0001145549-24-025352.txt : 20240426 0001145549-24-025352.hdr.sgml : 20240426 20240426144101 ACCESSION NUMBER: 0001145549-24-025352 CONFORMED SUBMISSION TYPE: NPORT-P PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20240229 FILED AS OF DATE: 20240426 DATE AS OF CHANGE: 20240426 PERIOD START: 20240531 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NEOS ETF Trust CENTRAL INDEX KEY: 0001848758 ORGANIZATION NAME: IRS NUMBER: 861805230 STATE OF INCORPORATION: DE FISCAL YEAR END: 0531 FILING VALUES: FORM TYPE: NPORT-P SEC ACT: 1940 Act SEC FILE NUMBER: 811-23645 FILM NUMBER: 24882315 BUSINESS ADDRESS: STREET 1: 13 RIVERSIDE AVE CITY: WESTPORT STATE: CT ZIP: 06880 BUSINESS PHONE: 914.443.5008 MAIL ADDRESS: STREET 1: 13 RIVERSIDE AVE CITY: WESTPORT STATE: CT ZIP: 06880 FORMER COMPANY: FORMER CONFORMED NAME: SHP ETF Trust DATE OF NAME CHANGE: 20210302 0001848758 S000082790 Mast Global Battery Recycling & Production ETF C000246112 Mast Global Battery Recycling & Production ETF EV NPORT-P 1 primary_doc.xml NPORT-P false 0001848758 XXXXXXXX S000082790 C000246112 NEOS ETF Trust 811-23645 0001848758 549300Q4QMDLLFX8BQ98 13 Riverside Avenue Westport 06880 203-298-7300 Mast Global Battery Recycling & Production ETF S000082790 529900FHCT0C2WDV6Z24 2024-05-31 2024-02-29 N 6436104.260000000000 3053.260000000000 6433051.000000000000 0.000000000000 0.000000000000 0.000000000000 0.000000000000 0.000000000000 0.000000000000 0.000000000000 0.000000000000 0.000000000000 0.000000000000 0.000000000000 0.000000000000 0.000000000000 N Dowa Holdings Co Ltd 353800ZSQZKFE140A689 Dowa Holdings Co Ltd N/A 2806.000000000000 NS 98032.830000000000 1.5238932507 Long EC CORP JP N 1 N N N Glencore PLC 2138002658CPO9NBH955 Glencore PLC N/A 87640.000000000000 NS 415889.520000000000 6.4648876560 Long EC CORP CH N 1 N N N Eve Energy Co Ltd 300300FTCIO530XV7T38 Eve Energy Co Ltd N/A 14000.000000000000 NS 74561.570000000000 1.1590390003 Long EC CORP CN N 1 N N N LG Energy Solution Ltd 988400QX6P286XA6ZS85 LG Energy Solution Ltd N/A 560.000000000000 NS 168849.500000000000 2.6247188154 Long EC CORP KR N 1 N N N First American Treasury Obliga 549300UU586IAH2B8H03 First American Treasury Obligations Fund 31846V328 97702.270000000000 NS USD 97702.270000000000 1.5187547868 Long STIV RF US N 1 N N N Panasonic Holdings Corp 254900GE1G59KGWPHX32 Panasonic Holdings Corp N/A 28040.000000000000 NS 266124.270000000000 4.1368282328 Long EC CORP JP N 1 N N N TIANNENG POWER N/A Tianneng Power International Ltd N/A 103614.000000000000 NS 93571.300000000000 1.4545399998 Long EC CORP CN N 1 N N N NARADA POWER SOURCE 300300BSPNLZVTBARX52 Zhejiang Narada Power Source Co Ltd N/A 50400.000000000000 NS 81276.200000000000 1.2634160681 Long EC CORP CN N 1 N N N CMOC Group Ltd 2549008KG3638J59U652 CMOC Group Ltd N/A 154000.000000000000 NS 131665.100000000000 2.0466975934 Long EC CORP CN N 1 N N N Lucid Group Inc N/A Lucid Group Inc 549498103 19348.000000000000 NS USD 63848.400000000000 0.9925057333 Long EC CORP US N 1 N N N Sumitomo Metal Mining Co Ltd 353800CF81IXL9974H84 Sumitomo Metal Mining Co Ltd N/A 2812.000000000000 NS 73348.350000000000 1.1401798307 Long EC CORP JP N 1 N N N Tesla Inc 54930043XZGB27CTOV49 Tesla Inc 88160R101 1904.000000000000 NS USD 384379.520000000000 5.9750734138 Long EC CORP US N 1 N N N SK Innovation Co Ltd 988400PXP70BWVSJVF07 SK Innovation Co Ltd N/A 840.000000000000 NS 73869.030000000000 1.1482736574 Long EC CORP KR N 1 N N N GEM Co Ltd 300300FYIZ7FGM2QRC06 GEM Co Ltd N/A 112000.000000000000 NS 83456.020000000000 1.2973007676 Long EC CORP CN N 1 N N N Zhejiang Huayou Cobalt Co Ltd 30030099QFLNMEGP7M05 Zhejiang Huayou Cobalt Co Ltd N/A 16800.000000000000 NS 64693.980000000000 1.0056500407 Long EC CORP CN N 1 N N N Ecopro BM Co Ltd N/A Ecopro BM Co Ltd N/A 560.000000000000 NS 112075.700000000000 1.7421857840 Long EC CORP KR N 1 N N N Tianneng Battery Group Co Ltd 300300NOKZOLM51U7U67 Tianneng Battery Group Co Ltd N/A 19600.000000000000 NS 79563.480000000000 1.2367923090 Long EC CORP CN N 1 N N N Boliden AB 21380059QU7IM1ONDJ56 Boliden AB N/A 3696.000000000000 NS 93708.650000000000 1.4566750676 Long EC CORP SE N 1 N N N EnerSys 7ZS3DE5PN30BYUJFWP05 EnerSys 29275Y102 1036.000000000000 NS USD 95187.680000000000 1.4796661802 Long EC CORP US N 1 N N N LG Chem Ltd 988400IES4EIG7O06940 LG Chem Ltd N/A 560.000000000000 NS 190507.660000000000 2.9613889273 Long EC CORP KR N 1 N N N Rio Tinto PLC 213800YOEO5OQ72G2R82 Rio Tinto PLC 767204100 7616.000000000000 NS USD 491460.480000000000 7.6396173449 Long EC CORP GB N 1 N N N First Quantum Minerals Ltd 549300I7UVBGWRYMYZ18 First Quantum Minerals Ltd 335934105 7672.000000000000 NS USD 72856.380000000000 1.1325322930 Long EC CORP CA N 1 N N N Renault SA 969500F7JLTX36OUI695 Renault SA N/A 2800.000000000000 NS 116746.200000000000 1.8147874158 Long EC CORP FR N 1 N N N Fortum Oyj 635400IUIZZIUJSAMF76 Fortum Oyj N/A 7840.000000000000 NS 97990.460000000000 1.5232346207 Long EC CORP FI N 1 N N N BHP Group Ltd WZE1WSENV6JSZFK0JC28 BHP Group Ltd N/A 17220.000000000000 NS 492579.860000000000 7.6570177976 Long EC CORP AU N 1 N N N Samsung SDI Co Ltd 9884002AESDO4YW87G32 Samsung SDI Co Ltd N/A 560.000000000000 NS 158546.110000000000 2.4645554652 Long EC CORP KR N 1 N N N Ganfeng Lithium Group Co Ltd 3003006BE6UOHWEOOR42 Ganfeng Lithium Group Co Ltd N/A 14000.000000000000 NS 77948.080000000000 1.2116813624 Long EC CORP CN N 1 N N N Tianqi Lithium Corp 300300IZ1J0MQ8YVEG66 Tianqi Lithium Corp N/A 11200.000000000000 NS 83502.730000000000 1.2980268616 Long EC CORP CN N 1 N N N BYD Co Ltd 5299005557VL7ULJ7A69 BYD Co Ltd Y1023R120 11200.000000000000 NS 297701.320000000000 4.6276847487 Long EC CORP CN N 1 N N N Umicore SA 529900F3AIQECS8ZSV61 Umicore SA N/A 4144.000000000000 NS 86504.300000000000 1.3446854377 Long EC CORP BE N 1 N N N CATL 300300KINDY1K0E9I032 Contemporary Amperex Technology Co Ltd Y1R48E105 23900.000000000000 NS 543271.680000000000 8.4450081307 Long EC CORP CN N 1 N N N Sungeel Hitech Co Ltd N/A Sungeel Hitech Co Ltd N/A 1120.000000000000 NS 82427.160000000000 1.2813074232 Long EC CORP KR N 1 N N N Cleanaway Waste Management Ltd 549300D5C72CV6CIBS66 Cleanaway Waste Management Ltd N/A 63168.000000000000 NS 110233.660000000000 1.7135517813 Long EC CORP AU N 1 N N N Sociedad Quimica y Minera de C TJ88LXZZW5PWIN93ZC81 Sociedad Quimica y Minera de Chile SA 833635105 1960.000000000000 NS USD 97451.200000000000 1.5148519730 Long EC CORP CL N 1 N N N Vale SA 254900SMTWBX7RU2SR20 Vale SA 91912E105 35672.000000000000 NS USD 478361.520000000000 7.4359976316 Long EC CORP BR N 1 N N N ENEOS Holdings Inc 3538001KQ5SAOZSQTT44 ENEOS Holdings Inc N/A 39208.000000000000 NS 169306.680000000000 2.6318255521 Long EC CORP JP N 1 N N N Gotion High-tech Co Ltd 300300J1NKV8ZBF0KN15 Gotion High-tech Co Ltd Y4439F110 28000.000000000000 NS 77033.330000000000 1.1974618264 Long EC CORP CN N 1 N N N Camel Group Co Ltd 300300KAIF1FSV582U21 Camel Group Co Ltd N/A 84000.000000000000 NS 87115.000000000000 1.3541786005 Long EC CORP CN N 1 N N N TINCI 836800Y28XV3QK34CB65 Guangzhou Tinci Materials Technology Co Ltd N/A 25200.000000000000 NS 72307.790000000000 1.1240046131 Long EC CORP CN N 1 N N N 2024-03-13 NEOS ETF Trust /s/ Josh Hunter Josh Hunter Treasurer XXXX NPORT-EX 2 ev2.htm

Mast Global Battery Recycling & Production ETF
  
Schedule of Investments
  
as of February 29, 2024 (Unaudited)
  
   
COMMON STOCKS - 98.5%
  
Shares
    
Value
  
Automobile Components - 2.7%
        
Tianneng Battery Group Co. Ltd. - Class A
    
19,600
    
$
79,563
  
Tianneng Power International Ltd.
    
103,614
      
93,572
  
             
173,135
  
                 
Automobiles - 13.3%
          
BYD Co. Ltd. - Class A
    
11,200
      
297,702
  
Lucid Group, Inc.(a)
    
19,348
      
63,848
  
Renault S.A.
    
2,800
      
116,746
  
Tesla, Inc.(a)
    
1,904
      
384,380
  
             
862,676
  
                 
Chemicals - 7.9%
          
Ganfeng Lithium Group Co. Ltd. - Class A
    
14,000
      
77,948
  
Guangzhou Tinci Materials Technology Co. Ltd. - Class A
    
25,200
      
72,308
  
LG Chem Ltd.
    
560
      
190,508
  
Tianqi Lithium Corp. - Class A
    
11,200
      
83,503
  
Umicore S.A.
    
4,144
      
86,504
  
             
510,771
  
                 
Commercial Services & Supplies - 3.0%
          
Cleanaway Waste Management Ltd.
    
63,168
      
110,234
  
Sungeel Hitech Co. Ltd.(a)
    
1,120
      
82,427
  
             
192,661
  
                 
Electric Utilities - 1.5%
          
Fortum Oyj
    
7,840
      
97,990
  
                 
Electrical Equipment - 20.8%
          
Camel Group Co. Ltd. - Class A
    
84,000
      
87,115
  
Contemporary Amperex Technology Co. Ltd. - Class A
    
23,900
      
543,271
  
Ecopro BM Co. Ltd.(a)
    
560
      
112,076
  
EnerSys
    
1,036
      
95,188
  
Eve Energy Co. Ltd. - Class A
    
14,000
      
74,562
  
Gotion High-tech Co. Ltd. - Class A(a)
    
28,000
      
77,033
  
LG Energy Solution Ltd.(a)
    
560
      
168,850
  
Sociedad Quimica y Minera de Chile S.A. - ADR
    
1,960
      
97,451
  
Zhejiang Narada Power Source Co. Ltd. - Class A(a)
    
50,400
      
81,276
  
             
1,336,822
  
                 
Electronic Equipment, Instruments & Components - 2.5%
          
Samsung SDI Co. Ltd.
    
560
      
158,546
  
                 
Household Durables - 4.1%
          
Panasonic Holdings Corp.
    
28,040
      
266,124
  
                 
Metals & Mining - 38.9%(b)
          
BHP Group Ltd.
    
17,220
      
492,579
  
Boliden AB
    
3,696
      
93,709
  
CMOC Group Ltd. - Class A
    
154,000
      
131,665
  
Dowa Holdings Co. Ltd.
    
2,806
      
98,033
  
First Quantum Minerals Ltd.
    
7,672
      
72,856
  
GEM Co. Ltd. - Class A
    
112,000
      
83,456
  
Glencore PLC
    
87,640
      
415,889
  
Rio Tinto PLC - ADR
    
7,616
      
491,461
  
Sumitomo Metal Mining Co. Ltd.
    
2,812
      
73,348
  
Vale S.A. - ADR
    
35,672
      
478,362
  
Zhejiang Huayou Cobalt Co. Ltd. - Class A
    
16,800
      
64,694
  
             
2,496,052
  
                 
Oil, Gas & Consumable Fuels - 3.8%
          
ENEOS Holdings, Inc.
    
39,208
      
169,307
  
SK Innovation Co., Ltd.(a)
    
840
      
73,869
  
             
243,176
  
TOTAL COMMON STOCKS (Cost $6,839,326)
      
6,337,953
  
                 
SHORT-TERM INVESTMENTS - 1.5%
                
Money Market Funds - 1.5%
  
Shares
          
First American Treasury Obligations Fund - Class X, 5.23%(c)
    
97,694
      
97,694
  
TOTAL SHORT-TERM INVESTMENTS (Cost $97,694)
      
97,694
  
                 
TOTAL INVESTMENTS - 100.0% (Cost $6,937,020)
    
$
6,435,647
  
Liabilities in Excess of Other Assets – (0.0)%(d)
      
(2,596
)
TOTAL NET ASSETS - 100.0%
          
$
6,433,051
  

Percentages are stated as a percent of net assets.
  
 
The Global Industry Classification Standard (GICS®) was developed by and/or is the exclusive property of MSCI, Inc. and Standard & Poor’s Financial Services LLC (“S&P”). GICS is a service mark of MSCI, Inc. and S&P and has been licensed for use by U.S. Bank Global Fund Services.

ADR - American Depositary Receipt
PLC - Public Limited Company
S.A. - Sociedad Anónima

(a)
Non-income producing security.
(b)
To the extent that the Fund invests more heavily in a particular industry or sector of the economy, its performance will be especially sensitive to developments that significantly affect those industries or sectors.
(c)
The rate shown represents the 7-day effective yield as of February 29, 2024.
(d)
Represents less than 0.05% of net assets.
NEOS ETF Trust
Mast Global Battery Recycling & Production ETF
Notes to Schedule of Investments
February 29, 2024 (Unaudited)

Investment Valuation
The Fund discloses the fair value of their investments in a hierarchy that distinguishes between: (1) market participant assumptions developed based on market data obtained from sources independent of the Fund’s (observable inputs) and (2) the Fund’s own assumptions about market participant assumptions developed based on the best information available under the circumstances (unobservable inputs). The three levels defined by the hierarchy are as follows:

• Level 1 — Quoted prices in active markets for identical assets that the Fund has the ability to access.
• Level 2 — Other significant observable inputs (including quoted prices for similar securities, interest rates, prepayment speeds, credit risk, etc.).
• Level 3 — Significant unobservable inputs (including the Fund’s own assumptions in determining the fair value of investments).

The inputs or methodology used for valuing securities are not necessarily an indication of the risk associated with investing in those securities.

The following is a summary of the inputs used to value the Fund’s investments as of February 29, 2024:

Mast Global Battery Recycling & Production ETF
  
   
Level 1
    
Level 2
    
Level 3
    
Total
  
Assets:
                        
  Common Stocks
  
$
6,337,953
    
$
–
    
$
–
    
$
6,337,953
  
  Money Market Funds
    
97,694
      
–
      
–
      
97,694
  
Total Assets
  
$
6,435,647
    
$
–
    
$
–
    
$
6,435,647
  
                                 
   
Refer to the Schedule of Investments for industry classifications.
  

Mast Global Battery Recycling & Production ETF invested, as a percentage of net assets, in the following countries as of February 29, 2024 (Unaudited):

Allocation of Portfolio Holdings by Country as of February 29, 2024
        
                                             (% of Net Assets)
            
China
  
$
1,754,096
      
27.3
%
Republic of Korea
    
786,275
      
12.2
  
United States
    
641,110
      
9.9
  
Japan
    
606,812
      
9.4
  
Australia
    
602,814
      
9.4
  
United Kingdom
    
491,461
      
7.6
  
Brazil
    
478,362
      
7.4
  
Switzerland
    
415,889
      
6.5
  
France
    
116,746
      
1.8
  
Finland
    
97,990
      
1.5
  
Chile
    
97,451
      
1.5
  
Sweden
    
93,709
      
1.5
  
Hong Kong
    
93,572
      
1.5
  
Belgium
    
86,504
      
1.4
  
Canada
    
72,856
      
1.1
  
Liabilities in Excess of Other Assets
    
(2,596
)
    
0.0
(a) 
   
$
6,433,051
      
100.0
%
 
(a) Represents less than 0.05% of net assets.