# EDGAR Filing Document

**Accession Number:** 0001426439
**File Stem:** 0001752724-23-069727
**Filing Date:** 2023-3
**Character Count:** 24716
**Document Hash:** c9c5599abb84050c19499fa064435883
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001752724-23-069727.hdr.sgml**: 20230328

**ACCESSION NUMBER**: 0001752724-23-069727

**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:** 23767963

**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 Large Cap Growth ETF (Series ID: S000075560)

| Class ID   | Class Name                      | Ticker Symbol   |
|:---|:---|:---|
| C000234758 | IQ Winslow Large Cap Growth ETF | IWLG            |

## Nport-Ex

Schedule of Investments — IQ Winslow Large Cap Growth ETF

January 31, 2023 (unaudited)

---

| | | |
|:---|:---|:---|
|  | **Shares** | **Value** |
| **Common Stocks — 99.4%** | **Common Stocks — 99.4%** | |
| **Communication Services — 4.3%** |  |  |
| Alphabet, Inc., Class A<sup>\*</sup> | 3852 | $380732 |
| Alphabet, Inc., Class C<sup>\*</sup> | 3495 | 349045 |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Total Communication Services |  | 729777 |
| **Consumer Discretionary — 12.6%** |  |  |
| Chipotle Mexican Grill, Inc.<sup>\*</sup> | 321 | 528488 |
| Dollar Tree, Inc.<sup>\*</sup> | 2410 | 361934 |
| Hilton Worldwide Holdings, Inc. | 2846 | 412926 |
| Lululemon Athletica, Inc.<sup>\*</sup> | 1125 | 345240 |
| Starbucks Corp. | 2996 | 326983 |
| Tesla, Inc.<sup>\*</sup> | 930 | 161095 |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Total Consumer Discretionary |  | 2136666 |
| **Consumer Staples — 4.3%** |  |  |
| Costco Wholesale Corp. | 988 | 505006 |
| Estee Lauder Cos., Inc. (The), Class A | 812 | 224989 |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Total Consumer Staples |  | 729995 |
| **Energy — 2.0%** |  |  |
| Schlumberger Ltd. | 5932 | 338005 |
| **Financials — 3.0%** |  |  |
| Moody's Corp. | 833 | 268851 |
| MSCI, Inc. | 455 | 241860 |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Total Financials |  | 510711 |
| **Health Care — 19.9%** |  |  |
| Agilent Technologies, Inc. | 2017 | 306745 |
| AstraZeneca PLC | 3698 | 241738 |
| Danaher Corp. | 1257 | 332326 |
| IDEXX Laboratories, Inc.<sup>\*</sup> | 595 | 285898 |
| Intuitive Surgical, Inc.<sup>\*</sup> | 2142 | 526268 |
| IQVIA Holdings, Inc.<sup>\*</sup> | 1356 | 311080 |
| UnitedHealth Group, Inc. | 1396 | 696869 |
| Veeva Systems, Inc., Class A<sup>\*</sup> | 2262 | 385784 |
| Zoetis, Inc. | 1651 | 273224 |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Total Health Care |  | 3359932 |
| **Industrials — 6.8%** |  |  |
| CoStar Group, Inc.<sup>\*</sup> | 1715 | 133598 |
| CSX Corp. | 7842 | 242475 |
| Deere & Co. | 840 | 355186 |
| Union Pacific Corp. | 2033 | 415118 |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Total Industrials |  | 1146377 |
| **Information Technology — 43.1%** |  |  |
| Accenture PLC, Class A | 585 | 163244 |
| Adobe, Inc.<sup>\*</sup> | 399 | 147766 |
| Analog Devices, Inc. | 2783 | 477201 |
| Apple, Inc. | 6468 | 933268 |
| ASML Holding NV | 685 | 452675 |
| Gartner, Inc.<sup>\*</sup> | 823 | 278289 |
| Intuit, Inc. | 1264 | 534255 |
| Lam Research Corp. | 751 | 375575 |
| Mastercard, Inc., Class A | 1836 | 680422 |
| Microsoft Corp. | 4385 | 1086647 |
| NVIDIA Corp. | 2160 | 421999 |
| Palo Alto Networks, Inc.<sup>\*</sup> | 2324 | 368679 |
| ServiceNow, Inc.<sup>\*</sup> | 1337 | 608509 |
| Visa, Inc., Class A<sup>(a)</sup> | 3294 | 758312 |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Total Information Technology |  | 7286841 |
| **Materials — 3.4%** |  |  |
| Air Products and Chemicals, Inc. | 529 | 169550 |
| Linde PLC | 1195 | 395473 |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Total Materials |  | 565023 |
| **Total Common Stocks** |  |  |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**(Cost $15,822,436)** |  | **16803327** |
| **Short-Term Investment — 0.8%** |  |  |
| **Money Market Fund — 0.8%** |  |  |
| Dreyfus Institutional Preferred Government Money Market Fund, Institutional Shares, 4.30%<sup>(b)</sup> |  |  |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**(Cost $135,950)** | 135950 | **135950** |
| **Total Investments — 100.2%** |  |  |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**(Cost $15,958,386)** |  | **16939277** |
| **Other Assets and Liabilities, Net — (0.2)%** |  | **(27998**) |
| **Net Assets — 100.0%** |  | $**16911279** |

---

\* 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 $566,086; total market value of collateral held consisted of non-cash U.S. Treasury securities collateral having a value of $574,632.

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

Schedule of Investments — IQ Winslow 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.

---

| | | | | |
|:---|:---|:---|:---|:---|
| **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 | $16803327 | $– | $– | $16803327 |
| Short-Term Investment: |  |  |  |  |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Money Market Fund | 135950 | – | – | 135950 |
| Total Investments in Securities | $16939277 | $– | $– | $16939277 |

---

(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 Large Cap Growth ETF

- **b. EDGAR series identifier (if any):** S000075560

- **c. LEI of Series:** 5493003N1JWBCY2HCE61

**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:** $16962335.90

**Total Liabilities:** $50532.68

**Net Assets:** $16911803.22

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000234758 | 7.52%                | -7.05%               | 7.24%                |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $97424.13                | $869958.13                                 |
| Month 2  | $-51561.36               | $-968712.05                                |
| Month 3  | $-74335.92               | $1111197.40                                |

### 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   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| MSCI Inc                                                     | MSCI Inc                                                     | CUSIP: 55354G100<br>LEI: 549300HTIN2PD78UB763 | Long             | EC               | CORP              | US        |       455 | NS      | $241859.80    | 1.43%             |  |  |  | No            |                  1 | On Loan: No      |
| Estee Lauder Cos Inc/The                                     | Estee Lauder Cos Inc/The                                     | CUSIP: 518439104<br>LEI: 549300VFZ8XJ9NUPU221 | Long             | EC               | CORP              | US        |       812 | NS      | $224988.96    | 1.33%             |  |  |  | No            |                  1 | On Loan: No      |
| Costco Wholesale Corp                                        | Costco Wholesale Corp                                        | CUSIP: 22160K105<br>LEI: 29DX7H14B9S6O3FD6V18 | Long             | EC               | CORP              | US        |       988 | NS      | $505006.32    | 2.99%             |  |  |  | No            |                  1 | On Loan: No      |
| Intuitive Surgical Inc                                       | Intuitive Surgical Inc                                       | CUSIP: 46120E602<br>LEI: 54930052SRG011710797 | Long             | EC               | CORP              | US        |      2142 | NS      | $526267.98    | 3.11%             |  |  |  | No            |                  1 | On Loan: No      |
| IQVIA Holdings Inc                                           | IQVIA Holdings Inc                                           | CUSIP: 46266C105<br>LEI: 549300W3R20NM4KQPH86 | Long             | EC               | CORP              | US        |      1356 | NS      | $311079.96    | 1.84%             |  |  |  | No            |                  1 | On Loan: No      |
| Mastercard Inc                                               | Mastercard Inc                                               | CUSIP: 57636Q104<br>LEI: AR5L2ODV9HN37376R084 | Long             | EC               | CORP              | US        |      1836 | NS      | $680421.60    | 4.02%             |  |  |  | No            |                  1 | On Loan: No      |
| Hilton Worldwide Holdings Inc                                | Hilton Worldwide Holdings Inc                                | CUSIP: 43300A203<br>LEI: 549300HVGPK36ICB0B89 | Long             | EC               | CORP              | US        |      2606 | NS      | $378104.54    | 2.24%             |  |  |  | No            |                  1 | On Loan: No      |
| Union Pacific Corp                                           | Union Pacific Corp                                           | CUSIP: 907818108<br>LEI: 549300LMMRSZZCZ8CL11 | Long             | EC               | CORP              | US        |      2033 | NS      | $415118.27    | 2.45%             |  |  |  | No            |                  1 | On Loan: No      |
| IDEXX Laboratories Inc                                       | IDEXX Laboratories Inc                                       | CUSIP: 45168D104<br>LEI: OGMTXK0LUU1HKV2P0J84 | Long             | EC               | CORP              | US        |       595 | NS      | $285897.50    | 1.69%             |  |  |  | No            |                  1 | On Loan: No      |
| CSX Corp                                                     | CSX Corp                                                     | CUSIP: 126408103<br>LEI: 549300JVQR4N1MMP3Q88 | Long             | EC               | CORP              | US        |      7842 | NS      | $242474.64    | 1.43%             |  |  |  | No            |                  1 | On Loan: No      |
| Visa Inc                                                     | Visa Inc                                                     | CUSIP: 92826C839<br>LEI: 549300JZ4OKEHW3DPJ59 | Long             | EC               | CORP              | US        |      3294 | NS      | $758311.74    | 4.48%             |  |  |  | No            |                  1 | On Loan: —       |
| NVIDIA Corp                                                  | NVIDIA Corp                                                  | CUSIP: 67066G104<br>LEI: 549300S4KLFTLO7GSQ80 | Long             | EC               | CORP              | US        |      2160 | NS      | $421999.20    | 2.50%             |  |  |  | No            |                  1 | On Loan: No      |
| Moody's Corp                                                 | Moody's Corp                                                 | CUSIP: 615369105<br>LEI: 549300GCEDD8YCF5WU84 | Long             | EC               | CORP              | US        |       833 | NS      | $268850.75    | 1.59%             |  |  |  | No            |                  1 | On Loan: No      |
| Dollar Tree Inc                                              | Dollar Tree Inc                                              | CUSIP: 256746108<br>LEI: 549300PMSTQITB1WHR43 | Long             | EC               | CORP              | US        |      2410 | NS      | $361933.80    | 2.14%             |  |  |  | No            |                  1 | On Loan: No      |
| CoStar Group Inc                                             | CoStar Group Inc                                             | CUSIP: 22160N109<br>LEI: N/A                  | Long             | EC               | CORP              | US        |      1715 | NS      | $133598.50    | 0.79%             |  |  |  | No            |                  1 | On Loan: No      |
| Intuit Inc                                                   | Intuit Inc                                                   | CUSIP: 461202103<br>LEI: VI90HBPH7XSFMB9E4M29 | Long             | EC               | CORP              | US        |      1264 | NS      | $534254.88    | 3.16%             |  |  |  | No            |                  1 | On Loan: No      |
| Lam Research Corp                                            | Lam Research Corp                                            | CUSIP: 512807108<br>LEI: 549300I4GMO6D34U1T02 | Long             | EC               | CORP              | US        |       751 | NS      | $375575.10    | 2.22%             |  |  |  | No            |                  1 | On Loan: No      |
| Veeva Systems Inc                                            | Veeva Systems Inc                                            | CUSIP: 922475108<br>LEI: 549300YZEXPDB92M2F02 | Long             | EC               | CORP              | US        |      2262 | NS      | $385784.10    | 2.28%             |  |  |  | No            |                  1 | On Loan: No      |
| Accenture PLC                                                | Accenture PLC                                                | CUSIP: 000000000<br>LEI: N/A                  | Long             | EC               | CORP              | IE        |       585 | NS      | $163244.25    | 0.97%             |  |  |  | No            |                  1 | On Loan: No      |
| Palo Alto Networks Inc                                       | Palo Alto Networks Inc                                       | CUSIP: 697435105<br>LEI: 549300QXR2YVZV231H43 | Long             | EC               | CORP              | US        |      2324 | NS      | $368679.36    | 2.18%             |  |  |  | No            |                  1 | On Loan: No      |
| ASML Holding NV                                              | ASML Holding NV                                              | CUSIP: 000000000<br>LEI: 724500Y6DUVHQD6OXN27 | Long             | EC               | CORP              | NL        |       685 | NS      | $452675.40    | 2.68%             |  |  |  | No            |                  1 | On Loan: No      |
| Air Products and Chemicals Inc                               | Air Products and Chemicals Inc                               | CUSIP: 009158106<br>LEI: 7QEON6Y1RL5XR3R1W237 | Long             | EC               | CORP              | US        |       529 | NS      | $169549.79    | 1.00%             |  |  |  | No            |                  1 | On Loan: No      |
| Agilent Technologies Inc                                     | Agilent Technologies Inc                                     | CUSIP: 00846U101<br>LEI: QUIX8Y7A2WP0XRMW7G29 | Long             | EC               | CORP              | US        |      2017 | NS      | $306745.36    | 1.81%             |  |  |  | No            |                  1 | On Loan: No      |
| Starbucks Corp                                               | Starbucks Corp                                               | CUSIP: 855244109<br>LEI: OQSJ1DU9TAOC51A47K68 | Long             | EC               | CORP              | US        |      2996 | NS      | $326983.44    | 1.93%             |  |  |  | No            |                  1 | On Loan: No      |
| Lululemon Athletica Inc                                      | Lululemon Athletica Inc                                      | CUSIP: 550021109<br>LEI: 549300D9GZ4BMLDW5T40 | Long             | EC               | CORP              | CA        |      1125 | NS      | $345240.00    | 2.04%             |  |  |  | No            |                  1 | On Loan: No      |
| Apple Inc                                                    | Apple Inc                                                    | CUSIP: 037833100<br>LEI: HWUPKR0MPOU8FGXBT394 | Long             | EC               | CORP              | US        |      6468 | NS      | $933267.72    | 5.52%             |  |  |  | No            |                  1 | On Loan: No      |
| Zoetis Inc                                                   | Zoetis Inc                                                   | CUSIP: 98978V103<br>LEI: 549300HD9Q1LOC9KLJ48 | Long             | EC               | CORP              | US        |      1951 | NS      | $322870.99    | 1.91%             |  |  |  | No            |                  1 | On Loan: No      |
| Adobe Inc                                                    | Adobe Inc                                                    | CUSIP: 00724F101<br>LEI: FU4LY2G4933NH2E1CP29 | Long             | EC               | CORP              | US        |       399 | NS      | $147765.66    | 0.87%             |  |  |  | No            |                  1 | On Loan: No      |
| ServiceNow Inc                                               | ServiceNow Inc                                               | CUSIP: 81762P102<br>LEI: 549300HJTQM36M0E1G39 | Long             | EC               | CORP              | US        |      1337 | NS      | $608508.81    | 3.60%             |  |  |  | No            |                  1 | On Loan: No      |
| AstraZeneca PLC                                              | AstraZeneca PLC                                              | CUSIP: 046353108<br>LEI: PY6ZZQWO2IZFZC3IOL08 | Long             | EC               | CORP              | GB        |      3698 | NS      | $241738.26    | 1.43%             |  |  |  | No            |                  1 | On Loan: No      |
| Alphabet Inc                                                 | Alphabet Inc                                                 | CUSIP: 02079K107<br>LEI: 5493006MHB84DD0ZWV18 | Long             | EC               | CORP              | US        |      3495 | NS      | $349045.65    | 2.06%             |  |  |  | No            |                  1 | On Loan: No      |
| Deere & Co                                                   | Deere & Co                                                   | CUSIP: 244199105<br>LEI: PWFTNG3EI0Y73OXWDH08 | Long             | EC               | CORP              | US        |       840 | NS      | $355185.60    | 2.10%             |  |  |  | No            |                  1 | On Loan: No      |
| Gartner Inc                                                  | Gartner Inc                                                  | CUSIP: 366651107<br>LEI: PP55B5R38BFB8O8HH686 | Long             | EC               | CORP              | US        |       823 | NS      | $278289.22    | 1.65%             |  |  |  | No            |                  1 | On Loan: No      |
| Danaher Corp                                                 | Danaher Corp                                                 | CUSIP: 235851102<br>LEI: S4BKK9OTCEWQ3YHPFM11 | Long             | EC               | CORP              | US        |      1257 | NS      | $332325.66    | 1.97%             |  |  |  | No            |                  1 | On Loan: No      |
| Linde PLC                                                    | Linde PLC                                                    | CUSIP: 000000000<br>LEI: 8945002PAZHZLBGKGF02 | Long             | EC               | CORP              | GB        |      1195 | NS      | $395473.30    | 2.34%             |  |  |  | No            |                  1 | On Loan: No      |
| Analog Devices Inc                                           | Analog Devices Inc                                           | CUSIP: 032654105<br>LEI: GYVOE5EZ4GDAVTU4CQ61 | Long             | EC               | CORP              | US        |      2763 | NS      | $473771.61    | 2.80%             |  |  |  | No            |                  1 | On Loan: No      |
| Tesla Inc                                                    | Tesla Inc                                                    | CUSIP: 88160R101<br>LEI: 54930043XZGB27CTOV49 | Long             | EC               | CORP              | US        |       930 | NS      | $161094.60    | 0.95%             |  |  |  | No            |                  1 | On Loan: No      |
| Schlumberger Ltd                                             | Schlumberger Ltd                                             | CUSIP: 806857108<br>LEI: 213800ZUA17OK3QLGM62 | Long             | EC               | CORP              | US        |      5932 | NS      | $338005.36    | 2.00%             |  |  |  | No            |                  1 | On Loan: No      |
| Microsoft Corp                                               | Microsoft Corp                                               | CUSIP: 594918104<br>LEI: INR2EJN1ERAN0W5ZP974 | Long             | EC               | CORP              | US        |      4385 | NS      | $1086646.85   | 6.43%             |  |  |  | No            |                  1 | On Loan: No      |
| Chipotle Mexican Grill Inc                                   | Chipotle Mexican Grill Inc                                   | CUSIP: 169656105<br>LEI: N/A                  | Long             | EC               | CORP              | US        |       321 | NS      | $528487.98    | 3.12%             |  |  |  | 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        |    135950 | NS      | $135950.44    | 0.80%             |  |  |  | No            |                  1 | On Loan: No      |
| UnitedHealth Group Inc                                       | UnitedHealth Group Inc                                       | CUSIP: 91324P102<br>LEI: 549300GHBMY8T5GXDE41 | Long             | EC               | CORP              | US        |      1396 | NS      | $696869.24    | 4.12%             |  |  |  | No            |                  1 | On Loan: No      |
| Alphabet Inc                                                 | Alphabet Inc                                                 | CUSIP: 02079K305<br>LEI: 5493006MHB84DD0ZWV18 | Long             | EC               | CORP              | US        |      3852 | NS      | $380731.68    | 2.25%             |  |  |  | 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