# EDGAR Filing Document

**Accession Number:** 0001426439
**File Stem:** 0001752724-23-069730
**Filing Date:** 2023-3
**Character Count:** 18994
**Document Hash:** 5ee3cd866bbeec746087715024980b12
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001752724-23-069730.hdr.sgml**: 20230328

**ACCESSION NUMBER**: 0001752724-23-069730

**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:** 23767965

**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 Winslow Focused Large Cap Growth ETF (Series ID: S000075561)

| Class ID   | Class Name                              | Ticker Symbol   |
|:---|:---|:---|
| C000234759 | IQ Winslow Focused Large Cap Growth ETF | IWFG            |

## Nport-Ex

Schedule of Investments ─ IQ Winslow Focused Large Cap Growth ETF

January 31, 2023 (unaudited)

---

| | | |
|:---|:---|:---|
|  | **Shares** | **Value** |
| **Common Stocks — 99.6%** | **Common Stocks — 99.6%** | |
| **Communication Services — 2.4%** |  |  |
| Alphabet, Inc., Class C<sup>\*</sup> | 1418 | $141616 |
| **Consumer Discretionary — 15.8%** |  |  |
| Chipotle Mexican Grill, Inc.<sup>\*</sup> | 168 | 276592 |
| Dollar Tree, Inc.<sup>\*</sup> | 1229 | 184571 |
| Hilton Worldwide Holdings, Inc. | 1848 | 268126 |
| Lululemon Athletica, Inc.<sup>\*</sup> | 646 | 198245 |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Total Consumer Discretionary |  | 927534 |
| **Consumer Staples — 3.0%** |  |  |
| Costco Wholesale Corp. | 343 | 175321 |
| **Energy — 4.1%** |  |  |
| Schlumberger Ltd. | 4198 | 239202 |
| **Financials — 3.7%** |  |  |
| Moody's Corp. | 682 | 220115 |
| **Health Care — 19.0%** |  |  |
| Danaher Corp. | 771 | 203837 |
| Intuitive Surgical, Inc.\* | 800 | 196552 |
| UnitedHealth Group, Inc. | 566 | 282542 |
| Veeva Systems, Inc., Class A\* | 964 | 164410 |
| Zoetis, Inc. | 1613 | 266935 |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Total Health Care |  | 1114276 |
| **Industrials — 9.4%** |  |  |
| Deere & Co. | 713 | 301485 |
| Union Pacific Corp. | 1239 | 252991 |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Total Industrials |  | 554476 |
| **Information Technology — 38.2%** |  |  |
| Analog Devices, Inc. | 1306 | 223940 |
| Apple, Inc. | 1064 | 153525 |
| ASML Holding NV | 541 | 357514 |
| Intuit, Inc. | 418 | 176676 |
| Mastercard, Inc., Class A | 792 | 293515 |
| Microsoft Corp. | 1229 | 304558 |
| NVIDIA Corp. | 980 | 191463 |
| Palo Alto Networks, Inc.<sup>\*</sup> | 971 | 154039 |
| ServiceNow, Inc.<sup>\*</sup> | 451 | 205264 |
| Visa, Inc., Class A<sup>(a)</sup> | 808 | 186010 |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Total Information Technology |  | 2246504 |
| **Materials — 4.0%** |  |  |
| Linde PLC | 702 | 232320 |
| **Total Common Stocks** |  |  |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**(Cost $5,375,962)** |  | **5851364** |
| **Short-Term Investment — 1.0%** |  |  |
| **Money Market Fund — 1.0%** |  |  |
| Dreyfus Institutional Preferred Government Money Market Fund, Institutional Shares, 4.30%<sup>(b)</sup> |  |  |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**(Cost $61,070)** | 61070 | **61070** |
| **Total Investments — 100.6%** |  |  |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**(Cost $5,437,032)** |  | **5912434** |
| **Other Assets and Liabilities, Net — (0.6)%** |  | **(37836)** |
| **Net Assets — 100.0%** |  | $**5874598** |

---

\* Non-income producing securities.

(a) All or a portion of the security was on loan. In addition, "Other Assets and Liabilities, Net" may include pending sales that are also on loan. The aggregate market value of securities on loan was $182,096; total market value of collateral held consisted of non-cash U.S. Treasury securities collateral having a value of $184,845.

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

Schedule of Investments ─ IQ Winslow Focused Large Cap Growth 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. | 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. | 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. | 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. | 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>(c)</sup> |  |  |  |  |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Common Stocks | $5851364 | $– | $– | $5851364 |
| Short-Term Investment: |  |  |  |  |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Money Market Fund | 61070 | – | – | 61070 |
| Total Investments in Securities | $5912434 | $– | $– | $5912434 |

---

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

## 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 Winslow Focused Large Cap Growth ETF

- **b. EDGAR series identifier (if any):** S000075561

- **c. LEI of Series:** 549300888N0QOLWPOT21

**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:** $5919478.04

**Total Liabilities:** $44880.20

**Net Assets:** $5874597.84

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000234759 | 9.29%                | -7.13%               | 6.85%                |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $51298.93                | $476404.44                                 |
| Month 2  | $67026.35                | $-532852.01                                |
| Month 3  | $-5736.23                | $383724.38                                 |

### 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   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| Danaher Corp                                                 | Danaher Corp                                                 | CUSIP: 235851102<br>LEI: S4BKK9OTCEWQ3YHPFM11 | Long             | EC               | CORP              | US        |       771 | NS      | $203836.98    | 3.47%             |  |  |  | No            |                  1 | On Loan: No      |
| Moody's Corp                                                 | Moody's Corp                                                 | CUSIP: 615369105<br>LEI: 549300GCEDD8YCF5WU84 | Long             | EC               | CORP              | US        |       682 | NS      | $220115.50    | 3.75%             |  |  |  | No            |                  1 | On Loan: No      |
| Veeva Systems Inc                                            | Veeva Systems Inc                                            | CUSIP: 922475108<br>LEI: 549300YZEXPDB92M2F02 | Long             | EC               | CORP              | US        |       964 | NS      | $164410.20    | 2.80%             |  |  |  | No            |                  1 | On Loan: No      |
| Mastercard Inc                                               | Mastercard Inc                                               | CUSIP: 57636Q104<br>LEI: AR5L2ODV9HN37376R084 | Long             | EC               | CORP              | US        |       792 | NS      | $293515.20    | 5.00%             |  |  |  | No            |                  1 | On Loan: No      |
| Alphabet Inc                                                 | Alphabet Inc                                                 | CUSIP: 02079K107<br>LEI: 5493006MHB84DD0ZWV18 | Long             | EC               | CORP              | US        |      1418 | NS      | $141615.66    | 2.41%             |  |  |  | No            |                  1 | On Loan: No      |
| Hilton Worldwide Holdings Inc                                | Hilton Worldwide Holdings Inc                                | CUSIP: 43300A203<br>LEI: 549300HVGPK36ICB0B89 | Long             | EC               | CORP              | US        |      1848 | NS      | $268126.32    | 4.56%             |  |  |  | No            |                  1 | On Loan: No      |
| Deere & Co                                                   | Deere & Co                                                   | CUSIP: 244199105<br>LEI: PWFTNG3EI0Y73OXWDH08 | Long             | EC               | CORP              | US        |       713 | NS      | $301484.92    | 5.13%             |  |  |  | No            |                  1 | On Loan: No      |
| Analog Devices Inc                                           | Analog Devices Inc                                           | CUSIP: 032654105<br>LEI: GYVOE5EZ4GDAVTU4CQ61 | Long             | EC               | CORP              | US        |      1306 | NS      | $223939.82    | 3.81%             |  |  |  | No            |                  1 | On Loan: No      |
| Schlumberger Ltd                                             | Schlumberger Ltd                                             | CUSIP: 806857108<br>LEI: 213800ZUA17OK3QLGM62 | Long             | EC               | CORP              | US        |      4198 | NS      | $239202.04    | 4.07%             |  |  |  | No            |                  1 | On Loan: No      |
| Apple Inc                                                    | Apple Inc                                                    | CUSIP: 037833100<br>LEI: HWUPKR0MPOU8FGXBT394 | Long             | EC               | CORP              | US        |      1064 | NS      | $153524.56    | 2.61%             |  |  |  | No            |                  1 | On Loan: No      |
| Linde PLC                                                    | Linde PLC                                                    | CUSIP: 000000000<br>LEI: 8945002PAZHZLBGKGF02 | Long             | EC               | CORP              | GB        |       702 | NS      | $232319.88    | 3.95%             |  |  |  | No            |                  1 | On Loan: No      |
| Costco Wholesale Corp                                        | Costco Wholesale Corp                                        | CUSIP: 22160K105<br>LEI: 29DX7H14B9S6O3FD6V18 | Long             | EC               | CORP              | US        |       343 | NS      | $175321.02    | 2.98%             |  |  |  | No            |                  1 | On Loan: No      |
| Dreyfus Institutional Preferred Government Money Market Fund | Dreyfus Institutional Preferred Government Money Market Fund | CUSIP: 000000000<br>LEI: N/A                  | Long             | STIV             | RF                | US        |     61070 | NS      | $61069.86     | 1.04%             |  |  |  | No            |                  1 | On Loan: No      |
| UnitedHealth Group Inc                                       | UnitedHealth Group Inc                                       | CUSIP: 91324P102<br>LEI: 549300GHBMY8T5GXDE41 | Long             | EC               | CORP              | US        |       566 | NS      | $282541.54    | 4.81%             |  |  |  | No            |                  1 | On Loan: No      |
| Lululemon Athletica Inc                                      | Lululemon Athletica Inc                                      | CUSIP: 550021109<br>LEI: 549300D9GZ4BMLDW5T40 | Long             | EC               | CORP              | CA        |       646 | NS      | $198244.48    | 3.37%             |  |  |  | No            |                  1 | On Loan: No      |
| Intuitive Surgical Inc                                       | Intuitive Surgical Inc                                       | CUSIP: 46120E602<br>LEI: 54930052SRG011710797 | Long             | EC               | CORP              | US        |       800 | NS      | $196552.00    | 3.35%             |  |  |  | No            |                  1 | On Loan: No      |
| Visa Inc                                                     | Visa Inc                                                     | CUSIP: 92826C839<br>LEI: 549300JZ4OKEHW3DPJ59 | Long             | EC               | CORP              | US        |       808 | NS      | $186009.68    | 3.17%             |  |  |  | No            |                  1 | On Loan: —       |
| Dollar Tree Inc                                              | Dollar Tree Inc                                              | CUSIP: 256746108<br>LEI: 549300PMSTQITB1WHR43 | Long             | EC               | CORP              | US        |      1229 | NS      | $184571.22    | 3.14%             |  |  |  | No            |                  1 | On Loan: No      |
| Microsoft Corp                                               | Microsoft Corp                                               | CUSIP: 594918104<br>LEI: INR2EJN1ERAN0W5ZP974 | Long             | EC               | CORP              | US        |      1229 | NS      | $304558.49    | 5.18%             |  |  |  | No            |                  1 | On Loan: No      |
| Intuit Inc                                                   | Intuit Inc                                                   | CUSIP: 461202103<br>LEI: VI90HBPH7XSFMB9E4M29 | Long             | EC               | CORP              | US        |       418 | NS      | $176676.06    | 3.01%             |  |  |  | No            |                  1 | On Loan: No      |
| NVIDIA Corp                                                  | NVIDIA Corp                                                  | CUSIP: 67066G104<br>LEI: 549300S4KLFTLO7GSQ80 | Long             | EC               | CORP              | US        |       980 | NS      | $191462.60    | 3.26%             |  |  |  | No            |                  1 | On Loan: No      |
| Palo Alto Networks Inc                                       | Palo Alto Networks Inc                                       | CUSIP: 697435105<br>LEI: 549300QXR2YVZV231H43 | Long             | EC               | CORP              | US        |       971 | NS      | $154039.44    | 2.62%             |  |  |  | No            |                  1 | On Loan: No      |
| Union Pacific Corp                                           | Union Pacific Corp                                           | CUSIP: 907818108<br>LEI: 549300LMMRSZZCZ8CL11 | Long             | EC               | CORP              | US        |      1239 | NS      | $252991.41    | 4.31%             |  |  |  | No            |                  1 | On Loan: No      |
| ASML Holding NV                                              | ASML Holding NV                                              | CUSIP: 000000000<br>LEI: 724500Y6DUVHQD6OXN27 | Long             | EC               | CORP              | NL        |       541 | NS      | $357514.44    | 6.09%             |  |  |  | No            |                  1 | On Loan: No      |
| Zoetis Inc                                                   | Zoetis Inc                                                   | CUSIP: 98978V103<br>LEI: 549300HD9Q1LOC9KLJ48 | Long             | EC               | CORP              | US        |      1613 | NS      | $266935.37    | 4.54%             |  |  |  | No            |                  1 | On Loan: No      |
| ServiceNow Inc                                               | ServiceNow Inc                                               | CUSIP: 81762P102<br>LEI: 549300HJTQM36M0E1G39 | Long             | EC               | CORP              | US        |       451 | NS      | $205263.63    | 3.49%             |  |  |  | No            |                  1 | On Loan: No      |
| Chipotle Mexican Grill Inc                                   | Chipotle Mexican Grill Inc                                   | CUSIP: 169656105<br>LEI: N/A                  | Long             | EC               | CORP              | US        |       168 | NS      | $276591.84    | 4.71%             |  |  |  | No            |                  1 | 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