# EDGAR Filing Document

**Accession Number:** 0001414040
**File Stem:** 0001049169-26-000126
**Filing Date:** 2026-1
**Character Count:** 41971
**Document Hash:** 1a980c519ed4edf6465eee5fbfa2212a
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001049169-26-000126.hdr.sgml**: 20260129

**ACCESSION NUMBER**: 0001049169-26-000126

**CONFORMED SUBMISSION TYPE**: NPORT-P

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20251130

**FILED AS OF DATE**: 20260129

**DATE AS OF CHANGE**: 20260129

**PERIOD START**: 20251130

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ALPS ETF Trust
- **CENTRAL INDEX KEY:** 0001414040

**ORGANIZATION NAME:**
- **EIN:** 000000000
- **FISCAL YEAR END:** 1130

**FILING VALUES:**
- **FORM TYPE:** NPORT-P
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-22175
- **FILM NUMBER:** 26576400

**BUSINESS ADDRESS:**
- **STREET 1:** P.O. Box 328
- **CITY:** Denver
- **STATE:** CO
- **ZIP:** 80201-0328
- **BUSINESS PHONE:** 303.623.2577

**MAIL ADDRESS:**
- **STREET 1:** P.O. Box 328
- **CITY:** Denver
- **STATE:** CO
- **ZIP:** 80201-0328

## Series and Classes Contracts Data

### ALPS Medical Breakthroughs ETF (Series ID: S000047823)

| Class ID   | Class Name                     | Ticker Symbol   |
|:---|:---|:---|
| C000150206 | ALPS Medical Breakthroughs ETF | SBIO            |

## Form NPORT-P: Monthly Portfolio Investments Report

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

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

- **a. Name of Registrant:** ALPS ETF TRUST

- **b. Investment Company Act file number:** 811-22175

- **c. CIK number of Registrant:** 0001414040

- **d. LEI of Registrant:** 549300VF1907NYC4WM31

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

  - **Street Address 1:** 1290 BROADWAY SUITE 1000

  - **City:** DENVER

  - **State:** CO

  - **Foreign country:** US

  - **Zip / Postal Code:** 80203

  - **Telephone number:** 3036232577

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

- **a. Name of Series:** ALPS Medical Breakthroughs ETF

- **b. EDGAR series identifier (if any):** S000047823

- **c. LEI of Series:** 549300UUE13R3N0UVB96

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

- **a. Date of fiscal year-end:** 2025-11-30

- **b. Date as of which information is reported:** 2025-11-30

**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:** $104650347.97

**Total Liabilities:** $36739.46

**Net Assets:** $104613608.51

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000150206 | 11.48%               | 16.10%               | 10.51%               |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $223259.99               | $9262125.34                                |
| Month 2  | $7866123.42              | $5213524.35                                |
| Month 3  | $1555008.04              | $7997841.32                                |

### 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   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| Protagonist Therapeutics Inc                               | Protagonist Therapeutics, Inc.                             | CUSIP: 74366E102<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     27004 | NS      | $2430360.00   | 2.32%             |  |  |  | No            |                  1 | On Loan: No      |
| Palvella Therapeutics Inc                                  | Palvella Therapeutics, Inc.                                | CUSIP: 697947109<br>LEI: 254900AJDH8PAOOI5T33 | Long             | EC               | CORP              | US        |      5064 | NS      | $520528.56    | 0.50%             |  |  |  | No            |                  1 | On Loan: No      |
| Immunocore Holdings Plc                                    | Immunocore Holdings PLC                                    | CUSIP: 45258D105<br>LEI: 213800IUE3DFS84BVN18 | Long             | EC               | CORP              | GB        |     22504 | NS      | $888908.00    | 0.85%             |  |  |  | No            |                  1 | On Loan: —       |
| Novavax Inc                                                | Novavax, Inc.                                              | CUSIP: 670002401<br>LEI: 529900J4GJHPEPQ23205 | Long             | EC               | CORP              | US        |     69812 | NS      | $492174.60    | 0.47%             |  |  |  | No            |                  1 | On Loan: —       |
| Nuvation Bio Inc                                           | Nuvation Bio, Inc.                                         | CUSIP: 67080N101<br>LEI: N/A                  | Long             | EC               | CORP              | US        |    152082 | NS      | $1221218.46   | 1.17%             |  |  |  | No            |                  1 | On Loan: —       |
| Rigel Pharmaceuticals Inc                                  | Rigel Pharmaceuticals, Inc.                                | CUSIP: 766559702<br>LEI: 529900KPTNUS5J8K9K66 | Long             | EC               | CORP              | US        |      7738 | NS      | $390691.62    | 0.37%             |  |  |  | No            |                  1 | On Loan: —       |
| Aurinia Pharmaceuticals Inc                                | Aurinia Pharmaceuticals, Inc.                              | CUSIP: 05156V102<br>LEI: 5299008YP2BW4570ML28 | Long             | EC               | CORP              | CA        |     56371 | NS      | $908700.52    | 0.87%             |  |  |  | No            |                  1 | On Loan: No      |
| Viridian Therapeutics Inc                                  | Viridian Therapeutics, Inc.                                | CUSIP: 92790C104<br>LEI: 549300C775BNYF550E70 | Long             | EC               | CORP              | US        |     36840 | NS      | $1177406.40   | 1.13%             |  |  |  | No            |                  1 | On Loan: No      |
| Celldex Therapeutics Inc                                   | Celldex Therapeutics, Inc.                                 | CUSIP: 15117B202<br>LEI: 529900F018DMYWH38923 | Long             | EC               | CORP              | US        |     29518 | NS      | $797576.36    | 0.76%             |  |  |  | No            |                  1 | On Loan: No      |
| Agios Pharmaceuticals Inc                                  | Agios Pharmaceuticals, Inc.                                | CUSIP: 00847X104<br>LEI: 529900ONJHY8EOGYT555 | Long             | EC               | CORP              | US        |     25453 | NS      | $743227.60    | 0.71%             |  |  |  | No            |                  1 | On Loan: No      |
| Anaptysbio Inc                                             | AnaptysBio, Inc.                                           | CUSIP: 032724106<br>LEI: 529900HH4WQT03IG1A12 | Long             | EC               | CORP              | US        |     12334 | NS      | $513711.10    | 0.49%             |  |  |  | No            |                  1 | On Loan: No      |
| Chinook Therapeutics Inc                                   | Chinook Therapeutics, Inc.                                 | CUSIP: N/A<br>LEI: 549300X0O3003W5QYQ48       | N/A              | DE               | CORP              | US        |     20700 | NC      | $0.02         | 0.00%             |  |  |  | No            |                  3 | On Loan: No      |
| Day One Biopharmaceuticals Inc                             | Day One Biopharmaceuticals, Inc.                           | CUSIP: 23954D109<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     44903 | NS      | $426129.47    | 0.41%             |  |  |  | No            |                  1 | On Loan: —       |
| Tarsus Pharmaceuticals Inc                                 | Tarsus Pharmaceuticals, Inc.                               | CUSIP: 87650L103<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     19829 | NS      | $1585526.84   | 1.52%             |  |  |  | No            |                  1 | On Loan: No      |
| Praxis Precision Medicines Inc                             | Praxis Precision Medicines, Inc.                           | CUSIP: 74006W207<br>LEI: N/A                  | Long             | EC               | CORP              | US        |      9656 | NS      | $1897017.76   | 1.81%             |  |  |  | No            |                  1 | On Loan: No      |
| Mbx Biosciences Inc                                        | MBX Biosciences, Inc.                                      | CUSIP: 55287L101<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     15540 | NS      | $535974.60    | 0.51%             |  |  |  | No            |                  1 | On Loan: —       |
| Ideaya Biosciences Inc                                     | Ideaya Biosciences, Inc.                                   | CUSIP: 45166A102<br>LEI: 549300ULW08F62IJML11 | Long             | EC               | CORP              | US        |     38786 | NS      | $1381557.32   | 1.32%             |  |  |  | No            |                  1 | On Loan: —       |
| Prothena Corp Plc                                          | Prothena Corp. PLC                                         | CUSIP: G72800108<br>LEI: 5299009ZXQ8NIIJ8OL30 | Long             | EC               | CORP              | IE        |     23727 | NS      | $255065.25    | 0.24%             |  |  |  | No            |                  1 | On Loan: —       |
| Omniab Inc                                                 | OmniAb, Inc.                                               | CUSIP: 68218J301<br>LEI: N/A                  | N/A              | DE               | CORP              | US        |      3653 | NC      | $0.00         | 0.00%             |  |  |  | No            |                  3 | On Loan: No      |
| Moonlake Immunotherapeutics                                | MoonLake Immunotherapeutics                                | CUSIP: 61559X104<br>LEI: N/A                  | Long             | EC               | CORP              | KY        |     28389 | NS      | $389780.97    | 0.37%             |  |  |  | No            |                  1 | On Loan: —       |
| Bicycle Therapeutics Plc                                   | Bicycle Therapeutics PLC                                   | CUSIP: 088786108<br>LEI: 213800XKUI6R7GKC3E43 | Long             | EC               | CORP              | GB        |     22302 | NS      | $166818.96    | 0.16%             |  |  |  | No            |                  1 | On Loan: No      |
| Relay Therapeutics Inc                                     | Relay Therapeutics, Inc.                                   | CUSIP: 75943R102<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     75919 | NS      | $601278.48    | 0.57%             |  |  |  | No            |                  1 | On Loan: —       |
| Vaxcyte Inc                                                | Vaxcyte, Inc.                                              | CUSIP: 92243G108<br>LEI: 254900M7NMHTGASX8D95 | Long             | EC               | CORP              | US        |     56275 | NS      | $2791802.75   | 2.67%             |  |  |  | No            |                  1 | On Loan: No      |
| Arcellx Inc                                                | Arcellx, Inc.                                              | CUSIP: 03940C100<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     23254 | NS      | $1690798.34   | 1.62%             |  |  |  | No            |                  1 | On Loan: —       |
| Zai Lab Ltd                                                | Zai Lab, Ltd.                                              | CUSIP: 98887Q104<br>LEI: 549300P2UYQ9U5LY1T58 | Long             | EC               | CORP              | KY        |     48584 | NS      | $991599.44    | 0.95%             |  |  |  | No            |                  1 | On Loan: —       |
| Terns Pharmaceuticals Inc                                  | Terns Pharmaceuticals, Inc.                                | CUSIP: 880881107<br>LEI: 254900S1ZDQMF4MYP709 | Long             | EC               | CORP              | US        |     39417 | NS      | $1108011.87   | 1.06%             |  |  |  | No            |                  1 | On Loan: No      |
| Gossamer Bio Inc                                           | Gossamer Bio, Inc.                                         | CUSIP: 38341P102<br>LEI: 549300ZOC0N2W6PSFR58 | Long             | EC               | CORP              | US        |     90858 | NS      | $303465.72    | 0.29%             |  |  |  | No            |                  1 | On Loan: —       |
| Bicara Therapeutics Inc                                    | Bicara Therapeutics, Inc.                                  | CUSIP: 055477103<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     24399 | NS      | $452845.44    | 0.43%             |  |  |  | No            |                  1 | On Loan: No      |
| Rapport Therapeutics Inc                                   | Rapport Therapeutics, Inc.                                 | CUSIP: 75383L102<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     15769 | NS      | $468496.99    | 0.45%             |  |  |  | No            |                  1 | On Loan: No      |
| Stoke Therapeutics Inc                                     | Stoke Therapeutics, Inc.                                   | CUSIP: 86150R107<br>LEI: 549300RD25SS2DIJHJ67 | Long             | EC               | CORP              | US        |     23269 | NS      | $719244.79    | 0.69%             |  |  |  | No            |                  1 | On Loan: —       |
| Crinetics Pharmaceuticals Inc                              | Crinetics Pharmaceuticals, Inc.                            | CUSIP: 22663K107<br>LEI: 549300Q1CNFXK5P31D28 | Long             | EC               | CORP              | US        |     43770 | NS      | $1994161.20   | 1.91%             |  |  |  | No            |                  1 | On Loan: —       |
| Arrowhead Pharmaceuticals Inc                              | Arrowhead Pharmaceuticals, Inc.                            | CUSIP: 04280A100<br>LEI: 549300O3CSB8T7OZ3D66 | Long             | EC               | CORP              | US        |     60236 | NS      | $3174437.20   | 3.03%             |  |  |  | No            |                  1 | On Loan: No      |
| Merus Nv                                                   | Merus NV                                                   | CUSIP: N5749R100<br>LEI: 549300W8GPUWU8QNU293 | Long             | EC               | CORP              | NL        |     32617 | NS      | $3135798.38   | 3.00%             |  |  |  | No            |                  1 | On Loan: No      |
| Compass Pathways Plc                                       | Compass Pathways PLC                                       | CUSIP: 20451W101<br>LEI: 213800N7CUZIC6QSTZ31 | Long             | EC               | CORP              | GB        |     41447 | NS      | $230030.85    | 0.22%             |  |  |  | No            |                  1 | On Loan: —       |
| Axsome Therapeutics Inc                                    | Axsome Therapeutics, Inc.                                  | CUSIP: 05464T104<br>LEI: 549300EXGR0XLRJEIB95 | Long             | EC               | CORP              | US        |     22591 | NS      | $3422536.50   | 3.27%             |  |  |  | No            |                  1 | On Loan: No      |
| Apellis Pharmaceuticals Inc                                | Apellis Pharmaceuticals, Inc.                              | CUSIP: 03753U106<br>LEI: 254900HS0ZFRXXSB9D42 | Long             | EC               | CORP              | US        |     58034 | NS      | $1236124.20   | 1.18%             |  |  |  | No            |                  1 | On Loan: —       |
| Pharvaris Nv                                               | Pharvaris NV                                               | CUSIP: N69605108<br>LEI: 9845003BE146D3B75D32 | Long             | EC               | CORP              | NL        |     28380 | NS      | $805424.40    | 0.77%             |  |  |  | No            |                  1 | On Loan: No      |
| Biocryst Pharmaceuticals Inc                               | BioCryst Pharmaceuticals, Inc.                             | CUSIP: 09058V103<br>LEI: 549300Z0INP1Z5NP6J59 | Long             | EC               | CORP              | US        |     93421 | NS      | $670762.78    | 0.64%             |  |  |  | No            |                  1 | On Loan: No      |
| Vir Biotechnology Inc                                      | Vir Biotechnology, Inc.                                    | CUSIP: 92764N102<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     61052 | NS      | $391953.84    | 0.37%             |  |  |  | No            |                  1 | On Loan: —       |
| Compass Therapeutics Inc                                   | Compass Therapeutics, Inc.                                 | CUSIP: 20454B104<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     76438 | NS      | $443340.40    | 0.42%             |  |  |  | No            |                  1 | On Loan: —       |
| Newamsterdam Pharma Co Nv                                  | Newamsterdam Pharma Co. NV                                 | CUSIP: N62509109<br>LEI: 984500B6549TF6E14D36 | Long             | EC               | CORP              | NL        |     51036 | NS      | $2107786.80   | 2.01%             |  |  |  | No            |                  1 | On Loan: —       |
| Zenas Biopharma Inc                                        | Zenas Biopharma, Inc.                                      | CUSIP: 98937L105<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     18476 | NS      | $717423.08    | 0.69%             |  |  |  | No            |                  1 | On Loan: —       |
| Fulgent Genetics Inc                                       | Fulgent Genetics, Inc.                                     | CUSIP: 359664109<br>LEI: 549300CL6P01M68QJ404 | Long             | EC               | CORP              | US        |     13395 | NS      | $396224.10    | 0.38%             |  |  |  | No            |                  1 | On Loan: No      |
| Mannkind Corp                                              | MannKind Corp.                                             | CUSIP: 56400P706<br>LEI: 213800GFBCNY1ZFST722 | Long             | EC               | CORP              | US        |    141314 | NS      | $756029.90    | 0.72%             |  |  |  | No            |                  1 | On Loan: No      |
| Immunome Inc                                               | Immunome, Inc.                                             | CUSIP: 45257U108<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     36238 | NS      | $667503.96    | 0.64%             |  |  |  | No            |                  1 | On Loan: —       |
| Avidity Biosciences Inc                                    | Avidity Biosciences, Inc.                                  | CUSIP: 05370A108<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     65216 | NS      | $4675987.20   | 4.47%             |  |  |  | No            |                  1 | On Loan: No      |
| Upstream Bio Inc                                           | Upstream Bio, Inc.                                         | CUSIP: 91678A107<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     24027 | NS      | $687172.20    | 0.66%             |  |  |  | No            |                  1 | On Loan: —       |
| Celcuity Inc                                               | Celcuity, Inc.                                             | CUSIP: 15102K100<br>LEI: 25490070W7UU7W2SEY87 | Long             | EC               | CORP              | US        |     18484 | NS      | $1869471.76   | 1.79%             |  |  |  | No            |                  1 | On Loan: —       |
| Vanda Pharmaceuticals Inc                                  | Vanda Pharmaceuticals, Inc.                                | CUSIP: 921659108<br>LEI: 529900AY8VOOQBKJ0O70 | Long             | EC               | CORP              | US        |     24780 | NS      | $132820.80    | 0.13%             |  |  |  | No            |                  1 | On Loan: No      |
| Astrazeneca Plc                                            | AstraZeneca PLC                                            | CUSIP: N/A<br>LEI: PY6ZZQWO2IZFZC3IOL08       | N/A              | DE               | CORP              | US        |     36586 | NC      | $0.04         | 0.00%             |  |  |  | No            |                  3 | On Loan: No      |
| Astria Therapeutics Inc                                    | Astria Therapeutics, Inc.                                  | CUSIP: 04635X102<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     24204 | NS      | $306180.60    | 0.29%             |  |  |  | No            |                  1 | On Loan: No      |
| Rhythm Pharmaceuticals Inc                                 | Rhythm Pharmaceuticals, Inc.                               | CUSIP: 76243J105<br>LEI: 529900JPNWXQ8DPLA551 | Long             | EC               | CORP              | US        |     30477 | NS      | $3324735.93   | 3.18%             |  |  |  | No            |                  1 | On Loan: No      |
| Vera Therapeutics Inc                                      | Vera Therapeutics, Inc.                                    | CUSIP: 92337R101<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     28383 | NS      | $957926.25    | 0.92%             |  |  |  | No            |                  1 | On Loan: No      |
| Replimune Group Inc                                        | Replimune Group, Inc.                                      | CUSIP: 76029N106<br>LEI: 549300AY704NEIRC4K64 | Long             | EC               | CORP              | US        |     34830 | NS      | $348300.00    | 0.33%             |  |  |  | No            |                  1 | On Loan: —       |
| Tyra Biosciences Inc                                       | Tyra Biosciences, Inc.                                     | CUSIP: 90240B106<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     22820 | NS      | $514819.20    | 0.49%             |  |  |  | No            |                  1 | On Loan: —       |
| Capricor Therapeutics Inc                                  | Capricor Therapeutics, Inc.                                | CUSIP: 14070B309<br>LEI: 5493002ZI5PDLXV4DX14 | Long             | EC               | CORP              | US        |     19645 | NS      | $105100.75    | 0.10%             |  |  |  | No            |                  1 | On Loan: —       |
| Candel Therapeutics Inc                                    | Candel Therapeutics, Inc.                                  | CUSIP: 137404109<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     24110 | NS      | $115004.70    | 0.11%             |  |  |  | No            |                  1 | On Loan: —       |
| Mirum Pharmaceuticals Inc                                  | Mirum Pharmaceuticals, Inc.                                | CUSIP: 604749101<br>LEI: 254900YZKR40F7F27K81 | Long             | EC               | CORP              | US        |     22211 | NS      | $1622513.55   | 1.55%             |  |  |  | No            |                  1 | On Loan: —       |
| Maze Therapeutics Inc                                      | Maze Therapeutics, Inc.                                    | CUSIP: 578784100<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     12697 | NS      | $479311.75    | 0.46%             |  |  |  | No            |                  1 | On Loan: No      |
| Disc Medicine Inc                                          | Disc Medicine, Inc.                                        | CUSIP: 254604101<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     15503 | NS      | $1447360.08   | 1.38%             |  |  |  | No            |                  1 | On Loan: No      |
| Cytokinetics Inc                                           | Cytokinetics, Inc.                                         | CUSIP: 23282W605<br>LEI: 549300BE5DY1HW7IHA64 | Long             | EC               | CORP              | US        |     52327 | NS      | $3565038.51   | 3.41%             |  |  |  | No            |                  1 | On Loan: —       |
| Viking Therapeutics Inc                                    | Viking Therapeutics, Inc.                                  | CUSIP: 92686J106<br>LEI: 529900IVC72YPFA25M37 | Long             | EC               | CORP              | US        |     50644 | NS      | $1864205.64   | 1.78%             |  |  |  | No            |                  1 | On Loan: —       |
| Akero Therapeutics Inc                                     | Akero Therapeutics, Inc.                                   | CUSIP: 00973Y108<br>LEI: 549300SI3KG74LBE2955 | Long             | EC               | CORP              | US        |     34543 | NS      | $1877757.48   | 1.79%             |  |  |  | No            |                  1 | On Loan: No      |
| Omniab Inc                                                 | OmniAb, Inc.                                               | CUSIP: 68218J202<br>LEI: N/A                  | N/A              | DE               | CORP              | US        |      3653 | NC      | $0.00         | 0.00%             |  |  |  | No            |                  3 | On Loan: No      |
| Cg Oncology Inc                                            | CG oncology, Inc.                                          | CUSIP: 156944100<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     34678 | NS      | $1554961.52   | 1.49%             |  |  |  | No            |                  1 | On Loan: —       |
| Tonix Pharmaceuticals Holding Corp                         | Tonix Pharmaceuticals Holding Corp.                        | CUSIP: 890260839<br>LEI: 529900ACPKP9QW20GX48 | Long             | EC               | CORP              | US        |      3253 | NS      | $51950.41     | 0.05%             |  |  |  | No            |                  1 | On Loan: —       |
| Keros Therapeutics Inc                                     | Keros Therapeutics, Inc.                                   | CUSIP: 492327101<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     18062 | NS      | $315723.76    | 0.30%             |  |  |  | No            |                  1 | On Loan: No      |
| Edgewise Therapeutics Inc                                  | Edgewise Therapeutics, Inc.                                | CUSIP: 28036F105<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     47245 | NS      | $1230259.80   | 1.18%             |  |  |  | No            |                  1 | On Loan: —       |
| Anavex Life Sciences Corp                                  | Anavex Life Sciences Corp.                                 | CUSIP: 032797300<br>LEI: 549300K1I5L8COCQ8W36 | Long             | EC               | CORP              | US        |     35659 | NS      | $136573.97    | 0.13%             |  |  |  | No            |                  1 | On Loan: —       |
| Nuvalent Inc                                               | Nuvalent, Inc.                                             | CUSIP: 670703107<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     28495 | NS      | $3115928.25   | 2.98%             |  |  |  | No            |                  1 | On Loan: No      |
| Akebia Therapeutics Inc                                    | Akebia Therapeutics, Inc.                                  | CUSIP: 00972D105<br>LEI: 549300CBQEHMKEEGNX42 | Long             | EC               | CORP              | US        |    116038 | NS      | $183340.04    | 0.18%             |  |  |  | No            |                  1 | On Loan: —       |
| State Street Institutional Treasury Plus Money Market Fund | State Street Institutional Treasury Plus Money Market Fund | CUSIP: 857492862<br>LEI: 549300PNASLVKQG64331 | Long             | STIV             | RF                | US        |     54205 | NS      | $54205.13     | 0.05%             |  |  |  | No            |                  1 | On Loan: No      |
| Ptc Therapeutics Inc                                       | PTC Therapeutics, Inc.                                     | CUSIP: 69366J200<br>LEI: 549300UJLWOIWFDGB318 | Long             | EC               | CORP              | US        |     34114 | NS      | $2933462.86   | 2.80%             |  |  |  | No            |                  1 | On Loan: No      |
| Rezolute Inc                                               | Rezolute, Inc.                                             | CUSIP: 76200L309<br>LEI: 549300T05L48T72P2G08 | Long             | EC               | CORP              | US        |     39450 | NS      | $383454.00    | 0.37%             |  |  |  | No            |                  1 | On Loan: —       |
| Kura Oncology Inc                                          | Kura Oncology, Inc.                                        | CUSIP: 50127T109<br>LEI: 5493005QORQTZCZYOP39 | Long             | EC               | CORP              | US        |     35992 | NS      | $436942.88    | 0.42%             |  |  |  | No            |                  1 | On Loan: No      |
| Amicus Therapeutics Inc                                    | Amicus Therapeutics, Inc.                                  | CUSIP: 03152W109<br>LEI: 549300MRD1SMUTNBPQ53 | Long             | EC               | CORP              | US        |    136740 | NS      | $1357828.20   | 1.30%             |  |  |  | No            |                  1 | On Loan: No      |
| Galapagos Nv                                               | Galapagos NV                                               | CUSIP: 36315X101<br>LEI: 549300QKJ78IY0IOV655 | Long             | EC               | CORP              | BE        |     29514 | NS      | $924378.48    | 0.88%             |  |  |  | No            |                  1 | On Loan: —       |
| Apogee Therapeutics Inc                                    | Apogee Therapeutics, Inc.                                  | CUSIP: 03770N101<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     20762 | NS      | $1494241.14   | 1.43%             |  |  |  | No            |                  1 | On Loan: No      |
| Travere Therapeutics Inc                                   | Travere Therapeutics, Inc.                                 | CUSIP: 89422G107<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     43606 | NS      | $1544088.46   | 1.48%             |  |  |  | No            |                  1 | On Loan: —       |
| Olema Pharmaceuticals Inc                                  | Olema Pharmaceuticals, Inc.                                | CUSIP: 68062P106<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     30038 | NS      | $850676.16    | 0.81%             |  |  |  | No            |                  1 | On Loan: —       |
| Geron Corp                                                 | Geron Corp.                                                | CUSIP: 374163103<br>LEI: 549300T282D7Z2YESL90 | Long             | EC               | CORP              | US        |    279271 | NS      | $329539.78    | 0.32%             |  |  |  | No            |                  1 | On Loan: —       |
| Delcath Systems Inc                                        | Delcath Systems, Inc.                                      | CUSIP: 24661P807<br>LEI: 549300NVPLITUM6URT02 | Long             | EC               | CORP              | US        |     15563 | NS      | $150961.10    | 0.14%             |  |  |  | No            |                  1 | On Loan: —       |
| Xencor Inc                                                 | Xencor, Inc.                                               | CUSIP: 98401F105<br>LEI: 549300V5IF65437JKG30 | Long             | EC               | CORP              | US        |     31389 | NS      | $543657.48    | 0.52%             |  |  |  | No            |                  1 | On Loan: —       |
| Alkermes Plc                                               | Alkermes PLC                                               | CUSIP: G01767105<br>LEI: N/A                  | Long             | EC               | CORP              | IE        |     71953 | NS      | $2128369.74   | 2.03%             |  |  |  | No            |                  1 | On Loan: No      |
| Trevi Therapeutics Inc                                     | Trevi Therapeutics, Inc.                                   | CUSIP: 89532M101<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     53817 | NS      | $709846.23    | 0.68%             |  |  |  | No            |                  1 | On Loan: —       |
| Immatics Nv                                                | Immatics NV                                                | CUSIP: N44445109<br>LEI: 984500DC691EZ96AF394 | Long             | EC               | CORP              | NL        |     53445 | NS      | $571327.05    | 0.55%             |  |  |  | No            |                  1 | On Loan: —       |
| Dianthus Therapeutics Inc                                  | Dianthus Therapeutics, Inc.                                | CUSIP: 252828108<br>LEI: 549300Z3N6ODPCOFC890 | Long             | EC               | CORP              | US        |     14474 | NS      | $636566.52    | 0.61%             |  |  |  | No            |                  1 | On Loan: No      |
| Arcus Biosciences Inc                                      | Arcus Biosciences, Inc.                                    | CUSIP: 03969F109<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     48578 | NS      | $1267885.80   | 1.21%             |  |  |  | No            |                  1 | On Loan: —       |
| Autolus Therapeutics Plc                                   | Autolus Therapeutics PLC                                   | CUSIP: 05280R100<br>LEI: 549300C0KZP8EYROLL02 | Long             | EC               | CORP              | GB        |    114538 | NS      | $161498.58    | 0.15%             |  |  |  | No            |                  1 | On Loan: —       |
| Arcturus Therapeutics Holdings Inc                         | Arcturus Therapeutics Holdings, Inc.                       | CUSIP: 03969T109<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     11814 | NS      | $80217.06     | 0.08%             |  |  |  | No            |                  1 | On Loan: —       |
| Atea Pharmaceuticals Inc                                   | Atea Pharmaceuticals, Inc.                                 | CUSIP: 04683R106<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     32596 | NS      | $101047.60    | 0.10%             |  |  |  | No            |                  1 | On Loan: —       |
| Krystal Biotech Inc                                        | Krystal Biotech, Inc.                                      | CUSIP: 501147102<br>LEI: 549300YONUY68210OE41 | Long             | EC               | CORP              | US        |     12366 | NS      | $2695788.00   | 2.58%             |  |  |  | No            |                  1 | On Loan: —       |
| Regenxbio Inc                                              | REGENXBIO, Inc.                                            | CUSIP: 75901B107<br>LEI: 549300EOES47LATSET33 | Long             | EC               | CORP              | US        |     22838 | NS      | $305800.82    | 0.29%             |  |  |  | No            |                  1 | On Loan: —       |
| Xenon Pharmaceuticals Inc                                  | Xenon Pharmaceuticals, Inc.                                | CUSIP: 98420N105<br>LEI: 549300XV44Q9Z1MIPQ03 | Long             | EC               | CORP              | CA        |     34396 | NS      | $1538189.12   | 1.47%             |  |  |  | No            |                  1 | On Loan: No      |
| Theravance Biopharma Inc                                   | Theravance Biopharma, Inc.                                 | CUSIP: G8807B106<br>LEI: 5493007VTSXP4Z6MIW52 | Long             | EC               | CORP              | KY        |     22478 | NS      | $456303.40    | 0.44%             |  |  |  | No            |                  1 | On Loan: —       |
| Vericel Corp                                               | Vericel Corp.                                              | CUSIP: 92346J108<br>LEI: 54930076YM3PLTDR4B91 | Long             | EC               | CORP              | US        |     21069 | NS      | $848027.25    | 0.81%             |  |  |  | No            |                  1 | On Loan: No      |
| Erasca Inc                                                 | Erasca, Inc.                                               | CUSIP: 29479A108<br>LEI: N/A                  | Long             | EC               | CORP              | US        |    121752 | NS      | $385953.84    | 0.37%             |  |  |  | No            |                  1 | On Loan: —       |
| Annexon Inc                                                | Annexon, Inc.                                              | CUSIP: 03589W102<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     43983 | NS      | $197923.50    | 0.19%             |  |  |  | No            |                  1 | On Loan: No      |
| N/A                                                        | SECURITIES LENDING - GENERAL                               | CUSIP: N/A<br>LEI: N/A                        | Long             | STIV             | RF                | US        |         0 | NS      | $0.00         | 0.00%             |  |  |  | No            |                  1 | On Loan: No      |
| Structure Therapeutics Inc                                 | Structure Therapeutics, Inc.                               | CUSIP: 86366E106<br>LEI: N/A                  | Long             | EC               | CORP              | KY        |     25792 | NS      | $923611.52    | 0.88%             |  |  |  | No            |                  1 | On Loan: —       |
| N/A                                                        | Radius Health CVR                                          | CUSIP: N/A<br>LEI: N/A                        | N/A              | DE               | CORP              | US        |     28640 | NC      | $0.03         | 0.00%             |  |  |  | No            |                  3 | On Loan: No      |
| Denali Therapeutics Inc                                    | Denali Therapeutics, Inc.                                  | CUSIP: 24823R105<br>LEI: 549300ZTQ2HO18L3Q830 | Long             | EC               | CORP              | US        |     64726 | NS      | $1260215.22   | 1.20%             |  |  |  | No            |                  1 | On Loan: No      |
| Urogen Pharma Ltd                                          | UroGen Pharma, Ltd.                                        | CUSIP: M96088105<br>LEI: 549300C0YCX7CG2G5D50 | Long             | EC               | CORP              | IL        |     20632 | NS      | $594407.92    | 0.57%             |  |  |  | No            |                  1 | On Loan: —       |
| Ars Pharmaceuticals Inc                                    | ARS Pharmaceuticals, Inc.                                  | CUSIP: 82835W108<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     45490 | NS      | $433974.60    | 0.41%             |  |  |  | No            |                  1 | On Loan: —       |
| Acadia Pharmaceuticals Inc                                 | ACADIA Pharmaceuticals, Inc.                               | CUSIP: 004225108<br>LEI: 529900O3044NO0PEA039 | Long             | EC               | CORP              | US        |     74317 | NS      | $1860897.68   | 1.78%             |  |  |  | No            |                  1 | On Loan: No      |

### Signature

**Date Signed:** 2025-12-30

**Name of Applicant:** ALPS ETF TRUST

**Signature:** Erich Rettinger

**Name of Signer:** Erich Rettinger

**Title:** Treasurer