of deficiencies, in internal control
over financial reporting, such that there is a
reasonable possibility that a material misstatement
of the Funds' annual or interim financial statements
will not be prevented or detected on a timely basis.
Our consideration of the Funds' internal control
over financial reporting was for the limited purpose
described in the first paragraph and would not
necessarily disclose all deficiencies in internal
control that might be material weaknesses under
standards established by the PCAOB. However, we
noted no deficiencies in the Funds' internal control
over financial reporting and its operation,
including controls over safeguarding securities,
that we consider to be a material weakness as
defined above as of November 30, 2022.
This report is intended solely for the information
and use of management and the Board of trustees of
the Funds and the Securities and Exchange Commission
and is not intended to be and should not be used by
anyone other than these specified parties.
COHEN & COMPANY, LTD.
Cleveland, Ohio
January 24, 2023
INTERNAL CONTROL RPT
3
HULL_ICL.txt
INTERNAL CONTROL LETTER
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM
To the Shareholders of Hull Tactical US ETF
and Board of Trustees of Exchange Traded Concepts
Trust
In planning and performing our audit of the
financial statements of Hull Tactical US ETF (the
"Fund"), a series of Exchange Traded Concepts Trust,
as of and for the year ended November 30, 2022, in
accordance with the standards of the Public Company
Accounting Oversight Board (United States) (PCAOB),
we considered the Fund's internal control over
financial reporting, including controls over
safeguarding securities, as a basis for designing
our auditing procedures for the purpose of
expressing our opinion on the financial statements
and to comply with the requirements of Form N-CEN,
but not for the purpose of expressing an opinion on
the effectiveness of the Fund's internal control
over financial reporting. Accordingly, we express
no such opinion.
The management of the Fund is responsible for
establishing and maintaining effective internal
control over financial reporting. In fulfilling
this responsibility, estimates and judgments by
management are required to assess the expected
benefits and related costs of controls. A fund's
internal control over financial reporting is a
process designed to provide reasonable assurance
regarding the reliability of financial reporting and
the preparation of financial statements for external
purposes in accordance with generally accepted
accounting principles (GAAP). A fund's internal
control over financial reporting includes those
policies and procedures that (1) pertain to the
maintenance of records that, in reasonable detail,
accurately and fairly reflect the transactions and
dispositions of the assets of the fund; (2) provide
reasonable assurance that transactions are recorded
as necessary to permit preparation of financial
statements in accordance with GAAP, and that
receipts and expenditures of the fund are being made
only in accordance with authorizations of management
and trustees of the fund; and (3) provide reasonable
assurance regarding prevention or timely detection
of unauthorized acquisition, use or disposition of a
fund's assets that could have a material effect on
the financial statements.
Because of its inherent limitations, internal
control over financial reporting may not prevent or
detect misstatements. Also, projections of any
evaluation of effectiveness to future periods are
subject to the risk that controls may become
inadequate because of changes in conditions, or that
the degree of compliance with the policies or
procedures may deteriorate.
A deficiency in internal control over financial
reporting exists when the design or operation of a
control does not allow management or employees, in
the normal course of performing their assigned
functions, to prevent or detect misstatements on a
timely basis. A material weakness is a deficiency,
or combination of deficiencies, in internal control
over financial reporting, such that there is a
reasonable possibility that a material misstatement
of the Fund's annual or interim financial statements
will not be prevented or detected on a timely basis.
Our consideration of the Fund's internal control
over financial reporting was for the limited purpose
described in the first paragraph and would not
necessarily disclose all deficiencies in internal
control that might be material weaknesses under
standards established by the PCAOB. However, we
noted no deficiencies in the Fund's internal control
over financial reporting and its operation,
including controls over safeguarding securities,
that we consider to be a material weakness as
defined above as of November 30, 2022.
This report is intended solely for the information
and use of management and the Board of Trustees of
the Funds and the Securities and Exchange Commission
and is not intended to be and should not be used by
anyone other than these specified parties.
COHEN & COMPANY, LTD.
Cleveland, Ohio
January 24, 2023
INTERNAL CONTROL RPT
4
CRIT_ICL.txt
INTERNAL CONTROL LETTER
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM
To the Shareholders of Optica Rare Earths & Critical
Materials ETF and
Board of Trustees of Exchange Traded Concepts Trust
In planning and performing our audit of the
financial statements of Optica Rare Earths &
Critical Materials ETF (the "Fund"), a series of
Exchange Traded Concepts Trust, as of and for the
period ended November 30, 2022, in accordance with
the standards of the Public Company Accounting
Oversight Board (United States) (PCAOB), we
considered the Fund's internal control over
financial reporting, including controls over
safeguarding securities, as a basis for designing
our auditing procedures for the purpose of
expressing our opinion on the financial statements
and to comply with the requirements of Form N-CEN,
but not for the purpose of expressing an opinion on
the effectiveness of the Fund's internal control
over financial reporting. Accordingly, we express
no such opinion.
The management of the Fund is responsible for
establishing and maintaining effective internal
control over financial reporting. In fulfilling
this responsibility, estimates and judgments by
management are required to assess the expected
benefits and related costs of controls. A fund's
internal control over financial reporting is a
process designed to provide reasonable assurance
regarding the reliability of financial reporting and
the preparation of financial statements for external
purposes in accordance with generally accepted
accounting principles (GAAP). A fund's internal
control over financial reporting includes those
policies and procedures that (1) pertain to the
maintenance of records that, in reasonable detail,
accurately and fairly reflect the transactions and
dispositions of the assets of the fund; (2) provide
reasonable assurance that transactions are recorded
as necessary to permit preparation of financial
statements in accordance with GAAP, and that
receipts and expenditures of the fund are being made
only in accordance with authorizations of management
and trustees of the fund; and (3) provide reasonable
assurance regarding prevention or timely detection
of unauthorized acquisition, use or disposition of a
fund's assets that could have a material effect on
the financial statements.
Because of its inherent limitations, internal
control over financial reporting may not prevent or
detect misstatements. Also, projections of any
evaluation of effectiveness to future periods are
subject to the risk that controls may become
inadequate because of changes in conditions, or that
the degree of compliance with the policies or
procedures may deteriorate.
A deficiency in internal control over financial
reporting exists when the design or operation of a
control does not allow management or employees, in
the normal course of performing their assigned
functions, to prevent or detect misstatements on a
timely basis. A material weakness is a deficiency,
or combination of deficiencies, in internal control
over financial reporting, such that there is a
reasonable possibility that a material misstatement
of the Fund's annual or interim financial statements
will not be prevented or detected on a timely basis.
Our consideration of the Fund's internal control
over financial reporting was for the limited purpose
described in the first paragraph and would not
necessarily disclose all deficiencies in internal
control that might be material weaknesses under
standards established by the PCAOB. However, we
noted no deficiencies in the Fund's internal control
over financial reporting and its operation,
including controls over safeguarding securities,
that we consider to be a material weakness as
defined above as of November 30, 2022.
This report is intended solely for the information
and use of management and the Board of Trustees of
the Fund and the Securities and Exchange Commission
and is not intended to be and should not be used by
anyone other than these specified parties.
COHEN & COMPANY, LTD.
Cleveland, Ohio
January 24, 2023
INTERNAL CONTROL RPT
5
EKAR_ICL.txt
INTERNAL CONTROL LETTER
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM
To the Shareholders of Capital Link Global Green
Energy Transport and Technology Leaders ETF
and Board of Exchange Traded Concepts Trust
In planning and performing our audit of the
financial statements of Capital Link Global Green
Energy Transport and Technology Leaders ETF
(formerly Capital Link NextGen Vehicles & Technology
ETF (the "Fund"), a series of Exchange Traded
Concepts Trust, as of and for the year ended
November 30, 2022, in accordance with the standards
of the Public Company Accounting Oversight Board
(United States) (PCAOB), we considered the Fund's
internal control over financial reporting, including
controls over safeguarding securities, as a basis
for designing our auditing procedures for the
purpose of expressing our opinion on the financial
statements and to comply with the requirements of
Form N-CEN, but not for the purpose of expressing an
opinion on the effectiveness of the Fund's internal
control over financial reporting. Accordingly, we
express no such opinion.
The management of the Fund is responsible for
establishing and maintaining effective internal
control over financial reporting. In fulfilling
this responsibility, estimates and judgments by
management are required to assess the expected
benefits and related costs of controls. A fund's
internal control over financial reporting is a
process designed to provide reasonable assurance
regarding the reliability of financial reporting and
the preparation of financial statements for external
purposes in accordance with generally accepted
accounting principles (GAAP). A fund's internal
control over financial reporting includes those
policies and procedures that (1) pertain to the
maintenance of records that, in reasonable detail,
accurately and fairly reflect the transactions and
dispositions of the assets of the fund; (2) provide
reasonable assurance that transactions are recorded
as necessary to permit preparation of financial
statements in accordance with GAAP, and that
receipts and expenditures of the fund are being made
only in accordance with authorizations of management
and trustees of the fund; and (3) provide reasonable
assurance regarding prevention or timely detection
of unauthorized acquisition, use or disposition of a
fund's assets that could have a material effect on
the financial statements.
Because of its inherent limitations, internal
control over financial reporting may not prevent or
detect misstatements. Also, projections of any
evaluation of effectiveness to future periods are
subject to the risk that controls may become
inadequate because of changes in conditions, or that
the degree of compliance with the policies or
procedures may deteriorate.
A deficiency in internal control over financial
reporting exists when the design or operation of a
control does not allow management or employees, in
the normal course of performing their assigned
functions, to prevent or detect misstatements on a
timely basis. A material weakness is a deficiency,
or combination of deficiencies, in internal control
over financial reporting, such that there is a
reasonable possibility that a material misstatement
of the Fund's annual or interim financial statements
will not be prevented or detected on a timely basis.
Our consideration of the Fund's internal control
over financial reporting was for the limited purpose
described in the first paragraph and would not
necessarily disclose all deficiencies in internal
control that might be material weaknesses under
standards established by the PCAOB. However, we
noted no deficiencies in the Fund's internal control
over financial reporting and its operation,
including controls over safeguarding securities,
that we consider to be a material weakness as
defined above as of November 30, 2022.
This report is intended solely for the information
and use of management and the Board of Trustees of
the Fund and the Securities and Exchange Commission
and is not intended to be and should not be used by
anyone other than these specified parties.
COHEN & COMPANY, LTD.
Cleveland, Ohio
January 24, 2023
INTERNAL CONTROL RPT
6
KOIN_ICL.txt
INTERNAL CONTROL LETTER
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM
To the Shareholders of Capital Link Global Fintech
Leaders ETF
and Board of Trustees of Exchange Traded Concepts
Trust
In planning and performing our audit of the
financial statements of Capital Link Global Fintech
Leaders ETF (formerly Capital Link NextGen Protocol
ETF) (the "Fund"), a series of Exchange Traded
Concepts Trust, as of and for the year ended
November 30, 2022, in accordance with the standards
of the Public Company Accounting Oversight Board
(United States) (PCAOB), we considered the Fund's
internal control over financial reporting, including
controls over safeguarding securities, as a basis
for designing our auditing procedures for the
purpose of expressing our opinion on the financial
statements and to comply with the requirements of
Form N-CEN, but not for the purpose of expressing an
opinion on the effectiveness of the Fund's internal
control over financial reporting. Accordingly, we
express no such opinion.
The management of the Fund is responsible for
establishing and maintaining effective internal
control over financial reporting. In fulfilling
this responsibility, estimates and judgments by
management are required to assess the expected
benefits and related costs of controls. A fund's
internal control over financial reporting is a
process designed to provide reasonable assurance
regarding the reliability of financial reporting and
the preparation of financial statements for external
purposes in accordance with generally accepted
accounting principles (GAAP). A fund's internal
control over financial reporting includes those
policies and procedures that (1) pertain to the
maintenance of records that, in reasonable detail,
accurately and fairly reflect the transactions and
dispositions of the assets of the fund; (2) provide
reasonable assurance that transactions are recorded
as necessary to permit preparation of financial
statements in accordance with GAAP, and that
receipts and expenditures of the fund are being made
only in accordance with authorizations of management
and trustees of the fund; and (3) provide reasonable
assurance regarding prevention or timely detection
of unauthorized acquisition, use or disposition of a
fund's assets that could have a material effect on
the financial statements.
Because of its inherent limitations, internal
control over financial reporting may not prevent or
detect misstatements. Also, projections of any
evaluation of effectiveness to future periods are
subject to the risk that controls may become
inadequate because of changes in conditions, or that
the degree of compliance with the policies or
procedures may deteriorate.
A deficiency in internal control over financial
reporting exists when the design or operation of a
control does not allow management or employees, in
the normal course of performing their assigned
functions, to prevent or detect misstatements on a
timely basis. A material weakness is a deficiency,
or combination of deficiencies, in internal control
over financial reporting, such that there is a
reasonable possibility that a material misstatement
of the Fund's annual or interim financial statements
will not be prevented or detected on a timely basis.
Our consideration of the Fund's internal control
over financial reporting was for the limited purpose
described in the first paragraph and would not
necessarily disclose all deficiencies in internal
control that might be material weaknesses under
standards established by the PCAOB. However, we
noted no deficiencies in the Fund's internal control
over financial reporting and its operation,
including controls over safeguarding securities,
that we consider to be a material weakness as
defined above as of November 30, 2022.
This report is intended solely for the information
and use of management and the Board of Trustees of
the Fund and the Securities and Exchange Commission
and is not intended to be and should not be used by
anyone other than these specified parties.
COHEN & COMPANY, LTD.
Cleveland, Ohio
January 24, 2023