# EDGAR Filing Document

**Accession Number:** 0001058587
**File Stem:** 0001162044-23-000279
**Filing Date:** 2023-3
**Character Count:** 23986
**Document Hash:** baebe1dd5768a649cfd22ace8bce689e
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001162044-23-000279.hdr.sgml**: 20230301

**ACCESSION NUMBER**: 0001162044-23-000279

**CONFORMED SUBMISSION TYPE**: NPORT-P

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230301

**DATE AS OF CHANGE**: 20230301

**PERIOD START**: 20230930

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** UPRIGHT INVESTMENTS TRUST
- **CENTRAL INDEX KEY:** 0001058587
- **IRS NUMBER:** 223591153
- **FISCAL YEAR END:** 0930

**FILING VALUES:**
- **FORM TYPE:** NPORT-P
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-08723
- **FILM NUMBER:** 23692735

**BUSINESS ADDRESS:**
- **STREET 1:** 349 RIDGEDALE AVENUE
- **CITY:** EAST HANOVER
- **STATE:** NJ
- **ZIP:** 07936
- **BUSINESS PHONE:** 9735331818

**MAIL ADDRESS:**
- **STREET 1:** 349 RIDGEDALE AVENUE
- **CITY:** EAST HANOVER
- **STATE:** NJ
- **ZIP:** 07936

## Series and Classes Contracts Data

### Upright Growth & Income Fund (Series ID: S000057859)

| Class ID   | Class Name                   | Ticker Symbol   |
|:---|:---|:---|
| C000186850 | Upright Growth & Income Fund |  |

## Nport-Ex

NPORT-EX

**Upright Growth and Income Fund**

**Schedule of Investments**

**December 31, 2022** (unaudited)

---

| | | |
|:---|:---|:---|
| &nbsp;&nbsp;**Description** | &nbsp;&nbsp;**Quantity** | &nbsp;&nbsp;**Market Value** |
| &nbsp;&nbsp;**Equities** |  |  |
| &nbsp;&nbsp;**Aero Space 1.95%** |  |  |
| &nbsp;&nbsp;Direxion Daily Aerospace | &nbsp;&nbsp;1500 | &nbsp;&nbsp;$29865 |
| &nbsp;&nbsp;**AI Technology 0.59%** |  |  |
| &nbsp;&nbsp;Direxion Daily Robotics, Artificial Intelligence & Automation Index Bull 2X Shares | &nbsp;&nbsp;750 | &nbsp;&nbsp;9015 |
| &nbsp;&nbsp;**Consumer 0.99%** |  |  |
| &nbsp;&nbsp;Bed Bath & Beyond Inc. | &nbsp;&nbsp;1500 | &nbsp;&nbsp;3765 |
| &nbsp;&nbsp;Tapestry, Inc. | &nbsp;&nbsp;300 | &nbsp;&nbsp;11424 |
|  |  | &nbsp;&nbsp;$15189 |
| &nbsp;&nbsp;**Drug Manufacturer-other 10.50%** |  |  |
| &nbsp;&nbsp;AbbVie Inc. | &nbsp;&nbsp;600 | &nbsp;&nbsp;96966 |
| &nbsp;&nbsp;Teva Pharmaceutical Industries Limited\* ADR | &nbsp;&nbsp;7000 | &nbsp;&nbsp;63840 |
|  |  | &nbsp;&nbsp;$160806 |
| &nbsp;&nbsp;**Electrical Industry 0.68%** |  |  |
| &nbsp;&nbsp;General Electric Company | &nbsp;&nbsp;125 | &nbsp;&nbsp;10474 |
| &nbsp;&nbsp;**Electronic Equipment 6.63%** |  |  |
| &nbsp;&nbsp;Apple Inc. | &nbsp;&nbsp;400 | &nbsp;&nbsp;51972 |
| &nbsp;&nbsp;Plug Power Inc.\* | &nbsp;&nbsp;4000 | &nbsp;&nbsp;49480 |
|  |  | &nbsp;&nbsp;$101452 |
| &nbsp;&nbsp;**Exchange Traded Funds 5.55%** |  |  |
| &nbsp;&nbsp;Direxion Daily Dow Jones Internet Bull 3x Shares | &nbsp;&nbsp;9000 | &nbsp;&nbsp;51390 |
| &nbsp;&nbsp;Direxion Daily Semiconductor Bull 3x Shares | &nbsp;&nbsp;3000 | &nbsp;&nbsp;29010 |
| &nbsp;&nbsp;ProShares S&P 500 Dividend Aristocrats ETF | &nbsp;&nbsp;50 | &nbsp;&nbsp;4500 |
|  |  | &nbsp;&nbsp;$84900 |

---

---

| | | |
|:---|:---|:---|
| &nbsp;&nbsp;**Financial Services 12.48%** |  |  |
| &nbsp;&nbsp;Direxion Daily Financial Bull 3x Shares | &nbsp;&nbsp;1300 | &nbsp;&nbsp;95615 |
| &nbsp;&nbsp;Goldman Sachs Group Inc. | &nbsp;&nbsp;200 | &nbsp;&nbsp;68676 |
| &nbsp;&nbsp;JP Morgan Chase & Company | &nbsp;&nbsp;200 | &nbsp;&nbsp;26820 |
|  |  | &nbsp;&nbsp;$191111 |
| &nbsp;&nbsp;**Healthcare Services 1.83%** |  |  |
| &nbsp;&nbsp;CVS Health Corporation | &nbsp;&nbsp;300 | &nbsp;&nbsp;27957 |
| &nbsp;&nbsp;**IC Design 20.28%** |  |  |
| &nbsp;&nbsp;Himax Technologies, Inc. ADR | &nbsp;&nbsp;50000 | &nbsp;&nbsp;310500 |
| &nbsp;&nbsp;**Industrial General Business 2.09%** |  |  |
| &nbsp;&nbsp;Direxion Daily Industrials Bull 3x Shares | &nbsp;&nbsp;1000 | &nbsp;&nbsp;31960 |
| &nbsp;&nbsp;**Leisure 1.14%** |  |  |
| &nbsp;&nbsp;The Walt Disney Company | &nbsp;&nbsp;200 | &nbsp;&nbsp;17376 |
| &nbsp;&nbsp;**MID Cap 2.31%** |  |  |
| &nbsp;&nbsp;Direxion Daily Mid Cap Bull 3x ETF | &nbsp;&nbsp;1000 | &nbsp;&nbsp;35290 |
| &nbsp;&nbsp;**MSCI-ETF 1.28%** |  |  |
| &nbsp;&nbsp;Direxion Daily MSCI Real Estate Bull 3x Shares | &nbsp;&nbsp;2000 | &nbsp;&nbsp;19600 |
| &nbsp;&nbsp;**Oil 2.16%** |  |  |
| &nbsp;&nbsp;Exxon Mobil Corporation | &nbsp;&nbsp;300 | &nbsp;&nbsp;33090 |
| &nbsp;&nbsp;**Pharmaceutical 1.81%** |  |  |
| &nbsp;&nbsp;Direxion Daily Pharmaceutical & Medical Bull 3x Shares | &nbsp;&nbsp;1000 | &nbsp;&nbsp;8970 |
| &nbsp;&nbsp;Walgreens Boots Alliance, Inc. | &nbsp;&nbsp;500 | &nbsp;&nbsp;18680 |
|  |  | &nbsp;&nbsp;$27650 |
| &nbsp;&nbsp;**Semiconductor 25.32%** |  |  |
| &nbsp;&nbsp;ASE Technology Holding Company, Limited ADR | &nbsp;&nbsp;10000 | &nbsp;&nbsp;$62700 |
| &nbsp;&nbsp;Nvidia Corporation | &nbsp;&nbsp;600 | &nbsp;&nbsp;87684 |
| &nbsp;&nbsp;Silicon Motion Technology Corporation ADR | &nbsp;&nbsp;1500 | &nbsp;&nbsp;97485 |
| &nbsp;&nbsp;Taiwan Semiconductor Manufacturing Company Limited ADR | &nbsp;&nbsp;1000 | &nbsp;&nbsp;74490 |
| &nbsp;&nbsp;United Microelectronics Corporation ADR | &nbsp;&nbsp;10000 | &nbsp;&nbsp;65300 |

---

---

| | | |
|:---|:---|:---|
|  |  | &nbsp;&nbsp;387659 |
|  |  | &nbsp;&nbsp;$1493893 |
| &nbsp;&nbsp;**Short Term Investments 4.28%** |  |  |
| &nbsp;&nbsp;Fidelity Government Portfolio Class Institutional | &nbsp;&nbsp;43648 | &nbsp;&nbsp;$43648 |
| &nbsp;&nbsp;First American Treasury Obligation Fund Class Z | &nbsp;&nbsp;972 | &nbsp;&nbsp;972 |
| &nbsp;&nbsp;First American Government Obligation Fund Class Z | &nbsp;&nbsp;9123 | &nbsp;&nbsp;9123 |
| &nbsp;&nbsp;MSIL Fund Treasury Portfolio Institutional | &nbsp;&nbsp;2842 | &nbsp;&nbsp;2842 |
| &nbsp;&nbsp;MSIL Fund Government Portfolio Institutional | &nbsp;&nbsp;8882 | &nbsp;&nbsp;8882 |
|  |  | &nbsp;&nbsp;$65467 |
| &nbsp;&nbsp;**Total Investments** (Cost $1,531,401) **101.85%** |  | &nbsp;&nbsp;$1559360 |
| &nbsp;&nbsp;**Other Assets less Liabilities -1.85%** |  | &nbsp;&nbsp;$(28265) |
| &nbsp;&nbsp;**Net Assets 100%** |  | &nbsp;&nbsp;$1531095 |

---

\*Non income producing securities

ADR – American Depository Receipt

As of December 31, 2022, the gross unrealized appreciation for all securities totaled $374,141 and the gross unrealized depreciation for all securities totaled $346,182 for a net unrealized appreciation of $27,960 for tax purposes. The aggregate cost of securities including cash and money funds on December 31, 2022 was $1,535,031.

The following is a summary of significant accounting policies consistently followed by the Fund in the preparation of its financial statements. These policies are in conformity with generally accepted accounting principles in the United States of America ("GAAP").

In June 2009, the Financial Accounting Standards Board ("FASB") codified its standards and accounting principles for financial statements issued after September 15, 2009. The accompanying financial statements make reference to GAAP issued by the FASB as Accounting Standards CodificationTM ("ASC").

**Security Valuation**

Portfolio securities that are listed on national securities exchanges or the NASDAQ National Market System are valued at the last sale price as of 4:00 p.m. Eastern time, or in the absence of recorded sales, at the readily available closing bid price on such exchanges or such System. Unlisted securities that are not included in such System are valued at the quoted bid price in the over-the-counter-market. Securities and other assets for which market quotations are not readily available are valued at fair value as determined in good faith by the Advisor under procedures established by and under the general supervision and responsibility of the Fund's Board of Trustees.

**Fair Value Measurements**

As required by the fair value topic of the FASB Accounting Standards Codification, fair value is defined as the price that the Fund would receive to sell an asset or pay to transfer a liability in an orderly transaction between market participants at the measurement date.

 

ASC 820-10 establishes a three-tier framework for measuring fair value based upon a hierarchy of inputs. The three levels of inputs are:

Level 1 – Unadjusted quoted prices active in markets for identical investments.

Level 2 – Other significant observable inputs (including quoted prices for identical investments on an inactive market, prices for similar investments, interest rates, prepayment speeds, credit risk, yield curves, default risk and similar data.)

Level 3 – Significant unobservable inputs, representing the Fund's own assumptions about the assumptions a market participant would use in valuing the investment, and would be based upon the best available information.

The following table summarizes the inputs used to value the Fund's investments as of December 31, 2022:

---

| | |
|:---|:---|
| &nbsp;&nbsp;Level 1 | &nbsp;&nbsp;$1559360 |
| &nbsp;&nbsp;Level 2 | &nbsp;&nbsp;- |
| &nbsp;&nbsp;Level 3 | &nbsp;&nbsp;- |
| &nbsp;&nbsp;Total | &nbsp;&nbsp;$1559360 |

---

## Form NPORT-P: Monthly Portfolio Investments Report

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

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

- **a. Name of Registrant:** UPRIGHT INVESTMENTS TRUST

- **b. Investment Company Act file number:** 811-08723

- **c. CIK number of Registrant:** 0001058587

- **d. LEI of Registrant:** 5493003Z10LVEQKB4487

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

  - **Street Address 1:** 349 RIDGEDALE AVE.

  - **City:** EAST HANOVER

  - **State:** NJ

  - **Foreign country:** US

  - **Zip / Postal Code:** 07936

  - **Telephone number:** 973-533-1818

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

- **a. Name of Series:** Upright Growth & Income Fund

- **b. EDGAR series identifier (if any):** S000057859

- **c. LEI of Series:** 549300XCUWL1877S4Y31

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

- **a. Date of fiscal year-end:** 2023-09-30

- **b. Date as of which information is reported:** 2022-12-31

**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:** $69097.18

**Total Liabilities:** $31895.88

**Net Assets:** $37201.30

**Cash Not Reported:** $3629.61

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000186850 | -0.11%               | 0.17%                | 0.08%                |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $0.00                    | $-193507.00                                |
| Month 2  | $0.00                    | $250836.50                                 |
| Month 3  | $0.00                    | $113395.15                                 |

### 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   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| ASE Technology Holding Co. ADR        | ASE TECHNOLOGY                                                                     | CUSIP: Q0604U105<br>LEI: 300300GO8QHPMV87NZ73 | Long             | EC               | NUSS              | CN        |     10000 | NS      | $62700.00     | 0.04%             |  |  |  | No            |                  1 | On Loan: No      |
| ABBVIE INC                            | ABBVIE                                                                             | CUSIP: 00287Y109<br>LEI: FR5LCKFTG8054YNNRU85 | Long             | EC               | CORP              | US        |       600 | NS      | $96966.00     | 0.06%             |  |  |  | No            |                  1 | On Loan: No      |
| APPLE INC.                            | APPLE                                                                              | CUSIP: 037833100<br>LEI: HWUPKR0MPOU8FGXBT394 | Long             | EC               | CORP              | US        |       400 | NS      | $51972.00     | 0.03%             |  |  |  | No            |                  1 | On Loan: No      |
| BED BATH & BEYOND INC                 | BED BATH & BEYOND                                                                  | CUSIP: 075896100<br>LEI: 529900ZBUWWUV7BKGX39 | Long             | EC               | CORP              | US        |      1500 | NS      | $3765.00      | 0.00%             |  |  |  | No            |                  1 | On Loan: No      |
| CVS HEALTH CORP                       | CVS HEALTH                                                                         | CUSIP: 126650100<br>LEI: 549300EJG376EN5NQE29 | Long             | EC               | CORP              | US        |       300 | NS      | $27957.00     | 0.02%             |  |  |  | No            |                  1 | On Loan: No      |
| DIREXION SHARES ETF TRUST             | Direxion Daily Semiconductor Bull 3X Shares                                        | CUSIP: 25459W458<br>LEI: 549300CSAWUY4LTETA16 | Long             | EC               | RF                | US        |      3000 | NS      | $29010.00     | 0.02%             |  |  |  | No            |                  1 | On Loan: No      |
| DIREXION SHARES ETF TRUST             | Direxion Daily Mid Cap Bull 3X Shares                                              | CUSIP: 25459W730<br>LEI: B15Q6MX3OEO111P4BX96 | Long             | EC               | RF                | US        |      1000 | NS      | $35290.00     | 0.02%             |  |  |  | No            |                  1 | On Loan: No      |
| DIREXION SHARES ETF TRUST             | Direxion Daily MSCI Real Estate Bull 3X Shares                                     | CUSIP: 25459W755<br>LEI: P8BQAXSX9Q7HO4G7MO50 | Long             | EC               | RF                | US        |      2000 | NS      | $19600.00     | 0.01%             |  |  |  | No            |                  1 | On Loan: No      |
| DIREXION SHARES ETF TRUST             | Direxion Daily Financial Bull 3X Shares                                            | CUSIP: 25459Y694<br>LEI: K98KMGGYJD1W0EDCBP05 | Long             | EC               | RF                | US        |      1300 | NS      | $95615.00     | 0.06%             |  |  |  | No            |                  1 | On Loan: No      |
| DIREXION SHARES ETF TRUST             | Direxion Daily Dow Jones Internet Bull 3X Shares                                   | CUSIP: 25460E364<br>LEI: 549300XXKV22AN28JF38 | Long             | EC               | RF                | US        |      9000 | NS      | $51390.00     | 0.03%             |  |  |  | No            |                  1 | On Loan: No      |
| DIREXION SHARES ETF TRUST             | Direxion Daily Pharmaceutical & Medical Bull 3X Shares                             | CUSIP: 25460E646<br>LEI: 549300HLYIVQQ31NJC71 | Long             | EC               | RF                | US        |      1000 | NS      | $8970.00      | 0.01%             |  |  |  | No            |                  1 | On Loan: No      |
| DIREXION SHARES ETF TRUST             | Direxion Daily Aerospace & Defense Bull 3X Shares                                  | CUSIP: 25460E661<br>LEI: 549300VG68HYTVDG1738 | Long             | EC               | RF                | US        |      1500 | NS      | $29865.00     | 0.02%             |  |  |  | No            |                  1 | On Loan: No      |
| DIREXION SHARES ETF TRUST             | Direxion Daily Industrials Bull 3X Shares                                          | CUSIP: 25460E737<br>LEI: 549300DDEAR7S3PWSL31 | Long             | EC               | RF                | US        |      1000 | NS      | $31960.00     | 0.02%             |  |  |  | No            |                  1 | On Loan: No      |
| DIREXION SHARES ETF TRUST             | Direxion Daily Robotics, Artificial Intelligence & Automation Index Bull 3X Shares | CUSIP: 25460E513<br>LEI: 549300T7PQ41I2T80K11 | Long             | EC               | RF                | US        |       750 | NS      | $9015.00      | 0.01%             |  |  |  | No            |                  1 | On Loan: No      |
| WALT DISNEY CO THE                    | WALT DISNEY                                                                        | CUSIP: 254687106<br>LEI: 549300GZKULIZ0WOW665 | Long             | EC               | CORP              | US        |       200 | NS      | $17376.00     | 0.01%             |  |  |  | No            |                  1 | On Loan: No      |
| EXXON MOBIL CORP                      | EXXON MOBIL                                                                        | CUSIP: 30231G102<br>LEI: J3WHBG0MTS7O8ZVMDC91 | Long             | EC               | CORP              | US        |       300 | NS      | $33090.00     | 0.02%             |  |  |  | No            |                  1 | On Loan: No      |
| Fidelity Government Portfolio         | Fidelity Government Portfolio                                                      | CUSIP: 316175108<br>LEI: 549300SHPEJB1OPRCV46 | Long             | STIV             | RF                | US        |     43648 | NS      | $43648.08     | 0.03%             |  |  |  | No            |                  1 | On Loan: No      |
| FIRST AMERICAN FUNDS, INC             | FIRST AM TREASURY OBLIGATIONS FD CL Z                                              | CUSIP: 31846V542<br>LEI: 549300UU586IAH2B8H03 | Long             | STIV             | RF                | US        |       972 | NS      | $972.04       | 0.00%             |  |  |  | No            |                  1 | On Loan: No      |
| FIRST AMERICAN FUNDS, INC             | FIRST AM GOVT OBLIGATIONS FD CL Z                                                  | CUSIP: 31846V567<br>LEI: 549300R5MYM6VZF1RM44 | Long             | STIV             | RF                | US        |      9123 | NS      | $9123.44      | 0.01%             |  |  |  | No            |                  1 | On Loan: No      |
| GENERAL ELECTRIC CO                   | GENERAL ELECTRIC                                                                   | CUSIP: 369604103<br>LEI: 3C7474T6CDKPR9K6YT90 | Long             | EC               | CORP              | US        |       125 | NS      | $10473.75     | 0.01%             |  |  |  | No            |                  1 | On Loan: No      |
| GOLDMAN SACHS GROUP INC               | GOLDMAN SACHS GROUP                                                                | CUSIP: 38141G104<br>LEI: 784F5XWPLTWKTBV3E584 | Long             | EC               | CORP              | US        |       200 | NS      | $68676.00     | 0.04%             |  |  |  | No            |                  1 | On Loan: No      |
| HIMAX TECHNOLOGIES INC ADR            | HIMAX TECHNOLOGIES                                                                 | CUSIP: 43289P106<br>LEI: 529900Z6XWS79D8T1X09 | Long             | EC               | NUSS              | CN        |     50000 | NS      | $310500.00    | 0.20%             |  |  |  | No            |                  1 | On Loan: No      |
| J P MORGAN CHASE CO                   | J P MORGAN CHASE                                                                   | CUSIP: 46625H100<br>LEI: 8I5DZWZKVSZI1NUHU748 | Long             | EC               | CORP              | US        |       200 | NS      | $26820.00     | 0.02%             |  |  |  | No            |                  1 | On Loan: No      |
| MSIL FUND - TREASURY PORTFOLIO INST   | MSIL FUND - TREASURY PORTFOLIO INST                                                | CUSIP: 61747C582<br>LEI: 549300D1XR6GP7EZ0T47 | Long             | STIV             | RF                | US        |      2842 | NS      | $2841.99      | 0.00%             |  |  |  | No            |                  1 | On Loan: No      |
| MSIL FUND - GOVERNMENT PORTFOLIO INST | MSIL FUND - GOVERNMENT PORTFOLIO INST                                              | CUSIP: 61747C707<br>LEI: 5493000A332Y142SOW84 | Long             | STIV             | RF                | US        |      8882 | NS      | $8882.02      | 0.01%             |  |  |  | No            |                  1 | On Loan: No      |
| NVIDIA CORP                           | NVIDIA                                                                             | CUSIP: 67066G104<br>LEI: 549300S4KLFTLO7GSQ80 | Long             | EC               | CORP              | US        |       600 | NS      | $87684.00     | 0.06%             |  |  |  | No            |                  1 | On Loan: No      |
| PLUG POWER INC                        | PLUG POWER                                                                         | CUSIP: 72919P202<br>LEI: 549300JPDKRSJ8JSM954 | Long             | EC               | CORP              | US        |      4000 | NS      | $49480.00     | 0.03%             |  |  |  | No            |                  1 | On Loan: No      |
| PROSHARES TRUST                       | PROSHARES S&P 500 DIVIDEND ARISTOCRATS ETF                                         | CUSIP: 74348A467<br>LEI: 549300VFVCIPWC83R162 | Long             | EC               | RF                | US        |        50 | NS      | $4499.50      | 0.00%             |  |  |  | No            |                  1 | On Loan: No      |
| SILICON MOTION TECHNOLOGY CORP ADR    | SILICON MOTION TECHNOLOGY                                                          | CUSIP: 82706C108<br>LEI: 5299005RBVBZQJTYFC89 | Long             | EC               | NUSS              | CN        |      1500 | NS      | $97485.00     | 0.06%             |  |  |  | No            |                  1 | On Loan: No      |
| TAIWAN SEMICONDUCTOR MFG CO ADR       | TAIWAN SEMICONDUCTOR                                                               | CUSIP: 874039100<br>LEI: 549300KB6NK5SBD14S87 | Long             | EC               | NUSS              | CN        |      1000 | NS      | $74490.00     | 0.05%             |  |  |  | No            |                  1 | On Loan: No      |
| TAPESTRY INC                          | TAPESTRY                                                                           | CUSIP: 876030107<br>LEI: 549300LJNVY5SW3VTN33 | Long             | EC               | CORP              | US        |       300 | NS      | $11424.00     | 0.01%             |  |  |  | No            |                  1 | On Loan: No      |
| TEVA PHARMACEUTICAL INDS LTD ADR      | TEVA PHARMACEUTICAL INDS                                                           | CUSIP: 881624209<br>LEI: 549300BAFGM4RC74ZJ94 | Long             | EC               | NUSS              | IL        |      7000 | NS      | $63840.00     | 0.04%             |  |  |  | No            |                  1 | On Loan: No      |
| UNITED MICROELECTRONICS CORP ADR      | United Microelectronics Corporation                                                | CUSIP: Y92370108<br>LEI: 391200YJCAGH9LF96P73 | Long             | EC               | NUSS              | CN        |     10000 | NS      | $65300.00     | 0.04%             |  |  |  | No            |                  1 | On Loan: No      |
| WALGREENS BOOTS ALLIANCE INC          | WALGREENS BOOTS ALLIANCE                                                           | CUSIP: 931427108<br>LEI: 549300RPTUOIXG4LIH86 | Long             | EC               | CORP              | US        |       500 | NS      | $18680.00     | 0.01%             |  |  |  | No            |                  1 | On Loan: No      |

### Signature

**Date Signed:** 2023-02-28

**Name of Applicant:** YOW-SHANG-CHIUEH

**Signature:** /s/ YOW-SHANG-CHIUEH

**Name of Signer:** YOW-SHANG-CHIUEH

**Title:** President