# EDGAR Filing Document

**Accession Number:** 0001432353
**File Stem:** 0001752724-23-016622
**Filing Date:** 2023-1
**Character Count:** 26436
**Document Hash:** bc0e24146903efc121f341ca89b53cb8
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001752724-23-016622.hdr.sgml**: 20230127

**ACCESSION NUMBER**: 0001752724-23-016622

**CONFORMED SUBMISSION TYPE**: NPORT-P

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221130

**FILED AS OF DATE**: 20230127

**DATE AS OF CHANGE**: 20230127

**PERIOD START**: 20221130

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Global X Funds
- **CENTRAL INDEX KEY:** 0001432353
- **IRS NUMBER:** 000000000

**FILING VALUES:**
- **FORM TYPE:** NPORT-P
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-22209
- **FILM NUMBER:** 23562808

**BUSINESS ADDRESS:**
- **STREET 1:** 605 THIRD AVENUE
- **STREET 2:** 43RD FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10158
- **BUSINESS PHONE:** (212) 644-6110

**MAIL ADDRESS:**
- **STREET 1:** 605 THIRD AVENUE
- **STREET 2:** 43RD FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10158

## Series and Classes Contracts Data

### Global X Variable Rate Preferred ETF (Series ID: S000068631)

| Class ID   | Class Name                           | Ticker Symbol   |
|:---|:---|:---|
| C000219547 | Global X Variable Rate Preferred ETF | PFFV            |

## Form NPORT-P: Monthly Portfolio Investments Report

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

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

- **a. Name of Registrant:** GLOBAL X FUNDS

- **b. Investment Company Act file number:** 811-22209

- **c. CIK number of Registrant:** 0001432353

- **d. LEI of Registrant:** 5493003RA4QUTSYF1N15

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

  - **Street Address 1:** 605 Third Avenue

  - **City:** NEW YORK

  - **State:** NY

  - **Foreign country:** US

  - **Zip / Postal Code:** 10158

  - **Telephone number:** 2126446110

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

- **a. Name of Series:** Global X Variable Rate Preferred ETF

- **b. EDGAR series identifier (if any):** S000068631

- **c. LEI of Series:** 549300KBIRQLDG81U263

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

- **a. Date of fiscal year-end:** 2022-11-30

- **b. Date as of which information is reported:** 2022-11-30

**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:** $287776603.24

**Total Liabilities:** $2369440.93

**Net Assets:** $285407162.31

**Cash Not Reported:** $413976.53

**Currency Risk Metrics (dv01):**

- 

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

- **3-Month:** -102.31707514 | **1-Year:** -583.91607091 | **5-Year:** -1134.51969985 | **10-Year:** -1515.11940657 | **30-Year:** -1336.13333385

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

- **3-Month:** -33.98773832 | **1-Year:** -94.60323123 | **5-Year:** -327.78287501 | **10-Year:** 0.00000000 | **30-Year:** 0.00000000

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000219547 | 4.35%                | -2.76%               | -1.78%               |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $-1882249.68             | $10846990.28                               |
| Month 2  | $-4035804.34             | $-4072552.23                               |
| Month 3  | $0.00                    | $-6313698.23                               |

### 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   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| AMERICAN EQUITY INVESTMENT LIFE HOLDING COMPANY | American Equity Investment Life Holding Co PREFERRED STOCK | CUSIP: 025676503<br>LEI: 549300RK5RZQ740FPL83 | Long             | EP               |  | US        |    153114 | NS      | $3325636.08   | 1.17%             |  |  |  | No            |                  1 | On Loan: No      |
| KEMPER CORPORATION                              | Kemper Corp PREFERRED STOCK                                | CUSIP: 488401308<br>LEI: 549300FNI1JKTRY2PV09 | Long             | EP               |  | US        |     56761 | NS      | $1130111.51   | 0.40%             |  |  |  | No            |                  2 | On Loan: No      |
| THE GOLDMAN SACHS GROUP, INC.                   | Goldman Sachs Group Inc/The PREFERRED STOCK                | CUSIP: 38148B108<br>LEI: 784F5XWPLTWKTBV3E584 | Long             | EP               |  | US        |    266475 | NS      | $6773794.50   | 2.37%             |  |  |  | No            |                  1 | On Loan: No      |
| BANK OF AMERICA CORPORATION                     | Bank of America Corp PREFERRED STOCK                       | CUSIP: 060505179<br>LEI: 9DJT3UXIJIZJI4WXO774 | Long             | EP               |  | US        |    400127 | NS      | $10083200.40  | 3.53%             |  |  |  | No            |                  1 | On Loan: No      |
| NISOURCE INC.                                   | NiSource Inc PREFERRED STOCK                               | CUSIP: 65473P881<br>LEI: 549300D8GOWWH0SJB189 | Long             | EP               |  | US        |    191675 | NS      | $4699871.00   | 1.65%             |  |  |  | No            |                  1 | On Loan: No      |
| KEYCORP                                         | KeyCorp PREFERRED STOCK                                    | CUSIP: 493267702<br>LEI: RKPI3RZGV1V1FJTH5T61 | Long             | EP               |  | US        |    191637 | NS      | $4758346.71   | 1.67%             |  |  |  | No            |                  1 | On Loan: No      |
| STATE STREET CORPORATION                        | State Street Corp PREFERRED STOCK                          | CUSIP: 857477608<br>LEI: 549300ZFEEJ2IP5VME73 | Long             | EP               |  | US        |    287902 | NS      | $6998897.62   | 2.45%             |  |  |  | No            |                  1 | On Loan: No      |
| RITHM CAPITAL CORP.                             | Rithm Capital Corp PREFERRED STOCK                         | CUSIP: 64828T706<br>LEI: 549300WNTHGEO5LP2G31 | Long             | EP               |  | US        |    177893 | NS      | $3438671.69   | 1.20%             |  |  |  | No            |                  2 | On Loan: No      |
| ARBOR REALTY TRUST, INC.                        | Arbor Realty Trust Inc PREFERRED STOCK                     | CUSIP: 038923850<br>LEI: 549300ASFUWYQO0RW077 | Long             | EP               |  | US        |    106256 | NS      | $2114494.40   | 0.74%             |  |  |  | No            |                  2 | On Loan: No      |
| GRANITE POINT MORTGAGE TRUST INC.               | Granite Point Mortgage Trust Inc PREFERRED STOCK           | CUSIP: 38741L305<br>LEI: 529900VX2HQZ76AYIE02 | Long             | EP               |  | US        |     78183 | NS      | $1473749.55   | 0.52%             |  |  |  | No            |                  2 | On Loan: No      |
| MFA FINANCIAL, INC.                             | MFA Financial Inc PREFERRED STOCK                          | CUSIP: 55272X508<br>LEI: YW72IMH2RRC8Z1TGLG58 | Long             | EP               |  | US        |    104743 | NS      | $1904227.74   | 0.67%             |  |  |  | No            |                  2 | On Loan: No      |
| U.S. BANCORP                                    | US Bancorp PREFERRED STOCK                                 | CUSIP: 902973155<br>LEI: N1GZ7BBF3NP8GI976H15 | Long             | EP               |  | US        |    383863 | NS      | $7469973.98   | 2.62%             |  |  |  | No            |                  1 | On Loan: No      |
| ATHENE HOLDING LTD.                             | Athene Holding Ltd PREFERRED STOCK                         | CUSIP: 04686J309<br>LEI: 549300H316CT32FQXI76 | Long             | EP               |  | US        |    222033 | NS      | $5570807.97   | 1.95%             |  |  |  | No            |                  1 | On Loan: No      |
| SYNOVUS FINANCIAL CORP.                         | Synovus Financial Corp PREFERRED STOCK                     | CUSIP: 87161C709<br>LEI: 549300EIUS8UN5JTLE54 | Long             | EP               |  | US        |    133843 | NS      | $3225616.30   | 1.13%             |  |  |  | No            |                  1 | On Loan: No      |
| FIFTH THIRD BANCORP                             | Fifth Third Bancorp PREFERRED STOCK                        | CUSIP: 316773605<br>LEI: THRNG6BD57P9QWTQLG42 | Long             | EP               |  | US        |    172433 | NS      | $4424630.78   | 1.55%             |  |  |  | No            |                  1 | On Loan: No      |
| NUSTAR LOGISTICS, L.P.                          | NuStar Logistics LP PREFERRED STOCK                        | CUSIP: 67059T204<br>LEI: N62BF2PKP51FIIOIUN20 | Long             | EP               |  | US        |    154147 | NS      | $3875255.58   | 1.36%             |  |  |  | No            |                  1 | On Loan: No      |
| NUSTAR ENERGY L.P.                              | NuStar Energy LP PREFERRED STOCK                           | CUSIP: 67058H201<br>LEI: 5493003BMLTUIEG2LG44 | Long             | EP               |  | US        |     86335 | NS      | $2067723.25   | 0.72%             |  |  |  | No            |                  1 | On Loan: No      |
| PACWEST BANCORP                                 | PacWest Bancorp PREFERRED STOCK                            | CUSIP: 695263202<br>LEI: 549300YI8VMFO7G36V04 | Long             | EP               |  | US        |    196777 | NS      | $5049297.82   | 1.77%             |  |  |  | No            |                  2 | On Loan: No      |
| United States of America                        | TREASURY BILL 0.000000% 12/01/2022                         | CUSIP: 912796P94<br>LEI: 254900HROIFWPRGM1V77 | Long             | DBT              | UST               | US        |  13790000 | PA      | $13790000.00  | 4.83%             | 2022-12-01      | None          | 0.00%                 | No            |                  2 | On Loan: No      |
| REINSURANCE GROUP OF AMERICA, INCORPORATED      | Reinsurance Group of America Inc PREFERRED STOCK           | CUSIP: 759351703<br>LEI: LORM1GNEU1DKEW527V90 | Long             | EP               |  | US        |     95063 | NS      | $2372772.48   | 0.83%             |  |  |  | No            |                  1 | On Loan: No      |
| RITHM CAPITAL CORP.                             | Rithm Capital Corp PREFERRED STOCK                         | CUSIP: 64828T300<br>LEI: 549300WNTHGEO5LP2G31 | Long             | EP               |  | US        |     58682 | NS      | $1214717.40   | 0.43%             |  |  |  | No            |                  2 | On Loan: No      |
| ANNALY CAPITAL MANAGEMENT, INC.                 | Annaly Capital Management Inc PREFERRED STOCK              | CUSIP: 035710847<br>LEI: 2DTL0G3FPRYUT58TI025 | Long             | EP               |  | US        |    169382 | NS      | $3889010.72   | 1.36%             |  |  |  | No            |                  1 | On Loan: No      |
| THE GOLDMAN SACHS GROUP, INC.                   | Goldman Sachs Group Inc/The PREFERRED STOCK                | CUSIP: 38143Y665<br>LEI: 784F5XWPLTWKTBV3E584 | Long             | EP               |  | US        |    285235 | NS      | $5505035.50   | 1.93%             |  |  |  | No            |                  1 | On Loan: No      |
| BANK OF AMERICA CORPORATION                     | Bank of America Corp PREFERRED STOCK                       | CUSIP: 060505583<br>LEI: 9DJT3UXIJIZJI4WXO774 | Long             | EP               |  | US        |    159943 | NS      | $3264436.63   | 1.14%             |  |  |  | No            |                  1 | On Loan: No      |
| AGNC INVESTMENT CORP.                           | AGNC Investment Corp PREFERRED STOCK                       | CUSIP: 00123Q872<br>LEI: 5TRACI5HRMELWV32OF39 | Long             | EP               |  | US        |    220300 | NS      | $4531571.00   | 1.59%             |  |  |  | No            |                  1 | On Loan: No      |
| AMERICAN EQUITY INVESTMENT LIFE HOLDING COMPANY | American Equity Investment Life Holding Co PREFERRED STOCK | CUSIP: 025676602<br>LEI: 549300RK5RZQ740FPL83 | Long             | EP               |  | US        |    114625 | NS      | $2749853.75   | 0.96%             |  |  |  | No            |                  2 | On Loan: No      |
| RITHM CAPITAL CORP.                             | Rithm Capital Corp PREFERRED STOCK                         | CUSIP: 64828T409<br>LEI: 549300WNTHGEO5LP2G31 | Long             | EP               |  | US        |    107616 | NS      | $2227651.20   | 0.78%             |  |  |  | No            |                  1 | On Loan: No      |
| MORGAN STANLEY                                  | Morgan Stanley PREFERRED STOCK                             | CUSIP: 61763E207<br>LEI: IGJSJL3JD5P30I6NJZ34 | Long             | EP               |  | US        |    221169 | NS      | $5611057.53   | 1.97%             |  |  |  | No            |                  1 | On Loan: No      |
| CHS Inc.                                        | CHS Inc PREFERRED STOCK                                    | CUSIP: 12542R506<br>LEI: XEIEFTLYDQ1MZ6TZV015 | Long             | EP               |  | US        |    160904 | NS      | $4030645.20   | 1.41%             |  |  |  | No            |                  1 | On Loan: No      |
| REGIONS FINANCIAL CORPORATION                   | Regions Financial Corp PREFERRED STOCK                     | CUSIP: 7591EP506<br>LEI: CW05CS5KW59QTC0DG824 | Long             | EP               |  | US        |    191682 | NS      | $4960730.16   | 1.74%             |  |  |  | No            |                  1 | On Loan: No      |
| CHIMERA INVESTMENT CORPORATION                  | Chimera Investment Corp PREFERRED STOCK                    | CUSIP: 16934Q604<br>LEI: 2JBBQFJOL123LOUBE657 | Long             | EP               |  | US        |     75899 | NS      | $1531641.82   | 0.54%             |  |  |  | No            |                  2 | On Loan: No      |
| M&T BANK CORPORATION                            | M&T Bank Corp PREFERRED STOCK                              | CUSIP: 55261F872<br>LEI: 549300WYXDDBYRASEG81 | Long             | EP               |  | US        |     95353 | NS      | $2182630.17   | 0.76%             |  |  |  | No            |                  2 | On Loan: No      |
| VOYA FINANCIAL, INC.                            | Voya Financial Inc PREFERRED STOCK                         | CUSIP: 929089209<br>LEI: 549300T065Z4KJ686G75 | Long             | EP               |  | US        |    114544 | NS      | $2510804.48   | 0.88%             |  |  |  | No            |                  1 | On Loan: No      |
| MORGAN STANLEY                                  | Morgan Stanley PREFERRED STOCK                             | CUSIP: 61762V606<br>LEI: IGJSJL3JD5P30I6NJZ34 | Long             | EP               |  | US        |    260313 | NS      | $6198052.53   | 2.17%             |  |  |  | No            |                  1 | On Loan: No      |
| WELLS FARGO & COMPANY                           | Wells Fargo & Co PREFERRED STOCK                           | CUSIP: 949746465<br>LEI: PBLD0EJDB5FWOLXP3B76 | Long             | EP               |  | US        |    322597 | NS      | $8206867.68   | 2.88%             |  |  |  | No            |                  1 | On Loan: No      |
| CITIZENS FINANCIAL GROUP, INC.                  | Citizens Financial Group Inc PREFERRED STOCK               | CUSIP: 174610204<br>LEI: 2138004JDDA4ZQUPFW65 | Long             | EP               |  | US        |    114639 | NS      | $2892341.97   | 1.01%             |  |  |  | No            |                  1 | On Loan: No      |
| BANK OF AMERICA CORPORATION                     | Bank of America Corp PREFERRED STOCK                       | CUSIP: 060505815<br>LEI: 9DJT3UXIJIZJI4WXO774 | Long             | EP               |  | US        |    120067 | NS      | $2408544.02   | 0.84%             |  |  |  | No            |                  1 | On Loan: No      |
| SIRIUSPOINT LTD.                                | SiriusPoint Ltd PREFERRED STOCK                            | CUSIP: G8192H155<br>LEI: 549300OGXFI85N3YZZ51 | Long             | EP               |  | BM        |     76155 | NS      | $1780503.90   | 0.62%             |  |  |  | No            |                  2 | On Loan: No      |
| TWO HARBORS INVESTMENT CORP.                    | Two Harbors Investment Corp PREFERRED STOCK                | CUSIP: 90187B309<br>LEI: 549300ZUIBT6KH4HU823 | Long             | EP               |  | US        |    109566 | NS      | $2058745.14   | 0.72%             |  |  |  | No            |                  1 | On Loan: No      |
| AGNC INVESTMENT CORP.                           | AGNC Investment Corp PREFERRED STOCK                       | CUSIP: 00123Q609<br>LEI: 5TRACI5HRMELWV32OF39 | Long             | EP               |  | US        |     89401 | NS      | $1876526.99   | 0.66%             |  |  |  | No            |                  2 | On Loan: No      |
| RITHM CAPITAL CORP.                             | Rithm Capital Corp PREFERRED STOCK                         | CUSIP: 64828T508<br>LEI: 549300WNTHGEO5LP2G31 | Long             | EP               |  | US        |    153725 | NS      | $2796257.75   | 0.98%             |  |  |  | No            |                  2 | On Loan: No      |
| NEW YORK MORTGAGE TRUST, INC.                   | New York Mortgage Trust Inc PREFERRED STOCK                | CUSIP: 649604881<br>LEI: 549300JFGR0M7ULHWG48 | Long             | EP               |  | US        |     57821 | NS      | $1156420.00   | 0.41%             |  |  |  | No            |                  2 | On Loan: No      |
| ENSTAR GROUP LIMITED                            | Enstar Group Ltd PREFERRED STOCK                           | CUSIP: 29359U109<br>LEI: 213800AMAL5QFXVUCN04 | Long             | EP               |  | US        |    153101 | NS      | $3542757.14   | 1.24%             |  |  |  | No            |                  1 | On Loan: No      |
| THE GOLDMAN SACHS GROUP, INC.                   | Goldman Sachs Group Inc/The PREFERRED STOCK                | CUSIP: 38144G804<br>LEI: 784F5XWPLTWKTBV3E584 | Long             | EP               |  | US        |    514362 | NS      | $9927186.60   | 3.48%             |  |  |  | No            |                  1 | On Loan: No      |
| CHS Inc.                                        | CHS Inc PREFERRED STOCK                                    | CUSIP: 12542R704<br>LEI: XEIEFTLYDQ1MZ6TZV015 | Long             | EP               |  | US        |    188797 | NS      | $4727476.88   | 1.66%             |  |  |  | No            |                  1 | On Loan: No      |
| REINSURANCE GROUP OF AMERICA, INCORPORATED      | Reinsurance Group of America Inc PREFERRED STOCK           | CUSIP: 759351802<br>LEI: LORM1GNEU1DKEW527V90 | Long             | EP               |  | US        |    153163 | NS      | $3876555.53   | 1.36%             |  |  |  | No            |                  1 | On Loan: No      |
| ANNALY CAPITAL MANAGEMENT, INC.                 | Annaly Capital Management Inc PREFERRED STOCK              | CUSIP: 035710870<br>LEI: 2DTL0G3FPRYUT58TI025 | Long             | EP               |  | US        |    276368 | NS      | $6743379.20   | 2.36%             |  |  |  | No            |                  1 | On Loan: No      |
| ALGONQUIN POWER & UTILITIES CORP.               | Algonquin Power & Utilities Corp PREFERRED STOCK           | CUSIP: 015857808<br>LEI: 549300K5VIUTJXQL7X75 | Long             | EP               |  | CA        |    133867 | NS      | $3009330.16   | 1.05%             |  |  |  | No            |                  1 | On Loan: No      |
| ATHENE HOLDING LTD.                             | Athene Holding Ltd PREFERRED STOCK                         | CUSIP: G0684D305<br>LEI: 549300H316CT32FQXI76 | Long             | EP               |  | US        |    319476 | NS      | $7865499.12   | 2.76%             |  |  |  | No            |                  1 | On Loan: No      |
| ARGO GROUP INTERNATIONAL HOLDINGS, LTD.         | Argo Group International Holdings Ltd PREFERRED STOCK      | CUSIP: 040128209<br>LEI: 549300M4T8Y5TTWI6O03 | Long             | EP               |  | US        |     56737 | NS      | $1192611.74   | 0.42%             |  |  |  | No            |                  2 | On Loan: No      |
| MORGAN STANLEY                                  | Morgan Stanley PREFERRED STOCK                             | CUSIP: 61761J406<br>LEI: IGJSJL3JD5P30I6NJZ34 | Long             | EP               |  | US        |    260358 | NS      | $6493328.52   | 2.28%             |  |  |  | No            |                  1 | On Loan: No      |
| MORGAN STANLEY                                  | Morgan Stanley PREFERRED STOCK                             | CUSIP: 61747S504<br>LEI: IGJSJL3JD5P30I6NJZ34 | Long             | EP               |  | US        |    286208 | NS      | $5718435.84   | 2.00%             |  |  |  | No            |                  1 | On Loan: No      |
| WESTERN ALLIANCE BANCORPORATION                 | Western Alliance Bancorp PREFERRED STOCK                   | CUSIP: 957638406<br>LEI: 5493003VJXZ5JXT9S762 | Long             | EP               |  | US        |    114508 | NS      | $2450471.20   | 0.86%             |  |  |  | No            |                  2 | On Loan: No      |
| METLIFE, INC.                                   | MetLife Inc PREFERRED STOCK                                | CUSIP: 59156R504<br>LEI: C4BXATY60WC6XEOZDX54 | Long             | EP               |  | US        |    230025 | NS      | $5005344.00   | 1.75%             |  |  |  | No            |                  1 | On Loan: No      |
| ACRES COMMERCIAL REALTY CORP.                   | ACRES Commercial Realty Corp PREFERRED STOCK               | CUSIP: 00489Q201<br>LEI: 549300RUJWPCMY4JFR46 | Long             | EP               |  | US        |     44314 | NS      | $955852.98    | 0.33%             |  |  |  | No            |                  2 | On Loan: No      |
| ENERGY TRANSFER LP                              | Energy Transfer LP PREFERRED STOCK                         | CUSIP: 29273V605<br>LEI: MTLVN9N7JE8MIBIJ1H73 | Long             | EP               |  | US        |    307129 | NS      | $7076252.16   | 2.48%             |  |  |  | No            |                  1 | On Loan: No      |
| TWO HARBORS INVESTMENT CORP.                    | Two Harbors Investment Corp PREFERRED STOCK                | CUSIP: 90187B507<br>LEI: 549300ZUIBT6KH4HU823 | Long             | EP               |  | US        |    112460 | NS      | $2163730.40   | 0.76%             |  |  |  | No            |                  1 | On Loan: No      |
| WESCO INTERNATIONAL, INC.                       | WESCO International Inc PREFERRED STOCK                    | CUSIP: 95082P303<br>LEI: 529900TXOGREY3WNJ434 | Long             | EP               |  | US        |    207272 | NS      | $5679252.80   | 1.99%             |  |  |  | No            |                  1 | On Loan: No      |
| CITIGROUP INC.                                  | Citigroup Inc PREFERRED STOCK                              | CUSIP: 172967341<br>LEI: 6SHGI4ZSSLCXXQSBB395 | Long             | EP               |  | US        |    569998 | NS      | $14267049.94  | 5.00%             |  |  |  | No            |                  1 | On Loan: No      |
| NUSTAR ENERGY L.P.                              | NuStar Energy LP PREFERRED STOCK                           | CUSIP: 67058H300<br>LEI: 5493003BMLTUIEG2LG44 | Long             | EP               |  | US        |    147262 | NS      | $3157297.28   | 1.11%             |  |  |  | No            |                  1 | On Loan: No      |
| STATE STREET CORPORATION                        | State Street Corp PREFERRED STOCK                          | CUSIP: 857477855<br>LEI: 549300ZFEEJ2IP5VME73 | Long             | EP               |  | US        |    191658 | NS      | $4722453.12   | 1.65%             |  |  |  | No            |                  1 | On Loan: No      |
| CHIMERA INVESTMENT CORPORATION                  | Chimera Investment Corp PREFERRED STOCK                    | CUSIP: 16934Q505<br>LEI: 2JBBQFJOL123LOUBE657 | Long             | EP               |  | US        |     98966 | NS      | $1873426.38   | 0.66%             |  |  |  | No            |                  1 | On Loan: No      |
| REGIONS FINANCIAL CORPORATION                   | Regions Financial Corp PREFERRED STOCK                     | CUSIP: 7591EP704<br>LEI: CW05CS5KW59QTC0DG824 | Long             | EP               |  | US        |    191546 | NS      | $4432374.44   | 1.55%             |  |  |  | No            |                  1 | On Loan: No      |
| CHIMERA INVESTMENT CORPORATION                  | Chimera Investment Corp PREFERRED STOCK                    | CUSIP: 16934Q406<br>LEI: 2JBBQFJOL123LOUBE657 | Long             | EP               |  | US        |    124053 | NS      | $2662177.38   | 0.93%             |  |  |  | No            |                  1 | On Loan: No      |
| NEW YORK COMMUNITY BANCORP, INC.                | New York Community Bancorp Inc PREFERRED STOCK             | CUSIP: 649445202<br>LEI: 529900HVXOTLY61GL030 | Long             | EP               |  | US        |    197342 | NS      | $4736208.00   | 1.66%             |  |  |  | No            |                  1 | On Loan: No      |
| AGNC INVESTMENT CORP.                           | AGNC Investment Corp PREFERRED STOCK                       | CUSIP: 00123Q807<br>LEI: 5TRACI5HRMELWV32OF39 | Long             | EP               |  | US        |    153920 | NS      | $3321593.60   | 1.16%             |  |  |  | No            |                  1 | On Loan: No      |

### Signature

**Date Signed:** 2022-11-30

**Name of Applicant:** GLOBAL X FUNDS

**Signature:** Luis Berruga

**Name of Signer:** Luis Berruga

**Title:** President