# EDGAR Filing Document

**Accession Number:** 0001426439
**File Stem:** 0001752724-23-069735
**Filing Date:** 2023-3
**Character Count:** 38437
**Document Hash:** d61d694e3c2408dbe6e2666a387eb4e7
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001752724-23-069735.hdr.sgml**: 20230328

**ACCESSION NUMBER**: 0001752724-23-069735

**CONFORMED SUBMISSION TYPE**: NPORT-P

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20230131

**FILED AS OF DATE**: 20230328

**DATE AS OF CHANGE**: 20230328

**PERIOD START**: 20230430

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** IndexIQ Active ETF Trust
- **CENTRAL INDEX KEY:** 0001426439
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 0430

**FILING VALUES:**
- **FORM TYPE:** NPORT-P
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-22739
- **FILM NUMBER:** 23767971

**BUSINESS ADDRESS:**
- **STREET 1:** 51 MADISON AVENUE
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10010
- **BUSINESS PHONE:** 888-474-7725

**MAIL ADDRESS:**
- **STREET 1:** 51 MADISON AVENUE
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10010

## Series and Classes Contracts Data

### IQ MacKay California Municipal Intermediate ETF (Series ID: S000069622)

| Class ID   | Class Name                                      | Ticker Symbol   |
|:---|:---|:---|
| C000222073 | IQ MacKay California Municipal Intermediate ETF | MMCA            |

## Nport-Ex

Schedule of Investments — IQ MacKay California Municipal Intermediate ETF

January 31, 2023 (unaudited)

---

| | | |
|:---|:---|:---|
|  | **Principal<br> Amount** | **Value** |
| **Municipal Bonds — 96.1%** | **Municipal Bonds — 96.1%** | |
| **California — 85.8%** | **California — 85.8%** | |
| Cabrillo Community College District, General Obligation Bonds |  |  |
| &nbsp;&nbsp; Series A |  |  |
| &nbsp;&nbsp;4.000%, due 8/1/32 | $500000 | $549683 |
| California Community Choice Financing Authority, Revenue Bonds |  |  |
| &nbsp;&nbsp;&nbsp;4.000%, due 10/1/52<sup>(a),(b)</sup> | 1000000 | 1014837 |
| &nbsp;&nbsp; Series A1 |  |  |
| &nbsp;&nbsp;&nbsp;4.000%, due 5/1/53<sup>(a),(b)</sup> | 2000000 | 2030789 |
| California Community Housing Agency, Revenue Bonds |  |  |
| &nbsp;&nbsp; Series A |  |  |
| &nbsp;&nbsp;5.000%, due 4/1/49 | 500000 | 445676 |
| California Health Facilities Financing Authority, Revenue Bonds |  |  |
| &nbsp;&nbsp; Series C |  |  |
| &nbsp;&nbsp;&nbsp;5.000%, due 6/1/41<sup>(a),(b)</sup> | 1250000 | 1457688 |
| California Infrastructure & Economic Development Bank, Revenue Bonds |  |  |
| &nbsp;&nbsp; Series A |  |  |
| &nbsp;&nbsp;&nbsp;3.650%, due 1/1/50<sup>(a),(b)</sup> | 1000000 | 999976 |
| &nbsp;&nbsp; Series B |  |  |
| &nbsp;&nbsp;&nbsp;3.000%, due 10/1/47<sup>(a),(b)</sup> | 1140000 | 1160200 |
| &nbsp;&nbsp;5.000%, due 11/1/29 | 800000 | 938387 |
| California Municipal Finance Authority, Revenue Bonds |  |  |
| &nbsp;&nbsp;4.000%, due 7/15/29 | 1000000 | 990451 |
| &nbsp;&nbsp; Series A |  |  |
| &nbsp;&nbsp;&nbsp;2.400%, due 10/1/44<sup>(a),(b)</sup> | 1140000 | 1040469 |
| &nbsp;&nbsp;&nbsp;4.125%, due 10/1/41<sup>(a),(b)</sup> | 1000000 | 1007394 |
| California Public Finance Authority, Revenue Bonds |  |  |
| &nbsp;&nbsp; Series A |  |  |
| &nbsp;&nbsp;4.000%, due 7/15/36 | 500000 | 528863 |
| California State Public Works Board, Revenue Bonds |  |  |
| &nbsp;&nbsp; Series A |  |  |
| &nbsp;&nbsp;5.000%, due 3/1/29 | 1000000 | 1002345 |
| City of Long Beach CA Airport System Revenue, Revenue Bonds |  |  |
| &nbsp;&nbsp; Series A Insured: AGM |  |  |
| &nbsp;&nbsp;5.000%, due 6/1/32 | 200000 | 242877 |
| &nbsp;&nbsp; Series B Insured: AGM |  |  |
| &nbsp;&nbsp;5.000%, due 6/1/32 | 200000 | 242877 |
| City of Victorville CA Electric Revenue, Revenue Bonds |  |  |
| &nbsp;&nbsp; Series A |  |  |
| &nbsp;&nbsp;5.000%, due 5/1/38 | 1000000 | 1081717 |
| Compton Unified School District, General Obligation Bonds |  |  |
| &nbsp;&nbsp; Series B Insured: BAM |  |  |
| &nbsp;&nbsp;5.000%, due 6/1/29 | 750000 | 838039 |
| East Bay Municipal Utility District Water System Revenue, Revenue Bonds |  |  |
| &nbsp;&nbsp; Series A |  |  |
| &nbsp;&nbsp;4.000%, due 6/1/33 | 1000000 | 1035674 |
| East Side Union High School District, General Obligation Bonds |  |  |
| &nbsp;&nbsp;5.000%, due 8/1/27 | 800000 | 809967 |
| Kern Community College District, General Obligation Bonds |  |  |
| &nbsp;&nbsp; Series D |  |  |
| &nbsp;&nbsp;5.000%, due 8/1/32 | 625000 | 779360 |
| Kern County Water Agency Improvement District No 4, Revenue Bonds |  |  |
| &nbsp;&nbsp; Series A Insured: AGM |  |  |
| &nbsp;&nbsp;5.000%, due 5/1/28 | 500000 | 543885 |
| Los Angeles County Metropolitan Transportation Authority Sales Tax Revenue, Revenue Bonds |  |  |
| &nbsp;&nbsp; Series A |  |  |
| &nbsp;&nbsp;5.000%, due 6/1/32 | 500000 | 547254 |
| Modesto Irrigation District, Revenue Bonds |  |  |
| &nbsp;&nbsp; Series A |  |  |
| &nbsp;&nbsp;5.000%, due 10/1/40 | 1000000 | 1044352 |
| Mount Diablo Unified School District, General Obligation Bonds |  |  |
| &nbsp;&nbsp; Series B |  |  |
| &nbsp;&nbsp;4.000%, due 8/1/29 | 1265000 | 1404733 |
| Municipal Improvement Corp. of Los Angeles, Revenue Bonds |  |  |
| &nbsp;&nbsp; Series A |  |  |
| &nbsp;&nbsp;5.000%, due 11/1/29 | 1000000 | 1176393 |
| &nbsp;&nbsp; Series B |  |  |
| &nbsp;&nbsp;5.000%, due 11/1/30 | 575000 | 634929 |
| Norman Y Mineta San Jose International Airport SJC, Revenue Bonds |  |  |
| &nbsp;&nbsp; Series A |  |  |
| &nbsp;&nbsp;5.000%, due 3/1/29 | 1500000 | 1666349 |
| Oakland Unified School District/Alameda County, General Obligation Bonds |  |  |
| &nbsp;&nbsp; Series A Insured: AGM |  |  |
| &nbsp;&nbsp;5.000%, due 8/1/31 | 1000000 | 1117236 |
| Orange County Sanitation District, Revenue Bonds |  |  |
| &nbsp;&nbsp; Series A |  |  |
| &nbsp;&nbsp;5.000%, due 2/1/30 | 500000 | 519998 |
| Peralta Community College District, General Obligation Bonds |  |  |
| &nbsp;&nbsp; Series A |  |  |
| &nbsp;&nbsp;4.000%, due 8/1/39 | 500000 | 503083 |
| Ravenswood City School District, General Obligation Bonds |  |  |
| &nbsp;&nbsp; Insured: AGM |  |  |
| &nbsp;&nbsp;5.250%, due 8/1/45 | 1000000 | 1124429 |
| River Islands Public Financing Authority, Special Tax |  |  |
| &nbsp;&nbsp; Series A1 Insured: AGM |  |  |
| &nbsp;&nbsp;5.000%, due 9/1/30 | 350000 | 407921 |
| &nbsp;&nbsp;5.000%, due 9/1/42 | 500000 | 552095 |
| Sacramento City Unified School District, General Obligation Bonds |  |  |
| &nbsp;&nbsp; Insured: BAM |  |  |
| &nbsp;&nbsp;5.000%, due 7/1/30 | 655000 | 772395 |
| San Diego County Regional Airport Authority, Revenue Bonds |  |  |
| &nbsp;&nbsp; Series B |  |  |
| &nbsp;&nbsp;5.000%, due 7/1/33 | 1000000 | 1131807 |
| San Francisco Bay Area Rapid Transit District, General Obligation Bonds |  |  |
| &nbsp;&nbsp; Series A |  |  |
| &nbsp;&nbsp;5.000%, due 8/1/33 | 860000 | 965506 |
| San Francisco City & County Airport Comm-San Francisco International Airport, Revenue Bonds |  |  |
| &nbsp;&nbsp; Series A |  |  |
| &nbsp;&nbsp;5.500%, due 5/1/28 | 1250000 | 1257903 |

---

Schedule of Investments — IQ MacKay California Municipal Intermediate ETF (continued)

January 31, 2023 (unaudited)

---

| | | |
|:---|:---|:---|
|  | **Principal<br> Amount** | **Value** |
| **Municipal Bonds (continued)** |  |  |
| **California (continued)** |  |  |
| San Francisco Unified School District, General Obligation Bonds |  |  |
| &nbsp;&nbsp; Series B |  |  |
| &nbsp;&nbsp;4.000%, due 6/15/31 | $1000000 | $1086202 |
| San Jose Evergreen Community College District, General Obligation Bonds |  |  |
| &nbsp;&nbsp; Series B |  |  |
| &nbsp;&nbsp;4.000%, due 9/1/31 | 955000 | 1043403 |
| San Juan Unified School District, General Obligation Bonds |  |  |
| &nbsp;&nbsp; Series N |  |  |
| &nbsp;&nbsp;4.000%, due 8/1/31 | 1000000 | 1056074 |
| San Mateo Union High School District, General Obligation Bonds |  |  |
| &nbsp;&nbsp; Series B |  |  |
| &nbsp;&nbsp;4.000%, due 9/1/34 | 455000 | 494053 |
| South San Francisco Public Facilities Financing Authority, Revenue Bonds |  |  |
| &nbsp;&nbsp; Series A |  |  |
| &nbsp;&nbsp;5.000%, due 6/1/36 | 620000 | 706130 |
| Southern California Public Power Authority, Revenue Bonds |  |  |
| &nbsp;&nbsp;5.000%, due 7/1/30 | 1210000 | 1237437 |
| State of California, General Obligation Bonds |  |  |
| &nbsp;&nbsp;5.000%, due 4/1/29 | 1000000 | 1170419 |
| &nbsp;&nbsp;5.000%, due 10/1/31 | 500000 | 613484 |
| Torrance Unified School District, General Obligation Bonds |  |  |
| &nbsp;&nbsp;4.250%, due 8/1/33 | 1320000 | 1388310 |
| University of California, Revenue Bonds |  |  |
| &nbsp;&nbsp; Series AI |  |  |
| &nbsp;&nbsp;5.000%, due 5/15/33 | 750000 | 755378 |
|  |  | 43118427 |
| **Guam — 6.1%** |  |  |
| Guam Power Authority, Revenue Bonds |  |  |
| &nbsp;&nbsp; Series A |  |  |
| &nbsp;&nbsp;5.000%, due 10/1/33 | 1000000 | 1061556 |
| Territory of Guam, Revenue Bonds |  |  |
| &nbsp;&nbsp; Series D |  |  |
| &nbsp;&nbsp;5.000%, due 11/15/27 | 585000 | 607205 |
| &nbsp;&nbsp; Series F |  |  |
| &nbsp;&nbsp;5.000%, due 1/1/30 | 1250000 | 1376491 |
|  |  | 3045252 |
| **Puerto Rico — 4.3%** |  |  |
| Commonwealth of Puerto Rico, General Obligation Bonds |  |  |
| &nbsp;&nbsp; Series A |  |  |
| &nbsp;&nbsp;&nbsp;5.300%, due 7/1/33<sup>(c)</sup> | 2688 | 1557 |
| &nbsp;&nbsp; Series A1 |  |  |
| &nbsp;&nbsp;4.000%, due 7/1/35 | 251878 | 228781 |
| &nbsp;&nbsp;5.375%, due 7/1/25 | 700326 | 716418 |
| &nbsp;&nbsp;5.750%, due 7/1/31 | 971203 | 1053292 |
| Commonwealth of Puerto Rico, Notes |  |  |
| &nbsp;&nbsp;&nbsp;0.000%, due 11/1/51<sup>(a),(b)</sup> | 106795 | 33774 |
| University of Puerto Rico, Revenue Bonds |  |  |
| &nbsp;&nbsp; Series P Insured: NATL-IBC |  |  |
| &nbsp;&nbsp;5.000%, due 6/1/25 | 120000 | 120143 |
|  |  | 2153965 |
| **Total Municipal Bonds** |  |  |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**(Cost $47,326,651)** |  | **48317644** |

---

---

| | | |
|:---|:---|:---|
|  | **Shares** | **Value** |
| **Short-Term Investment — 2.9%** |  |  |
| **Money Market Fund — 2.9%** |  |  |
| Dreyfus Tax Exempt Cash Management - Institutional, 1.66%<sup>(d)</sup> |  |  |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**(Cost $1,436,760)** | 1436904 | $**1436760** |
| **Total Investments — 99.0%** |  |  |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**(Cost $48,763,411)** |  | **49754404** |
| **Other Assets and Liabilities, Net — 1.0%** |  | **540703** |
| **Net Assets — 100.0%** |  | $**50295107** |

---

(a) Variable rate securities that may be tendered back to the issuer at any time prior to maturity at par. Rate shown is the rate in effect as of January 31, 2023.

(b) Adjustable rate security with an interest rate that is not based on a published reference index and spread. The rate is based on the structure of the agreement and current market conditions.

(c) The security was issued on a discount basis with no stated coupon rate. Rate shown reflects the effective yield.

(d) Reflects the 7-day yield at January 31, 2023.

---

| | |
|:---|:---|
| **Abbreviations** | **Abbreviations** |
| AGM | - Assured Guaranty Municipal Corp. |
| BAM | - Build America Mutual Assurance Co. |
| NATL | - National Public Finance Guarantee Corp. |

---

Schedule of Investments — IQ MacKay California Municipal Intermediate ETF (continued)

January 31, 2023 (unaudited)

The following is a summary of the inputs used to value the Fund's investments as of January 31, 2023. For more information on the valuation techniques, and their aggregation into the levels used in the table below, please refer to the Fund's most recent semi-annual or annual financial statements.

---

| | | | | |
|:---|:---|:---|:---|:---|
| **Description** | **Level 1** | **Level 2** | **Level 3** | **Total** |
| **Asset Valuation Inputs** |  |  |  |  |
| Investments in Securities:<sup>(e)</sup> |  |  |  |  |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Municipal Bonds | $– | $48317644 | $– | $48317644 |
| Short-Term Investment: |  |  |  |  |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Money Market Fund | 1436760 | – | – | 1436760 |
| Total Investments in Securities | $1436760 | $48317644 | $– | $49754404 |

---

(e) For a complete listing of investments and their states, see the Schedule of Investments.

For the period ended January 31, 2023, the Fund did not have any transfers into or out of Level 3 within the fair value hierarchy.

## Form NPORT-P: Monthly Portfolio Investments Report

### NPORT-P: Part A: General Information

**Item A.1. Information about the Registrant.**

- **a. Name of Registrant:** IndexIQ Active ETF Trust

- **b. Investment Company Act file number:** 811-22739

- **c. CIK number of Registrant:** 0001426439

- **d. LEI of Registrant:** 549300VWZDQ61K9DOP39

- **e. Address and telephone number of Registrant.**

  - **Street Address 1:** 51 Madison Avenue

  - **City:** New York

  - **State:** NY

  - **Foreign country:** US

  - **Zip / Postal Code:** 10010

  - **Telephone number:** 888-474-7725

**Item A.2. Information about the Series.**

- **a. Name of Series:** IQ MacKay California Municipal Intermediate ETF

- **b. EDGAR series identifier (if any):** S000069622

- **c. LEI of Series:** 549300OYUDYMCD64FC48

**Item A.3. Reporting period.**

- **a. Date of fiscal year-end:** 2023-04-30

- **b. Date as of which information is reported:** 2023-01-31

**Item A.4. Final filing**

Does the Fund anticipate that this will be its final filing on Form N-PORT? **No**

### Fund Information

**Total Assets:** $50382211.18

**Total Liabilities:** $87104.48

**Net Assets:** $50295106.70

**Currency Risk Metrics (dv01):**

- 

**Credit Spread Risk - Investment Grade (dv01):**

- **3-Month:** 103.38670000 | **1-Year:** 2048.79344000 | **5-Year:** 12594.93312000 | **10-Year:** 6813.38393000 | **30-Year:** 251.70415000

**Credit Spread Risk - Non-Investment Grade (dv01):**

- **3-Month:** 0.00000000 | **1-Year:** 94.67152000 | **5-Year:** 1210.97652000 | **10-Year:** 243.24380000 | **30-Year:** 0.00000000

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000222073 | 3.75%                | 0.53%                | 2.41%                |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $-480465.09              | $1971492.44                                |
| Month 2  | $-181126.30              | $253919.48                                 |
| Month 3  | $-21955.09               | $1068414.97                                |

### Schedule of Portfolio Investments

| Name                               | Title                                                                        | Identifiers                                   | Payoff Profile   | Asset Category   | Issuer Category   | Country   |   Balance | Units   | Value (USD)   | % of Net Assets   | Maturity Date   | Coupon Type   | Annualized Rate (%)   | Restricted?   |   Fair Value Level | Lending Status   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| SAN JUAN CA UNIF SCH DIST          | San Juan Unified School District                                             | CUSIP: 798306VX1<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |   1000000 | PA      | $1056073.80   | 2.10%             | 2031-08-01      | Fixed         | 4.00%                 | No            |                  2 | On Loan: No      |
| ORANGE CNTY CA SANTN DIST WSTW     | Orange County Sanitation District                                            | CUSIP: 68428TBT3<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |    500000 | PA      | $519997.70    | 1.03%             | 2030-02-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| COMPTON CA UNIF SCH DIST           | Compton Unified School District/CA                                           | CUSIP: 204736FA5<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |    750000 | PA      | $838038.90    | 1.67%             | 2029-06-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| TORRANCE CA UNIF SCH DIST          | Torrance Unified School District                                             | CUSIP: 8913813E3<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |   1320000 | PA      | $1388309.87   | 2.76%             | 2033-08-01      | Fixed         | 4.25%                 | No            |                  2 | On Loan: No      |
| RIVER ISLANDS CA PUBLIC FING A     | River Islands Public Financing Authority                                     | CUSIP: 76827QGP2<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |    500000 | PA      | $552094.85    | 1.10%             | 2042-09-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| PUERTO RICO CMWLTH                 | Commonwealth of Puerto Rico                                                  | CUSIP: 74514L3J4<br>LEI: 549300X44HXPLJU48U63 | Long             | DBT              | MUN               | US        |    971203 | PA      | $1053291.73   | 2.09%             | 2031-07-01      | Fixed         | 5.75%                 | No            |                  2 | On Loan: No      |
| SAN JOSE CA EVERGREEN CMNTY CL     | San Jose Evergreen Community College District                                | CUSIP: 798189QP4<br>LEI: 5493006H31JIFYW6Z091 | Long             | DBT              | MUN               | US        |    955000 | PA      | $1043402.54   | 2.07%             | 2031-09-01      | Fixed         | 4.00%                 | No            |                  2 | On Loan: No      |
| SAN JOSE CA ARPT REVENUE           | Norman Y Mineta San Jose International Airport SJC                           | CUSIP: 798136WZ6<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |   1500000 | PA      | $1666349.40   | 3.31%             | 2029-03-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| CALIFORNIA PUBLIC FIN AUTH REV     | California Public Finance Authority                                          | CUSIP: 13057EFF6<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |    500000 | PA      | $528863.30    | 1.05%             | 2036-07-15      | Fixed         | 4.00%                 | No            |                  2 | On Loan: No      |
| CALIFORNIA ST PUBLIC WKS BRD L     | California State Public Works Board                                          | CUSIP: 13068LCL7<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |   1000000 | PA      | $1002345.50   | 1.99%             | 2029-03-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| CALIFORNIA ST                      | State of California                                                          | CUSIP: 13063DM70<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |    500000 | PA      | $613483.65    | 1.22%             | 2031-10-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| EAST BAY CA MUNI UTILITY DIST      | East Bay Municipal Utility District Water System Revenue                     | CUSIP: 271014ZA3<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |   1000000 | PA      | $1035673.60   | 2.06%             | 2033-06-01      | Fixed         | 4.00%                 | No            |                  2 | On Loan: No      |
| LONG BEACH CA ARPT REVENUE         | City of Long Beach CA Airport System Revenue                                 | CUSIP: 542403CM0<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |    200000 | PA      | $242876.70    | 0.48%             | 2032-06-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| LOS ANGELES CA MUNI IMPT CORPL     | Municipal Improvement Corp of Los Angeles                                    | CUSIP: 544587V21<br>LEI: 549300ZJ0YLTZNSR8F57 | Long             | DBT              | MUN               | US        |   1000000 | PA      | $1176393.50   | 2.34%             | 2029-11-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| CALIFORNIA ST HLTH FACS FING A     | California Health Facilities Financing Authority                             | CUSIP: 13032UUW6<br>LEI: 5493007RI8BUDOGHZ546 | Long             | DBT              | MUN               | US        |   1250000 | PA      | $1457687.75   | 2.90%             | 2041-06-01      | Variable      | 5.00%                 | No            |                  2 | On Loan: No      |
| LOS ANGELES CNTY CA MET TRANSP     | Los Angeles County Metropolitan Transportation Authority Sales Tax Revenue   | CUSIP: 54466HDT0<br>LEI: 54930051IHTXE1N9RB42 | Long             | DBT              | MUN               | US        |    500000 | PA      | $547253.80    | 1.09%             | 2032-06-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| KERN CA CMNTY CLG DIST             | Kern Community College District                                              | CUSIP: 492244GJ1<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |    625000 | PA      | $779360.44    | 1.55%             | 2032-08-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| Dreyfus Tax Exempt Cash Management | Dreyfus Tax Exempt Cash Management                                           | CUSIP: 000000000<br>LEI: 5493002DL5W3JXRR0R54 | Long             | STIV             | RF                | US        |   1436904 | NS      | $1436760.10   | 2.86%             |  |  |  | No            |                  1 | On Loan: No      |
| GUAM PWR AUTH REVENUE              | Guam Power Authority                                                         | CUSIP: 400653JE2<br>LEI: 549300IPOV320QCKW060 | Long             | DBT              | MUN               | US        |   1000000 | PA      | $1061556.00   | 2.11%             | 2033-10-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| SAN FRANCISCO CITY & CNTY CA U     | San Francisco Unified School District                                        | CUSIP: 79771TNG8<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |   1000000 | PA      | $1086202.20   | 2.16%             | 2031-06-15      | Fixed         | 4.00%                 | No            |                  2 | On Loan: No      |
| SAN DIEGO CNTY CA REGL ARPT AU     | San Diego County Regional Airport Authority                                  | CUSIP: 79739GNK8<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |   1000000 | PA      | $1131807.00   | 2.25%             | 2033-07-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| CALIFORNIA ST INFRASTRUCTURE &     | California Infrastructure & Economic Development Bank                        | CUSIP: 13034A2R0<br>LEI: 549300C1OG9RDIM8ET06 | Long             | DBT              | MUN               | US        |   1000000 | PA      | $999975.70    | 1.99%             | 2050-01-01      | Variable      | 3.65%                 | No            |                  2 | On Loan: No      |
| CALIFORNIA CMNTY CHOICE FING A     | California Community Choice Financing Authority                              | CUSIP: 13013JAX4<br>LEI: 549300X8VKJ215S2R571 | Long             | DBT              | MUN               | US        |   1000000 | PA      | $1014836.60   | 2.02%             | 2052-10-01      | Variable      | 4.00%                 | No            |                  2 | On Loan: No      |
| MOUNT DIABLO CA UNIF SCH DIST      | Mount Diablo Unified School District/CA                                      | CUSIP: 621196N26<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |   1265000 | PA      | $1404732.53   | 2.79%             | 2029-08-01      | Fixed         | 4.00%                 | No            |                  2 | On Loan: No      |
| CALIFORNIA ST INFRASTRUCTURE &     | California Infrastructure & Economic Development Bank                        | CUSIP: 13034AG53<br>LEI: 549300C1OG9RDIM8ET06 | Long             | DBT              | MUN               | US        |    800000 | PA      | $938387.28    | 1.87%             | 2029-11-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| EAST SIDE CA UNION HIGH SCH DI     | East Side Union High School District                                         | CUSIP: 275282GB1<br>LEI: 549300FHNKBG2V8ZLG85 | Long             | DBT              | MUN               | US        |    800000 | PA      | $809966.96    | 1.61%             | 2027-08-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| PUERTO RICO CMWLTH                 | Commonwealth of Puerto Rico                                                  | CUSIP: 74514L4F1<br>LEI: 549300X44HXPLJU48U63 | Long             | DBT              | MUN               | US        |    106795 | PA      | $33773.85     | 0.07%             | 2051-11-01      | Variable      | 0.01%                 | No            |                  2 | On Loan: No      |
| PUERTO RICO CMWLTH                 | Commonwealth of Puerto Rico                                                  | CUSIP: 74514L3R6<br>LEI: 549300X44HXPLJU48U63 | Long             | DBT              | MUN               | US        |      2688 | PA      | $1556.84      | 0.00%             | 2033-07-01      | None          | 0.00%                 | No            |                  2 | On Loan: No      |
| CALIFORNIA CMNTY CHOICE FING A     | California Community Choice Financing Authority                              | CUSIP: 13013JBJ4<br>LEI: 549300X8VKJ215S2R571 | Long             | DBT              | MUN               | US        |   2000000 | PA      | $2030789.00   | 4.04%             | 2053-05-01      | Variable      | 4.00%                 | No            |                  2 | On Loan: No      |
| GUAM GOVT BUSINESS PRIVILEGE T     | Territory of Guam                                                            | CUSIP: 40065NBY2<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |    585000 | PA      | $607205.08    | 1.21%             | 2027-11-15      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| OAKLAND CA UNIF SCH DIST ALAME     | Oakland Unified School District/Alameda County                               | CUSIP: 672325H34<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |   1000000 | PA      | $1117236.10   | 2.22%             | 2031-08-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| CALIFORNIA ST INFRASTRUCTURE &     | California Infrastructure & Economic Development Bank                        | CUSIP: 13034AV49<br>LEI: 549300C1OG9RDIM8ET06 | Long             | DBT              | MUN               | US        |   1140000 | PA      | $1160200.23   | 2.31%             | 2047-10-01      | Variable      | 3.00%                 | No            |                  2 | On Loan: No      |
| PUERTO RICO CMWLTH                 | Commonwealth of Puerto Rico                                                  | CUSIP: 74514L3F2<br>LEI: 549300X44HXPLJU48U63 | Long             | DBT              | MUN               | US        |    700326 | PA      | $716418.11    | 1.42%             | 2025-07-01      | Fixed         | 5.38%                 | No            |                  2 | On Loan: No      |
| MODESTO CA IRR DIST FING AUTH      | Modesto Irrigation District                                                  | CUSIP: 607767AX8<br>LEI: S6U6XLZ7IOWYIG8C8H50 | Long             | DBT              | MUN               | US        |   1000000 | PA      | $1044351.60   | 2.08%             | 2040-10-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| VICTORVILLE CALIF ELEC REV         | City of Victorville CA Electric Revenue                                      | CUSIP: 92642CAS3<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |   1000000 | PA      | $1081717.40   | 2.15%             | 2038-05-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| SAN FRANCISCO CALIF CITY &CNTY     | San Francisco City & County Airport Comm-San Francisco International Airport | CUSIP: 79766DET2<br>LEI: 54930055TIDYHNDP4F84 | Long             | DBT              | MUN               | US        |   1250000 | PA      | $1257903.13   | 2.50%             | 2028-05-01      | Fixed         | 5.50%                 | No            |                  2 | On Loan: No      |
| CALIFORNIA CMNTY HSG AGY WORKF     | California Community Housing Agency                                          | CUSIP: 13013HAA8<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |    500000 | PA      | $445676.00    | 0.89%             | 2049-04-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| PUERTO RICO CMWLTH                 | Commonwealth of Puerto Rico                                                  | CUSIP: 74514L3L9<br>LEI: 549300X44HXPLJU48U63 | Long             | DBT              | MUN               | US        |    251878 | PA      | $228781.15    | 0.45%             | 2035-07-01      | Fixed         | 4.00%                 | No            |                  2 | On Loan: No      |
| UNIV OF PUERTO RICO PR REVENUE     | University of Puerto Rico                                                    | CUSIP: 914811PX6<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |    120000 | PA      | $120143.28    | 0.24%             | 2025-06-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| SAN FRANCISCO CA BAY AREA RAPI     | San Francisco Bay Area Rapid Transit District                                | CUSIP: 797661WK7<br>LEI: 549300Y3C3QUMLE3FY58 | Long             | DBT              | MUN               | US        |    860000 | PA      | $965505.75    | 1.92%             | 2033-08-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| SOUTH SAN FRANCISCO CA PUBLIC      | South San Francisco Public Facilities Financing Authority                    | CUSIP: 840035CG2<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |    620000 | PA      | $706130.28    | 1.40%             | 2036-06-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| RIVER ISLANDS CA PUBLIC FING A     | River Islands Public Financing Authority                                     | CUSIP: 76827QGF4<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |    350000 | PA      | $407921.36    | 0.81%             | 2030-09-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| SAN MATEO CA UNION HIGH SCH DI     | San Mateo Union High School District                                         | CUSIP: 799017XF0<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |    455000 | PA      | $494053.42    | 0.98%             | 2034-09-01      | Fixed         | 4.00%                 | No            |                  2 | On Loan: No      |
| PERALTA CA CMNTY CLG DIST          | Peralta Community College District                                           | CUSIP: 713575WR5<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |    500000 | PA      | $503083.25    | 1.00%             | 2039-08-01      | Fixed         | 4.00%                 | No            |                  2 | On Loan: No      |
| SACRAMENTO CITY CA UNIF SCH DI     | Sacramento City Unified School District/CA                                   | CUSIP: 785870F92<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |    655000 | PA      | $772394.67    | 1.54%             | 2030-07-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| CABRILLO CA CMNTY CLG DIST         | Cabrillo Community College District                                          | CUSIP: 127109PR1<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |    500000 | PA      | $549682.75    | 1.09%             | 2032-08-01      | Fixed         | 4.00%                 | No            |                  2 | On Loan: No      |
| KERN CNTY CA WTR AGY IMPT DIST     | Kern County Water Agency Improvement District No 4                           | CUSIP: 49228YAM0<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |    500000 | PA      | $543885.50    | 1.08%             | 2028-05-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| CALIFORNIA ST                      | State of California                                                          | CUSIP: 13063DPH5<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |   1000000 | PA      | $1170419.30   | 2.33%             | 2029-04-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| RAVENSWOOD CA CITY SCH DIST        | Ravenswood City School District/CA                                           | CUSIP: 754405JC3<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |   1000000 | PA      | $1124428.90   | 2.24%             | 2045-08-01      | Fixed         | 5.25%                 | No            |                  2 | On Loan: No      |
| CALIFORNIA ST MUNI FIN AUTH SO     | California Municipal Finance Authority                                       | CUSIP: 13048RAL1<br>LEI: 5493000UQOV6R4ZWS346 | Long             | DBT              | MUN               | US        |   1000000 | PA      | $1007394.00   | 2.00%             | 2041-10-01      | Variable      | 4.12%                 | No            |                  2 | On Loan: No      |
| CALIFORNIA ST MUNI FIN AUTH SO     | California Municipal Finance Authority                                       | CUSIP: 13048RAG2<br>LEI: 5493000UQOV6R4ZWS346 | Long             | DBT              | MUN               | US        |   1140000 | PA      | $1040469.22   | 2.07%             | 2044-10-01      | Variable      | 2.40%                 | No            |                  2 | On Loan: No      |
| CALIFORNIA ST MUNI FIN AUTH SP     | California Municipal Finance Authority                                       | CUSIP: 13050RAA0<br>LEI: 5493000UQOV6R4ZWS346 | Long             | DBT              | MUN               | US        |   1000000 | PA      | $990450.90    | 1.97%             | 2029-07-15      | Fixed         | 4.00%                 | No            |                  2 | On Loan: No      |
| LONG BEACH CA ARPT REVENUE         | City of Long Beach CA Airport System Revenue                                 | CUSIP: 542403DF4<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |    200000 | PA      | $242876.70    | 0.48%             | 2032-06-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| STHRN CA PUBLIC PWR AUTH REVEN     | Southern California Public Power Authority                                   | CUSIP: 84247PLL3<br>LEI: 5493003B5TD5FWUKMD34 | Long             | DBT              | MUN               | US        |   1210000 | PA      | $1237436.99   | 2.46%             | 2030-07-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| LOS ANGELES CA MUNI IMPT CORPL     | Municipal Improvement Corp of Los Angeles                                    | CUSIP: 544587G85<br>LEI: 549300ZJ0YLTZNSR8F57 | Long             | DBT              | MUN               | US        |    575000 | PA      | $634929.38    | 1.26%             | 2030-11-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| UNIV OF CALIFORNIA CA REVENUES     | University of California                                                     | CUSIP: 91412GSP1<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |    750000 | PA      | $755378.18    | 1.50%             | 2033-05-15      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |
| GUAM GOVT BUSINESS PRIVILEGE T     | Territory of Guam                                                            | CUSIP: 40065NCN5<br>LEI: N/A                  | Long             | DBT              | MUN               | US        |   1250000 | PA      | $1376490.63   | 2.74%             | 2030-01-01      | Fixed         | 5.00%                 | No            |                  2 | On Loan: No      |

### Signature

**Date Signed:** 2023-03-22

**Name of Applicant:** IndexIQ Active ETF Trust

**Signature:** Adefolahan Oyefeso

**Name of Signer:** Adefolahan Oyefeso

**Title:** Director and Vice President, IndexIQ