# EDGAR Filing Document

**Accession Number:** 0001683471
**File Stem:** 0001145549-23-018078
**Filing Date:** 2023-3
**Character Count:** 26434
**Document Hash:** 1519f1ff30f5f47fa245ba55157bfe64
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001145549-23-018078.hdr.sgml**: 20230327

**ACCESSION NUMBER**: 0001145549-23-018078

**CONFORMED SUBMISSION TYPE**: NPORT-P

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20230131

**FILED AS OF DATE**: 20230327

**DATE AS OF CHANGE**: 20230327

**PERIOD START**: 20231031

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Listed Funds Trust
- **CENTRAL INDEX KEY:** 0001683471
- **IRS NUMBER:** 826272597
- **FISCAL YEAR END:** 0831

**FILING VALUES:**
- **FORM TYPE:** NPORT-P
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-23226
- **FILM NUMBER:** 23764038

**BUSINESS ADDRESS:**
- **STREET 1:** 615 E. MICHIGAN STREET
- **CITY:** MILWAUKEE
- **STATE:** WI
- **ZIP:** 53202
- **BUSINESS PHONE:** 414-765-5144

**MAIL ADDRESS:**
- **STREET 1:** 615 E. MICHIGAN STREET
- **CITY:** MILWAUKEE
- **STATE:** WI
- **ZIP:** 53202

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Active Weighting Funds ETF Trust
- **DATE OF NAME CHANGE:** 20160830

## Series and Classes Contracts Data

### Alpha Intelligent - Large Cap Value ETF (Series ID: S000074139)

| Class ID   | Class Name                              | Ticker Symbol   |
|:---|:---|:---|
| C000231707 | Alpha Intelligent - Large Cap Value ETF | AILV            |

## Nport-Ex

---

| | | |
|:---|:---|:---|
| **Alpha Intelligent - Large Cap Value ETF** | **Alpha Intelligent - Large Cap Value ETF** | **Alpha Intelligent - Large Cap Value ETF** |
| **Schedule of Investments** | **Schedule of Investments** | **Schedule of Investments** |
| January 31, 2023 (Unaudited) | January 31, 2023 (Unaudited) | January 31, 2023 (Unaudited) |
|  | **Shares** | **Value** |
| **COMMON STOCKS — 98.0%** |  |  |
| **Aerospace/Defense — 2.9%** |  |  |
| Curtiss-Wright Corp. | 71 | $11772 |
| Raytheon Technologies Corp. | 100 | 9985 |
|  |  | 21757 |
| **Airlines — 1.5%** |  |  |
| Southwest Airlines Co. | 320 | 11446 |
| **Apparel Manufacturers — 1.1%** |  |  |
| Tapestry, Inc. | 185 | 8432 |
| **Broadcasting (except Internet) — 1.0%** |  |  |
| Warner Bros Discovery, Inc. (a) | 516 | 7647 |
| **Casino Hotels — 2.0%** |  |  |
| Las Vegas Sands Corp. (a) | 255 | 15045 |
| **Chemical Manufacturing —1.5%** |  |  |
| FMC Corp. | 85 | 11316 |
| **Commer Banks - Southern US — 1.5%** |  |  |
| Truist Financial Corp. | 226 | 11162 |
| **Computer Services — 1.6%** |  |  |
| International Business Machines Corp. | 90 | 12126 |
| **Data Processing/Management — 1.6%** |  |  |
| Fiserv, Inc. (a) | 114 | 12162 |
| **Diversified Banking Institutions — 2.4%** |  |  |
| Bank of America Corp. | 224 | 7947 |
| Citigroup, Inc. | 195 | 10183 |
|  |  | 18130 |
| **Diversified Manufacturing Operations - 7.6%** |  |  |
| General Electric | 709 | 57060 |
| **Drug Delivery Systems — 1.0%** |  |  |
| Becton Dickinson and Co. | 29 | 7314 |
| **Electric Products - Miscellaneous — 1.0%** |  |  |
| Emerson Electric Co. | 82 | 7398 |
| **Electric - Integrated — 3.4%** |  |  |
| AES Corp. | 297 | 8141 |
| FirstEnergy Corp. | 203 | 8313 |
| PG&E Corp. (a) | 547 | 8697 |
|  |  | 25151 |
| **Fiduciary Banks — 2.5%** |  |  |
| State Street Corp. | 203 | 18540 |
| **Finance - Auto Loans — 1.3%** |  |  |
| Ally Financial, Inc. | 310 | 10072 |
| **Finance - Consumer Loans — 1.0%** |  |  |
| SLM Corp. | 428 | 7520 |
| **Finance - Investing Banking — 1.2%** |  |  |
| Charles Schwab Corp. | 112 | 8671 |
| **Gas - Distribution — 1.4%** |  |  |
| National Fuel Gas Co. | 180 | 10451 |
| **Internet Infraestructure Software— 3.5%** |  |  |
| F5, Inc. (a) | 176 | 25988 |
| **Life/Health Insurance — 1.7%** |  |  |
| Equitable Holdings, Inc. | 385 | 12347 |
| **Medical - Biomedical/Genetics — 2.2%** |  |  |
| Amgen, Inc. | 29 | 7320 |
| United Therapeutics Corp. (a) | 36 | 9474 |
|  |  | 16794 |
| **Medical - Drugs — 1.1%** |  |  |
| Merck & Co., Inc. | 77 | 8271 |
| **Medical - Generic Drugs — 1.5%** |  |  |
| Perrigo Co. PLC (b) | 296 | 11076 |
| **Medical - HMO — 5.4%** |  |  |
| Elevance Health | 30 | 14998 |
| Humana, Inc. | 35 | 17909 |
| UnitedHealth Group, Inc. | 15 | 7488 |
|  |  | 40395 |
| **Merchant Wholesalers, Nondurable Goods — 1.0%** |  |  |
| McKesson Corp. | 20 | 7574 |
| **Metal - Copper — 2.8%** |  |  |
| Freeport-McMoRan, Inc. | 468 | 20882 |
| **Multi-line Insurance — 8.3%** |  |  |
| Allstate Corp. | 103 | 13232 |
| American International Group, Inc. | 382 | 24150 |
| MetLife, Inc. | 343 | 25046 |
|  |  | 62428 |
| **Oil Companies - Exploration & Production— 5.3%** |  |  |
| EOG Resources, Inc. | 58 | 7671 |
| Hess Corp. | 132 | 19821 |
| Occidental Petroleum Corp. | 188 | 12181 |
|  |  | 39673 |
| **Pharmacy Services — 4.0%** |  |  |
| Cigna Corp. | 94 | 29767 |
| **Property/ Casualty Insurance — 1.0%** |  |  |
| Progressive Corp. | 53 | 7227 |
| **Retail - Auto Parts — 1.3%** |  |  |
| AutoZone, Inc. (a) | 4 | 9757 |
| **Retail-Building Products— 2.1%** |  |  |
| Lowe's Cos, Inc. | 77 | 16035 |
| **Super - Regional Banks — 10.7%** |  |  |
| The PNC Financial Services Group, Inc. | 53 | 8768 |
| Wells Fargo & Co. | 1517 | 71102 |
|  |  | 79870 |
| **Telecommunication Equipment Optical Fiber — 1.0%** |  |  |
| Corning, Inc. | 206 | 7130 |
| **Beverage and Tobacco Product Manufacturing — 2.8%** |  |  |
| Philip Morris International, Inc. | 203 | 21161 |
| **Transportation Services — 2.2%** |  |  |
| FedEx Corp. | 84 | 16284 |
| **Web Portals/Internet Services Providers — 2.6%** |  |  |
| Alphabet, Inc. - Class C (a) | 191 | 19075 |
| **TOTAL COMMON STOCKS (Cost $692,418)** |  | 733132 |
| **MONEY MARKET FUNDS — 2.0%** |  |  |
| First American Government Obligations Fund, 4.14%<sup>(c)</sup> | 14881 | 14881 |
| **TOTAL MONEY MARKET FUNDS (Cost $14,881)** |  | 14881 |
| **Total Investments — 100.0% (Cost $707,299)** |  | 748013 |
| Other assets and liabilities, net — 0.0%<sup>(d)</sup> |  | (197) |
| **TOTAL NET ASSETS — 100.0%** |  | $747816 |

---

Percentages are stated as a percent of net assets.<br>

---

| | |
|:---|:---|
| PLC | Public Limited Company |
| (a) | Non-income producing security. |
| (b) | Foreign issued security. |
| (c) | The rate shown is the annualized seven-day yield at period end. |
| (d) | Less than 0.05%. |

---

------

---

| |
|:---|
| **Fair Value Measurements** |
| Various inputs are used in determining the value of the Fund's investments. These inputs are summarized in three broad levels. |
| Level 1 includes quoted prices in active markets for identical securities. Level 2 includes other significant observable inputs |
| (including quoted prices for similar securities, interest rates, prepayment speeds and credit risk). Level 3 includes significant |
| unobservable inputs (including the Fund's own assumptions in determining the fair value of investments). The level assigned to the |
| securities valuations may not be an indication of the risk or liquidity associated with investing in those securities. |
| The Fund did not hold any investments during the period with significant unobservable inputs which would be classified as Level 3. |
| The following is a summary of the inputs used to value the Fund's investments carried at fair value as of January 31, 2023: |

---

---

| | | | | |
|:---|:---|:---|:---|:---|
|  | Level 1 | Level 2 | Level 3 | Total |
| **Investments - Assets:** |  |  |  |  |
| Common Stocks\* | $733132 | $- | $- | $733132 |
| Money Market Funds | 14881 | - | - | 14881 |
| **Total Investments - Assets** | $748013 | $- | $- | $748013 |
| \* See the Schedule of Investments for industry classifications. |  |  |  |  |

---

## Form NPORT-P: Monthly Portfolio Investments Report

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

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

- **a. Name of Registrant:** Listed Funds Trust

- **b. Investment Company Act file number:** 811-23226

- **c. CIK number of Registrant:** 0001683471

- **d. LEI of Registrant:** 549300C5D73JL0P1YC11

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

  - **Street Address 1:** 615 East Michigan Street

  - **City:** Milwaukee

  - **State:** WI

  - **Foreign country:** US

  - **Zip / Postal Code:** 53202

  - **Telephone number:** 414-516-1681

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

- **a. Name of Series:** Alpha Intelligent - Large Cap Value ETF

- **b. EDGAR series identifier (if any):** S000074139

- **c. LEI of Series:** 549300XT6FUB3TYTTS41

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

- **a. Date of fiscal year-end:** 2023-10-31

- **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:** $748349.68

**Total Liabilities:** $523.01

**Net Assets:** $747826.67

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000231707 | 4.24%                | -4.73%               | 5.87%                |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $14922.54                | $15501.64                                  |
| Month 2  | $-3655.59                | $-32873.70                                 |
| Month 3  | $-272.27                 | $41742.97                                  |

### 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   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| AES Corp/The                   | AES Corp/The                               | CUSIP: 00130H105<br>LEI: 2NUNNB7D43COUIRE5295 | Long             | EC               | CORP              | US        |       281 | NS      | $7702.21      | 1.03%             |  |  |  | No            |                  1 | On Loan: No      |
| Allstate Corp/The              | Allstate Corp/The                          | CUSIP: 020002101<br>LEI: OBT0W1ED8G0NWVOLOJ77 | Long             | EC               | CORP              | US        |        65 | NS      | $8350.55      | 1.12%             |  |  |  | No            |                  1 | On Loan: No      |
| Elevance Health Inc            | Elevance Health Inc                        | CUSIP: 036752103<br>LEI: 8MYN82XMYQH89CTMTH67 | Long             | EC               | CORP              | US        |        30 | NS      | $14999.70     | 2.01%             |  |  |  | No            |                  1 | On Loan: No      |
| Cigna Corp                     | Cigna Corp                                 | CUSIP: 125523100<br>LEI: 549300VIWYMSIGT1U456 | Long             | EC               | CORP              | US        |        92 | NS      | $29133.64     | 3.90%             |  |  |  | No            |                  1 | On Loan: No      |
| Centene Corp                   | Centene Corp                               | CUSIP: 15135B101<br>LEI: 549300Z7JJ4TQSQGT333 | Long             | EC               | CORP              | US        |        86 | NS      | $6556.64      | 0.88%             |  |  |  | No            |                  1 | On Loan: No      |
| FedEx Corp                     | FedEx Corp                                 | CUSIP: 31428X106<br>LEI: 549300E707U7WNPZN687 | Long             | EC               | CORP              | US        |        75 | NS      | $14539.50     | 1.94%             |  |  |  | No            |                  1 | On Loan: No      |
| F5 Inc                         | F5 Inc                                     | CUSIP: 315616102<br>LEI: 54930015FPK9KT966303 | Long             | EC               | CORP              | US        |       179 | NS      | $26431.14     | 3.53%             |  |  |  | No            |                  1 | On Loan: No      |
| First American Government Obli | First American Government Obligations Fund | CUSIP: 31846V336<br>LEI: 549300R5MYM6VZF1RM44 | Long             | STIV             | RF                | US        |     14881 | NS      | $14881.27     | 1.99%             |  |  |  | No            |                  1 | On Loan: No      |
| General Electric Co            | General Electric Co                        | CUSIP: 369604301<br>LEI: 3C7474T6CDKPR9K6YT90 | Long             | EC               | CORP              | US        |       686 | NS      | $55209.28     | 7.38%             |  |  |  | No            |                  1 | On Loan: No      |
| Ally Financial Inc             | Ally Financial Inc                         | CUSIP: 02005N100<br>LEI: 549300JBN1OSM8YNAI90 | Long             | EC               | CORP              | US        |       326 | NS      | $10591.74     | 1.42%             |  |  |  | No            |                  1 | On Loan: No      |
| Citigroup Inc                  | Citigroup Inc                              | CUSIP: 172967424<br>LEI: 6SHGI4ZSSLCXXQSBB395 | Long             | EC               | CORP              | US        |       168 | NS      | $8772.96      | 1.17%             |  |  |  | No            |                  1 | On Loan: No      |
| Corning Inc                    | Corning Inc                                | CUSIP: 219350105<br>LEI: 549300X2937PB0CJ7I56 | Long             | EC               | CORP              | US        |       235 | NS      | $8133.35      | 1.09%             |  |  |  | No            |                  1 | On Loan: No      |
| Curtiss-Wright Corp            | Curtiss-Wright Corp                        | CUSIP: 231561101<br>LEI: TEL51ETZWP7D0ZM4X325 | Long             | EC               | CORP              | US        |        75 | NS      | $12435.00     | 1.66%             |  |  |  | No            |                  1 | On Loan: No      |
| FMC Corp                       | FMC Corp                                   | CUSIP: 302491303<br>LEI: CKDHZ2X64EEBQCSP7013 | Long             | EC               | CORP              | US        |        81 | NS      | $10783.53     | 1.44%             |  |  |  | No            |                  1 | On Loan: No      |
| Humana Inc                     | Humana Inc                                 | CUSIP: 444859102<br>LEI: 529900YLDW34GJAO4J06 | Long             | EC               | CORP              | US        |        33 | NS      | $16886.10     | 2.26%             |  |  |  | No            |                  1 | On Loan: No      |
| IBM                            | International Business Machines Corp       | CUSIP: 459200101<br>LEI: VGRQXHF3J8VDLUA7XE92 | Long             | EC               | CORP              | US        |        86 | NS      | $11586.78     | 1.55%             |  |  |  | No            |                  1 | On Loan: No      |
| Las Vegas Sands Corp           | Las Vegas Sands Corp                       | CUSIP: 517834107<br>LEI: 549300DUOO1KXOHPM605 | Long             | EC               | CORP              | US        |       278 | NS      | $16402.00     | 2.19%             |  |  |  | No            |                  1 | On Loan: No      |
| Lowe's Cos Inc                 | Lowe's Cos Inc                             | CUSIP: 548661107<br>LEI: WAFCR4OKGSC504WU3E95 | Long             | EC               | CORP              | US        |        75 | NS      | $15618.75     | 2.09%             |  |  |  | No            |                  1 | On Loan: No      |
| McKesson Corp                  | McKesson Corp                              | CUSIP: 58155Q103<br>LEI: 549300WZWOM80UCFSF54 | Long             | EC               | CORP              | US        |        21 | NS      | $7952.28      | 1.06%             |  |  |  | No            |                  1 | On Loan: No      |
| MetLife Inc                    | MetLife Inc                                | CUSIP: 59156R108<br>LEI: C4BXATY60WC6XEOZDX54 | Long             | EC               | CORP              | US        |       338 | NS      | $24680.76     | 3.30%             |  |  |  | No            |                  1 | On Loan: No      |
| National Fuel Gas Co           | National Fuel Gas Co                       | CUSIP: 636180101<br>LEI: 8JB38FFW1Y3C1HM8E841 | Long             | EC               | CORP              | US        |       142 | NS      | $8244.52      | 1.10%             |  |  |  | No            |                  1 | On Loan: No      |
| PG&E Corp                      | PG&E Corp                                  | CUSIP: 69331C108<br>LEI: 8YQ2GSDWYZXO2EDN3511 | Long             | EC               | CORP              | US        |       547 | NS      | $8697.30      | 1.16%             |  |  |  | No            |                  1 | On Loan: No      |
| PNC Financial Services Group I | PNC Financial Services Group Inc/The       | CUSIP: 693475105<br>LEI: CFGNEKW0P8842LEUIA51 | Long             | EC               | CORP              | US        |        57 | NS      | $9429.51      | 1.26%             |  |  |  | No            |                  1 | On Loan: No      |
| Philip Morris International In | Philip Morris International Inc            | CUSIP: 718172109<br>LEI: HL3H1H2BGXWVG3BSWR90 | Long             | EC               | CORP              | US        |       203 | NS      | $21160.72     | 2.83%             |  |  |  | No            |                  1 | On Loan: No      |
| Progressive Corp/The           | Progressive Corp/The                       | CUSIP: 743315103<br>LEI: 529900TACNVLY9DCR586 | Long             | EC               | CORP              | US        |        63 | NS      | $8590.05      | 1.15%             |  |  |  | No            |                  1 | On Loan: No      |
| Raytheon Technologies Corp     | Raytheon Technologies Corp                 | CUSIP: 75513E101<br>LEI: I07WOS4YJ0N7YRFE7309 | Long             | EC               | CORP              | US        |       102 | NS      | $10184.70     | 1.36%             |  |  |  | No            |                  1 | On Loan: No      |
| SLM Corp                       | SLM Corp                                   | CUSIP: 78442P106<br>LEI: N/A                  | Long             | EC               | CORP              | US        |       430 | NS      | $7555.10      | 1.01%             |  |  |  | No            |                  1 | On Loan: No      |
| UnitedHealth Group Inc         | UnitedHealth Group Inc                     | CUSIP: 91324P102<br>LEI: 549300GHBMY8T5GXDE41 | Long             | EC               | CORP              | US        |        19 | NS      | $9484.61      | 1.27%             |  |  |  | No            |                  1 | On Loan: No      |
| Warner Bros Discovery Inc      | Warner Bros Discovery Inc                  | CUSIP: 934423104<br>LEI: 5493006ZCRFWKF6B1K26 | Long             | EC               | CORP              | US        |       504 | NS      | $7469.28      | 1.00%             |  |  |  | No            |                  1 | On Loan: No      |
| Wells Fargo & Co               | Wells Fargo & Co                           | CUSIP: 949746101<br>LEI: PBLD0EJDB5FWOLXP3B76 | Long             | EC               | CORP              | US        |      1623 | NS      | $76070.01     | 10.17%            |  |  |  | No            |                  1 | On Loan: No      |
| Amdocs Ltd                     | Amdocs Ltd                                 | CUSIP: N/A<br>LEI: 549300HQV672RJ7RQV66       | Long             | EC               | CORP              | US        |        71 | NS      | $6527.03      | 0.87%             |  |  |  | No            |                  1 | On Loan: No      |
| Perrigo Co PLC                 | Perrigo Co PLC                             | CUSIP: N/A<br>LEI: 549300IFOQS6R1QLY196       | Long             | EC               | CORP              | IE        |       268 | NS      | $10028.56     | 1.34%             |  |  |  | No            |                  1 | On Loan: No      |
| Alphabet Inc                   | Alphabet Inc                               | CUSIP: 02079K107<br>LEI: 5493006MHB84DD0ZWV18 | Long             | EC               | CORP              | US        |       179 | NS      | $17876.73     | 2.39%             |  |  |  | No            |                  1 | On Loan: No      |
| American International Group I | American International Group Inc           | CUSIP: 026874784<br>LEI: ODVCVCQG2BP6VHV36M30 | Long             | EC               | CORP              | US        |       371 | NS      | $23454.62     | 3.14%             |  |  |  | No            |                  1 | On Loan: No      |
| AutoZone Inc                   | AutoZone Inc                               | CUSIP: 053332102<br>LEI: GA3JGKJ41LJKXDN23E90 | Long             | EC               | CORP              | US        |         4 | NS      | $9755.40      | 1.30%             |  |  |  | No            |                  1 | On Loan: No      |
| Bank of America Corp           | Bank of America Corp                       | CUSIP: 060505104<br>LEI: 9DJT3UXIJIZJI4WXO774 | Long             | EC               | CORP              | US        |       316 | NS      | $11211.68     | 1.50%             |  |  |  | No            |                  1 | On Loan: No      |
| Becton Dickinson and Co        | Becton Dickinson and Co                    | CUSIP: 075887109<br>LEI: ICE2EP6D98PQUILVRZ91 | Long             | EC               | CORP              | US        |        54 | NS      | $13619.88     | 1.82%             |  |  |  | No            |                  1 | On Loan: No      |
| EOG Resources Inc              | EOG Resources Inc                          | CUSIP: 26875P101<br>LEI: XWTZDRYZPBUHIQBKDB46 | Long             | EC               | CORP              | US        |        69 | NS      | $9125.25      | 1.22%             |  |  |  | No            |                  1 | On Loan: No      |
| Emerson Electric Co            | Emerson Electric Co                        | CUSIP: 291011104<br>LEI: FGLT0EWZSUIRRITFOA30 | Long             | EC               | CORP              | US        |        85 | NS      | $7668.70      | 1.03%             |  |  |  | No            |                  1 | On Loan: No      |
| Equitable Holdings Inc         | Equitable Holdings Inc                     | CUSIP: 29452E101<br>LEI: 549300FIBAKMNHPZ4009 | Long             | EC               | CORP              | US        |       398 | NS      | $12763.86     | 1.71%             |  |  |  | No            |                  1 | On Loan: No      |
| FirstEnergy Corp               | FirstEnergy Corp                           | CUSIP: 337932107<br>LEI: 549300SVYJS666PQJH88 | Long             | EC               | CORP              | US        |       160 | NS      | $6552.00      | 0.88%             |  |  |  | No            |                  1 | On Loan: No      |
| Freeport-McMoRan Inc           | Freeport-McMoRan Inc                       | CUSIP: 35671D857<br>LEI: 549300IRDTHJQ1PVET45 | Long             | EC               | CORP              | US        |       478 | NS      | $21328.36     | 2.85%             |  |  |  | No            |                  1 | On Loan: No      |
| Hess Corp                      | Hess Corp                                  | CUSIP: 42809H107<br>LEI: UASVRYNXNK17ULIGK870 | Long             | EC               | CORP              | US        |       119 | NS      | $17869.04     | 2.39%             |  |  |  | No            |                  1 | On Loan: No      |
| Occidental Petroleum Corp      | Occidental Petroleum Corp                  | CUSIP: 674599105<br>LEI: IM7X0T3ECJW4C1T7ON55 | Long             | EC               | CORP              | US        |       173 | NS      | $11208.67     | 1.50%             |  |  |  | No            |                  1 | On Loan: No      |
| Charles Schwab Corp/The        | Charles Schwab Corp/The                    | CUSIP: 808513105<br>LEI: 549300VSGCJ7E698NM85 | Long             | EC               | CORP              | US        |       142 | NS      | $10993.64     | 1.47%             |  |  |  | No            |                  1 | On Loan: No      |
| Southwest Airlines Co          | Southwest Airlines Co                      | CUSIP: 844741108<br>LEI: UDTZ87G0STFETI6HGH41 | Long             | EC               | CORP              | US        |       297 | NS      | $10623.69     | 1.42%             |  |  |  | No            |                  1 | On Loan: No      |
| Truist Financial Corp          | Truist Financial Corp                      | CUSIP: 89832Q109<br>LEI: 549300DRQQI75D2JP341 | Long             | EC               | CORP              | US        |       199 | NS      | $9828.61      | 1.31%             |  |  |  | No            |                  1 | On Loan: No      |
| Fiserv Inc                     | Fiserv Inc                                 | CUSIP: 337738108<br>LEI: GI7UBEJLXYLGR2C7GV83 | Long             | EC               | CORP              | US        |       109 | NS      | $11628.12     | 1.55%             |  |  |  | No            |                  1 | On Loan: No      |
| State Street Corp              | State Street Corp                          | CUSIP: 857477103<br>LEI: 549300ZFEEJ2IP5VME73 | Long             | EC               | CORP              | US        |       206 | NS      | $18813.98     | 2.52%             |  |  |  | No            |                  1 | On Loan: No      |
| Tapestry Inc                   | Tapestry Inc                               | CUSIP: 876030107<br>LEI: 549300LJNVY5SW3VTN33 | Long             | EC               | CORP              | US        |       193 | NS      | $8795.01      | 1.18%             |  |  |  | No            |                  1 | On Loan: No      |
| United Therapeutics Corp       | United Therapeutics Corp                   | CUSIP: 91307C102<br>LEI: 5299005C4HZL4UWROC14 | Long             | EC               | CORP              | US        |        37 | NS      | $9737.29      | 1.30%             |  |  |  | No            |                  1 | On Loan: No      |

### Signature

**Date Signed:** 2023-03-23

**Name of Applicant:** Listed Funds Trust

**Signature:** /s/Travis Babich

**Name of Signer:** Travis Babich

**Title:** Treasurer