# EDGAR Filing Document

**Accession Number:** 0001414040
**File Stem:** 0001752724-23-017583
**Filing Date:** 2023-1
**Character Count:** 55976
**Document Hash:** a9da9546700bd44b32b144a2c89dcd3b
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001752724-23-017583.hdr.sgml**: 20230130

**ACCESSION NUMBER**: 0001752724-23-017583

**CONFORMED SUBMISSION TYPE**: NPORT-P

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221130

**FILED AS OF DATE**: 20230130

**DATE AS OF CHANGE**: 20230130

**PERIOD START**: 20221130

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ALPS ETF Trust
- **CENTRAL INDEX KEY:** 0001414040
- **IRS NUMBER:** 000000000
- **FISCAL YEAR END:** 1130

**FILING VALUES:**
- **FORM TYPE:** NPORT-P
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-22175
- **FILM NUMBER:** 23565966

**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:** 2022-11-30

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

**Item A.4. Final filing**

Does the Fund anticipate that this will be its final filing on Form N-PORT? **No**

### Fund Information

**Total Assets:** $112703941.12

**Total Liabilities:** $42478.73

**Net Assets:** $112661462.39

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000150206 | -5.02%               | 1.99%                | 1.92%                |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $-988881.03              | $-4345194.42                               |
| Month 2  | $2672184.80              | $-658703.94                                |
| Month 3  | $-9341.33                | $1875868.17                                |

### 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        |     31030 | NS      | $245447.30    | 0.22%             |  |  |  | No            |                  1 | On Loan: No      |
| Immunocore Holdings Plc                                    | Immunocore Holdings PLC                                                     | CUSIP: 45258D105<br>LEI: 213800IUE3DFS84BVN18 | Long             | EC               | CORP              | GB        |     27727 | NS      | $1741532.87   | 1.55%             |  |  |  | No            |                  1 | On Loan: No      |
| Novavax Inc                                                | Novavax, Inc.                                                               | CUSIP: 670002401<br>LEI: 529900J4GJHPEPQ23205 | Long             | EC               | CORP              | US        |     49441 | NS      | $815282.09    | 0.72%             |  |  |  | No            |                  1 | On Loan: —       |
| Rigel Pharmaceuticals Inc                                  | Rigel Pharmaceuticals, Inc.                                                 | CUSIP: 766559603<br>LEI: 529900KPTNUS5J8K9K66 | Long             | EC               | CORP              | US        |    109240 | NS      | $73365.58     | 0.07%             |  |  |  | No            |                  1 | On Loan: No      |
| Agenus Inc                                                 | Agenus, Inc.                                                                | CUSIP: 00847G705<br>LEI: 529900NDQQGU5H4UJK81 | Long             | EC               | CORP              | US        |    178975 | NS      | $483232.50    | 0.43%             |  |  |  | No            |                  1 | On Loan: —       |
| Altimmune Inc                                              | Altimmune, Inc.                                                             | CUSIP: 02155H200<br>LEI: 549300EOYCQ8SW3NVE64 | Long             | EC               | CORP              | US        |     30984 | NS      | $308290.80    | 0.27%             |  |  |  | No            |                  1 | On Loan: No      |
| Icosavax Inc                                               | Icosavax, Inc.                                                              | CUSIP: 45114M109<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     25206 | NS      | $84188.04     | 0.07%             |  |  |  | No            |                  1 | On Loan: —       |
| Aurinia Pharmaceuticals Inc                                | Aurinia Pharmaceuticals, Inc.                                               | CUSIP: 05156V102<br>LEI: 5299008YP2BW4570ML28 | Long             | EC               | CORP              | CA        |     89679 | NS      | $460053.27    | 0.41%             |  |  |  | No            |                  1 | On Loan: No      |
| Viridian Therapeutics Inc                                  | Viridian Therapeutics, Inc.                                                 | CUSIP: 92790C104<br>LEI: 549300C775BNYF550E70 | Long             | EC               | CORP              | US        |     24127 | NS      | $609689.29    | 0.54%             |  |  |  | No            |                  1 | On Loan: No      |
| Celldex Therapeutics Inc                                   | Celldex Therapeutics, Inc.                                                  | CUSIP: 15117B202<br>LEI: 529900F018DMYWH38923 | Long             | EC               | CORP              | US        |     29553 | NS      | $1096120.77   | 0.97%             |  |  |  | No            |                  1 | On Loan: No      |
| Instil Bio Inc                                             | Instil Bio, Inc.                                                            | CUSIP: 45783C101<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     81978 | NS      | $109030.74    | 0.10%             |  |  |  | No            |                  1 | On Loan: —       |
| Agios Pharmaceuticals Inc                                  | Agios Pharmaceuticals, Inc.                                                 | CUSIP: 00847X104<br>LEI: 529900ONJHY8EOGYT555 | Long             | EC               | CORP              | US        |     34648 | NS      | $1044290.72   | 0.93%             |  |  |  | No            |                  1 | On Loan: No      |
| Cerevel Therapeutics Holdings Inc                          | Cerevel Therapeutics Holdings, Inc.                                         | CUSIP: 15678U128<br>LEI: 254900RJNIRS9COSQR41 | Long             | EC               | CORP              | KY        |     98442 | NS      | $2850880.32   | 2.53%             |  |  |  | No            |                  1 | On Loan: —       |
| Immunovant Inc                                             | Immunovant, Inc.                                                            | CUSIP: 45258J102<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     73683 | NS      | $965984.13    | 0.86%             |  |  |  | No            |                  1 | On Loan: No      |
| Lianbio                                                    | LianBio                                                                     | CUSIP: 53000N108<br>LEI: N/A                  | Long             | EC               | CORP              | CN        |     67688 | NS      | $106270.16    | 0.09%             |  |  |  | No            |                  1 | On Loan: —       |
| Anaptysbio Inc                                             | AnaptysBio, Inc.                                                            | CUSIP: 032724106<br>LEI: 529900HH4WQT03IG1A12 | Long             | EC               | CORP              | US        |     17846 | NS      | $493084.98    | 0.44%             |  |  |  | No            |                  1 | On Loan: —       |
| Cogent Biosciences Inc                                     | Cogent Biosciences, Inc.                                                    | CUSIP: 19240Q201<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     41563 | NS      | $522862.54    | 0.46%             |  |  |  | No            |                  1 | On Loan: No      |
| Mimedx Group Inc                                           | MiMedx Group, Inc.                                                          | CUSIP: 602496101<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     71804 | NS      | $233363.00    | 0.21%             |  |  |  | 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      |
| Amarin Corp Plc                                            | Amarin Corp. PLC                                                            | CUSIP: 023111206<br>LEI: 5493009JFIGUFEVPK217 | Long             | EC               | CORP              | GB        |    254724 | NS      | $292932.60    | 0.26%             |  |  |  | No            |                  1 | On Loan: —       |
| Crispr Therapeutics Ag                                     | CRISPR Therapeutics AG                                                      | CUSIP: H17182108<br>LEI: 506700O6IRRIQLT3W370 | Long             | EC               | CORP              | CH        |     49311 | NS      | $2701749.69   | 2.40%             |  |  |  | No            |                  1 | On Loan: —       |
| Iteos Therapeutics Inc                                     | iTeos Therapeutics, Inc.                                                    | CUSIP: 46565G104<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     22483 | NS      | $453032.45    | 0.40%             |  |  |  | No            |                  1 | On Loan: No      |
| Day One Biopharmaceuticals Inc                             | Day One Biopharmaceuticals, Inc.                                            | CUSIP: 23954D109<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     46434 | NS      | $985793.82    | 0.88%             |  |  |  | No            |                  1 | On Loan: No      |
| Ideaya Biosciences Inc                                     | Ideaya Biosciences, Inc.                                                    | CUSIP: 45166A102<br>LEI: 549300ULW08F62IJML11 | Long             | EC               | CORP              | US        |     24848 | NS      | $444282.24    | 0.39%             |  |  |  | No            |                  1 | On Loan: No      |
| Prothena Corp Plc                                          | Prothena Corp. PLC                                                          | CUSIP: G72800108<br>LEI: 5299009ZXQ8NIIJ8OL30 | Long             | EC               | CORP              | IE        |     29658 | NS      | $1853921.58   | 1.65%             |  |  |  | No            |                  1 | On Loan: No      |
| Karuna Therapeutics Inc                                    | Karuna Therapeutics, Inc.                                                   | CUSIP: 48576A100<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     21137 | NS      | $4973747.47   | 4.41%             |  |  |  | No            |                  1 | On Loan: No      |
| Omniab Inc/old                                             | Omniab, Inc./old                                                            | CUSIP: 68218J301<br>LEI: N/A                  | Long             | EC               | CORP              | US        |      3653 | NS      | $0.00         | 0.00%             |  |  |  | No            |                  3 | On Loan: No      |
| Ascendis Pharma A/s                                        | Ascendis Pharma A/S                                                         | CUSIP: 04351P101<br>LEI: 549300B66JN3W3J8GH73 | Long             | EC               | CORP              | DK        |     35271 | NS      | $4340449.26   | 3.85%             |  |  |  | No            |                  1 | On Loan: No      |
| Moonlake Immunotherapeutics                                | MoonLake Immunotherapeutics                                                 | CUSIP: 61559X104<br>LEI: N/A                  | Long             | EC               | CORP              | KY        |     23335 | NS      | $224716.05    | 0.20%             |  |  |  | No            |                  1 | On Loan: No      |
| Bicycle Therapeutics Plc                                   | Bicycle Therapeutics PLC                                                    | CUSIP: 088786108<br>LEI: 213800XKUI6R7GKC3E43 | Long             | EC               | CORP              | GB        |     18751 | NS      | $543028.96    | 0.48%             |  |  |  | No            |                  1 | On Loan: —       |
| Adaptimmune Therapeutics Plc                               | Adaptimmune Therapeutics PLC                                                | CUSIP: 00653A107<br>LEI: 549300UUNWK8TRT5EW12 | Long             | EC               | CORP              | GB        |    102308 | NS      | $222008.36    | 0.20%             |  |  |  | No            |                  1 | On Loan: —       |
| Arbutus Biopharma Corp                                     | Arbutus Biopharma Corp.                                                     | CUSIP: 03879J100<br>LEI: 25490064CESONAUIAS23 | Long             | EC               | CORP              | CA        |     94781 | NS      | $222735.35    | 0.20%             |  |  |  | No            |                  1 | On Loan: —       |
| Vaxcyte Inc                                                | Vaxcyte, Inc.                                                               | CUSIP: 92243G108<br>LEI: 254900M7NMHTGASX8D95 | Long             | EC               | CORP              | US        |     37495 | NS      | $1727019.70   | 1.53%             |  |  |  | No            |                  1 | On Loan: No      |
| Intellia Therapeutics Inc                                  | Intellia Therapeutics, Inc.                                                 | CUSIP: 45826J105<br>LEI: 5493002T5BCPE5DZC723 | Long             | EC               | CORP              | US        |     48043 | NS      | $2472292.78   | 2.19%             |  |  |  | No            |                  1 | On Loan: No      |
| Zai Lab Ltd                                                | Zai Lab, Ltd.                                                               | CUSIP: 98887Q104<br>LEI: 549300P2UYQ9U5LY1T58 | Long             | EC               | CORP              | KY        |     65322 | NS      | $2518816.32   | 2.24%             |  |  |  | No            |                  1 | On Loan: No      |
| Rallybio Corp                                              | Rallybio Corp.                                                              | CUSIP: 75120L100<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     20309 | NS      | $116979.84    | 0.10%             |  |  |  | No            |                  1 | On Loan: No      |
| Ironwood Pharmaceuticals Inc                               | Ironwood Pharmaceuticals, Inc.                                              | CUSIP: 46333X108<br>LEI: 549300PC8MR6QHH6P296 | Long             | EC               | CORP              | US        |     96847 | NS      | $1172817.17   | 1.04%             |  |  |  | No            |                  1 | On Loan: No      |
| Centessa Pharmaceuticals Plc                               | Centessa Pharmaceuticals PLC                                                | CUSIP: 152309100<br>LEI: 213800GIDAARDSKOI827 | Long             | EC               | CORP              | GB        |     59620 | NS      | $238480.00    | 0.21%             |  |  |  | No            |                  1 | On Loan: —       |
| Prometheus Biosciences Inc                                 | Prometheus Biosciences, Inc.                                                | CUSIP: 74349U108<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     25857 | NS      | $1062981.27   | 0.94%             |  |  |  | No            |                  1 | On Loan: No      |
| Mirati Therapeutics Inc                                    | Mirati Therapeutics, Inc.                                                   | CUSIP: 60468T105<br>LEI: 529900GYRW59IDQV6N54 | Long             | EC               | CORP              | US        |     35146 | NS      | $3211641.48   | 2.85%             |  |  |  | No            |                  1 | On Loan: No      |
| Imago Biosciences Inc                                      | Imago Biosciences, Inc.                                                     | CUSIP: 45250K107<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     21322 | NS      | $760982.18    | 0.68%             |  |  |  | No            |                  1 | On Loan: —       |
| Allovir Inc                                                | Allovir, Inc.                                                               | CUSIP: 019818103<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     58827 | NS      | $441790.77    | 0.39%             |  |  |  | No            |                  1 | On Loan: —       |
| Kodiak Sciences Inc                                        | Kodiak Sciences, Inc.                                                       | CUSIP: 50015M109<br>LEI: 254900IXI5NI8C9OQE24 | Long             | EC               | CORP              | US        |     32900 | NS      | $242802.00    | 0.22%             |  |  |  | No            |                  1 | On Loan: No      |
| Stoke Therapeutics Inc                                     | Stoke Therapeutics, Inc.                                                    | CUSIP: 86150R107<br>LEI: 549300RD25SS2DIJHJ67 | Long             | EC               | CORP              | US        |     24914 | NS      | $187851.56    | 0.17%             |  |  |  | No            |                  1 | On Loan: No      |
| Springworks Therapeutics Inc                               | SpringWorks Therapeutics, Inc.                                              | CUSIP: 85205L107<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     31246 | NS      | $755528.28    | 0.67%             |  |  |  | No            |                  1 | On Loan: —       |
| Ocugen Inc                                                 | Ocugen, Inc.                                                                | CUSIP: 67577C105<br>LEI: 549300JVNUI9CXWJLR09 | Long             | EC               | CORP              | US        |    136877 | NS      | $213528.12    | 0.19%             |  |  |  | No            |                  1 | On Loan: No      |
| Iovance Biotherapeutics Inc                                | Iovance Biotherapeutics, Inc.                                               | CUSIP: 462260100<br>LEI: 549300220Z2GHH33XL82 | Long             | EC               | CORP              | US        |     99737 | NS      | $638316.80    | 0.57%             |  |  |  | No            |                  1 | On Loan: No      |
| Crinetics Pharmaceuticals Inc                              | Crinetics Pharmaceuticals, Inc.                                             | CUSIP: 22663K107<br>LEI: 549300Q1CNFXK5P31D28 | Long             | EC               | CORP              | US        |     33974 | NS      | $607115.38    | 0.54%             |  |  |  | No            |                  1 | On Loan: No      |
| Arrowhead Pharmaceuticals Inc                              | Arrowhead Pharmaceuticals, Inc.                                             | CUSIP: 04280A100<br>LEI: 549300O3CSB8T7OZ3D66 | Long             | EC               | CORP              | US        |     66901 | NS      | $2154212.20   | 1.91%             |  |  |  | No            |                  1 | On Loan: No      |
| Essa Pharma Inc                                            | Essa Pharma, Inc.                                                           | CUSIP: 29668H708<br>LEI: N/A                  | Long             | EC               | CORP              | CA        |     27865 | NS      | $102821.85    | 0.09%             |  |  |  | No            |                  1 | On Loan: —       |
| Bioxcel Therapeutics Inc                                   | Bioxcel Therapeutics, Inc.                                                  | CUSIP: 09075P105<br>LEI: 549300Y25FYZ0E8LW260 | Long             | EC               | CORP              | US        |     17710 | NS      | $293454.70    | 0.26%             |  |  |  | No            |                  1 | On Loan: —       |
| Organogenesis Holdings Inc                                 | Organogenesis Holdings, Inc.                                                | CUSIP: 68621F102<br>LEI: 549300RLC2O821TU6941 | Long             | EC               | CORP              | US        |     82731 | NS      | $226682.94    | 0.20%             |  |  |  | No            |                  1 | On Loan: No      |
| Merus Nv                                                   | Merus NV                                                                    | CUSIP: N5749R100<br>LEI: 549300W8GPUWU8QNU293 | Long             | EC               | CORP              | NL        |     29004 | NS      | $445211.40    | 0.40%             |  |  |  | No            |                  1 | On Loan: —       |
| Compass Pathways Plc                                       | Compass Pathways PLC                                                        | CUSIP: 20451W101<br>LEI: 213800N7CUZIC6QSTZ31 | Long             | EC               | CORP              | GB        |     26879 | NS      | $276853.70    | 0.25%             |  |  |  | No            |                  1 | On Loan: —       |
| Kalvista Pharmaceuticals Inc                               | KalVista Pharmaceuticals, Inc.                                              | CUSIP: 483497103<br>LEI: 529900Q7IDA3WUGRZA51 | Long             | EC               | CORP              | US        |     15532 | NS      | $83717.48     | 0.07%             |  |  |  | No            |                  1 | On Loan: —       |
| Biocryst Pharmaceuticals Inc                               | BioCryst Pharmaceuticals, Inc.                                              | CUSIP: 09058V103<br>LEI: 549300Z0INP1Z5NP6J59 | Long             | EC               | CORP              | US        |    117531 | NS      | $1570214.16   | 1.39%             |  |  |  | No            |                  1 | On Loan: —       |
| Vir Biotechnology Inc                                      | Vir Biotechnology, Inc.                                                     | CUSIP: 92764N102<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     83838 | NS      | $2365908.36   | 2.10%             |  |  |  | No            |                  1 | On Loan: No      |
| Alector Inc                                                | Alector, Inc.                                                               | CUSIP: 014442107<br>LEI: 549300Z8RQOIY1JMHC25 | Long             | EC               | CORP              | US        |     52190 | NS      | $443093.10    | 0.39%             |  |  |  | No            |                  1 | On Loan: No      |
| Vbi Vaccines Inc                                           | VBI Vaccines, Inc.                                                          | CUSIP: 91822J103<br>LEI: 52990076U5YRLVGDJE40 | Long             | EC               | CORP              | CA        |    163227 | NS      | $84878.04     | 0.08%             |  |  |  | No            |                  1 | On Loan: —       |
| Enanta Pharmaceuticals Inc                                 | Enanta Pharmaceuticals, Inc.                                                | CUSIP: 29251M106<br>LEI: 529900SSN4DODDQSN594 | Long             | EC               | CORP              | US        |     13098 | NS      | $573561.42    | 0.51%             |  |  |  | No            |                  1 | On Loan: No      |
| Editas Medicine Inc                                        | Editas Medicine, Inc.                                                       | CUSIP: 28106W103<br>LEI: 5299000AON4Q9NT2JE42 | Long             | EC               | CORP              | US        |     43445 | NS      | $460517.00    | 0.41%             |  |  |  | No            |                  1 | On Loan: —       |
| Ionis Pharmaceuticals Inc                                  | Ionis Pharmaceuticals, Inc.                                                 | CUSIP: 462222100<br>LEI: 549300SI4ZGLG0BLUZ92 | Long             | EC               | CORP              | US        |     89707 | NS      | $3659148.53   | 3.25%             |  |  |  | No            |                  1 | On Loan: No      |
| Adicet Bio Inc                                             | Adicet Bio, Inc.                                                            | CUSIP: 007002108<br>LEI: 549300VRD2QO80WBOP18 | Long             | EC               | CORP              | US        |     25306 | NS      | $460063.08    | 0.41%             |  |  |  | No            |                  1 | On Loan: —       |
| Mannkind Corp                                              | MannKind Corp.                                                              | CUSIP: 56400P706<br>LEI: 213800GFBCNY1ZFST722 | Long             | EC               | CORP              | US        |    162647 | NS      | $761187.96    | 0.68%             |  |  |  | No            |                  1 | On Loan: —       |
| Avidity Biosciences Inc                                    | Avidity Biosciences, Inc.                                                   | CUSIP: 05370A108<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     32945 | NS      | $383479.80    | 0.34%             |  |  |  | No            |                  1 | On Loan: No      |
| Fibrogen Inc                                               | FibroGen, Inc.                                                              | CUSIP: 31572Q808<br>LEI: 549300Q914ULWWY95822 | Long             | EC               | CORP              | US        |     59254 | NS      | $851479.98    | 0.76%             |  |  |  | No            |                  1 | On Loan: No      |
| Uniqure Nv                                                 | uniQure NV                                                                  | CUSIP: N90064101<br>LEI: 724500RPCTZLFYJZ3S98 | Long             | EC               | CORP              | NL        |     29534 | NS      | $781469.64    | 0.69%             |  |  |  | No            |                  1 | On Loan: —       |
| Kronos Bio Inc                                             | Kronos Bio, Inc.                                                            | CUSIP: 50107A104<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     35876 | NS      | $68164.40     | 0.06%             |  |  |  | No            |                  1 | On Loan: No      |
| Immunogen Inc                                              | ImmunoGen, Inc.                                                             | CUSIP: 45253H101<br>LEI: 54930084U0R1OP766Y02 | Long             | EC               | CORP              | US        |    139500 | NS      | $724005.00    | 0.64%             |  |  |  | No            |                  1 | On Loan: No      |
| Tango Therapeutics Inc                                     | Tango Therapeutics, Inc.                                                    | CUSIP: 87583X109<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     55653 | NS      | $417954.03    | 0.37%             |  |  |  | No            |                  1 | On Loan: No      |
| Vanda Pharmaceuticals Inc                                  | Vanda Pharmaceuticals, Inc.                                                 | CUSIP: 921659108<br>LEI: 529900AY8VOOQBKJ0O70 | Long             | EC               | CORP              | US        |     35702 | NS      | $389508.82    | 0.35%             |  |  |  | No            |                  1 | On Loan: No      |
| Recursion Pharmaceuticals Inc                              | Recursion Pharmaceuticals, Inc.                                             | CUSIP: 75629V104<br>LEI: N/A                  | Long             | EC               | CORP              | US        |    104371 | NS      | $981087.40    | 0.87%             |  |  |  | No            |                  1 | On Loan: —       |
| Chinook Therapeutics Inc                                   | Chinook Therapeutics, Inc.                                                  | CUSIP: 16961L106<br>LEI: 549300X0O3003W5QYQ48 | Long             | EC               | CORP              | US        |     39751 | NS      | $900360.15    | 0.80%             |  |  |  | No            |                  1 | On Loan: No      |
| Seres Therapeutics Inc                                     | Seres Therapeutics, Inc.                                                    | CUSIP: 81750R102<br>LEI: 549300GMXBE5NUWISF13 | Long             | EC               | CORP              | US        |     78420 | NS      | $509730.00    | 0.45%             |  |  |  | No            |                  1 | On Loan: —       |
| C4 Therapeutics Inc                                        | C4 Therapeutics, Inc.                                                       | CUSIP: 12529R107<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     30916 | NS      | $264950.12    | 0.24%             |  |  |  | No            |                  1 | On Loan: No      |
| Vera Therapeutics Inc                                      | Vera Therapeutics, Inc.                                                     | CUSIP: 92337R101<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     17096 | NS      | $285503.20    | 0.25%             |  |  |  | No            |                  1 | On Loan: —       |
| Replimune Group Inc                                        | Replimune Group, Inc.                                                       | CUSIP: 76029N106<br>LEI: 549300AY704NEIRC4K64 | Long             | EC               | CORP              | US        |     31169 | NS      | $638029.43    | 0.57%             |  |  |  | No            |                  1 | On Loan: No      |
| Repare Therapeutics Inc                                    | Repare Therapeutics, Inc.                                                   | CUSIP: 760273102<br>LEI: N/A                  | Long             | EC               | CORP              | CA        |     26506 | NS      | $424891.18    | 0.38%             |  |  |  | No            |                  1 | On Loan: —       |
| Vaxart Inc                                                 | Vaxart, Inc.                                                                | CUSIP: 92243A200<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     79962 | NS      | $94355.16     | 0.08%             |  |  |  | No            |                  1 | On Loan: —       |
| Bellus Health Inc                                          | BELLUS Health, Inc.                                                         | CUSIP: 07987C204<br>LEI: 549300QZYQDSMOXCP667 | Long             | EC               | CORP              | CA        |     79116 | NS      | $780874.92    | 0.69%             |  |  |  | No            |                  1 | On Loan: No      |
| Cullinan Oncology Inc                                      | Cullinan Oncology, Inc.                                                     | CUSIP: 230031106<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     28826 | NS      | $358307.18    | 0.32%             |  |  |  | No            |                  1 | On Loan: No      |
| Fate Therapeutics Inc                                      | Fate Therapeutics, Inc.                                                     | CUSIP: 31189P102<br>LEI: 549300L14Q4UHOODLA90 | Long             | EC               | CORP              | US        |     61308 | NS      | $1276432.56   | 1.13%             |  |  |  | No            |                  1 | On Loan: —       |
| Invivyd Inc                                                | Invivyd, Inc.                                                               | CUSIP: 00534A102<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     68784 | NS      | $155451.84    | 0.14%             |  |  |  | No            |                  1 | On Loan: No      |
| Cytokinetics Inc                                           | Cytokinetics, Inc.                                                          | CUSIP: 23282W605<br>LEI: 549300BE5DY1HW7IHA64 | Long             | EC               | CORP              | US        |     59513 | NS      | $2529302.50   | 2.25%             |  |  |  | No            |                  1 | On Loan: —       |
| Akero Therapeutics Inc                                     | Akero Therapeutics, Inc.                                                    | CUSIP: 00973Y108<br>LEI: 549300SI3KG74LBE2955 | Long             | EC               | CORP              | US        |     23748 | NS      | $1104282.00   | 0.98%             |  |  |  | No            |                  1 | On Loan: No      |
| Emergent Biosolutions Inc                                  | Emergent BioSolutions, Inc.                                                 | CUSIP: 29089Q105<br>LEI: 549300YW6TUOX8BE5103 | Long             | EC               | CORP              | US        |     31513 | NS      | $387609.90    | 0.34%             |  |  |  | No            |                  1 | On Loan: No      |
| Arcutis Biotherapeutics Inc                                | Arcutis Biotherapeutics, Inc.                                               | CUSIP: 03969K108<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     38035 | NS      | $655343.05    | 0.58%             |  |  |  | No            |                  1 | On Loan: No      |
| Omniab Inc/old                                             | Omniab, Inc./old                                                            | CUSIP: 68218J202<br>LEI: N/A                  | Long             | EC               | CORP              | US        |      3653 | NS      | $0.00         | 0.00%             |  |  |  | No            |                  3 | On Loan: No      |
| Jounce Therapeutics Inc                                    | Jounce Therapeutics, Inc.                                                   | CUSIP: 481116101<br>LEI: 5493004MZJQIV2K8ZT61 | Long             | EC               | CORP              | US        |     32673 | NS      | $28752.24     | 0.03%             |  |  |  | No            |                  1 | On Loan: No      |
| Adc Therapeutics Sa                                        | ADC Therapeutics SA                                                         | CUSIP: H0036K147<br>LEI: N/A                  | Long             | EC               | CORP              | CH        |     44710 | NS      | $163638.60    | 0.15%             |  |  |  | No            |                  1 | On Loan: No      |
| Point Biopharma Global Inc                                 | Point Biopharma Global, Inc.                                                | CUSIP: 730541109<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     56966 | NS      | $387938.46    | 0.34%             |  |  |  | No            |                  1 | On Loan: No      |
| Keros Therapeutics Inc                                     | Keros Therapeutics, Inc.                                                    | CUSIP: 492327101<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     16276 | NS      | $811195.84    | 0.72%             |  |  |  | No            |                  1 | On Loan: —       |
| Anavex Life Sciences Corp                                  | Anavex Life Sciences Corp.                                                  | CUSIP: 032797300<br>LEI: 549300K1I5L8COCQ8W36 | Long             | EC               | CORP              | US        |     49261 | NS      | $434482.02    | 0.39%             |  |  |  | No            |                  1 | On Loan: —       |
| Nuvalent Inc                                               | Nuvalent, Inc.                                                              | CUSIP: 670703107<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     27166 | NS      | $893218.08    | 0.79%             |  |  |  | No            |                  1 | On Loan: No      |
| Eagle Pharmaceuticals Inc/de                               | Eagle Pharmaceuticals, Inc.                                                 | CUSIP: 269796108<br>LEI: 549300TN20OLYTJVP152 | Long             | EC               | CORP              | US        |      8393 | NS      | $304833.76    | 0.27%             |  |  |  | No            |                  1 | On Loan: No      |
| 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        |     95178 | NS      | $95178.50     | 0.08%             |  |  |  | No            |                  1 | On Loan: No      |
| Ptc Therapeutics Inc                                       | PTC Therapeutics, Inc.                                                      | CUSIP: 69366J200<br>LEI: 549300UJLWOIWFDGB318 | Long             | EC               | CORP              | US        |     45212 | NS      | $1875845.88   | 1.67%             |  |  |  | No            |                  1 | On Loan: No      |
| Kura Oncology Inc                                          | Kura Oncology, Inc.                                                         | CUSIP: 50127T109<br>LEI: 5493005QORQTZCZYOP39 | Long             | EC               | CORP              | US        |     42284 | NS      | $666818.68    | 0.59%             |  |  |  | No            |                  1 | On Loan: No      |
| Amicus Therapeutics Inc                                    | Amicus Therapeutics, Inc.                                                   | CUSIP: 03152W109<br>LEI: 549300MRD1SMUTNBPQ53 | Long             | EC               | CORP              | US        |    177291 | NS      | $2145221.10   | 1.90%             |  |  |  | No            |                  1 | On Loan: No      |
| Eqrx Inc                                                   | EQRx, Inc.                                                                  | CUSIP: 26886C107<br>LEI: N/A                  | Long             | EC               | CORP              | US        |    283249 | NS      | $1065016.24   | 0.95%             |  |  |  | No            |                  1 | On Loan: No      |
| Galapagos Nv                                               | Galapagos NV                                                                | CUSIP: 36315X101<br>LEI: 549300QKJ78IY0IOV655 | Long             | EC               | CORP              | BE        |     41965 | NS      | $1668948.05   | 1.48%             |  |  |  | No            |                  1 | On Loan: —       |
| Allogene Therapeutics Inc                                  | Allogene Therapeutics, Inc.                                                 | CUSIP: 019770106<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     90898 | NS      | $896254.28    | 0.80%             |  |  |  | No            |                  1 | On Loan: —       |
| Pmv Pharmaceuticals Inc                                    | PMV Pharmaceuticals, Inc.                                                   | CUSIP: 69353Y103<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     28833 | NS      | $287753.34    | 0.26%             |  |  |  | No            |                  1 | On Loan: —       |
| Affimed Nv                                                 | Affimed NV                                                                  | CUSIP: N01045108<br>LEI: 5493004V4FSXT1D04610 | Long             | EC               | CORP              | NL        |     92244 | NS      | $197402.16    | 0.18%             |  |  |  | No            |                  1 | On Loan: —       |
| Travere Therapeutics Inc                                   | Travere Therapeutics, Inc.                                                  | CUSIP: 89422G107<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     40426 | NS      | $813775.38    | 0.72%             |  |  |  | No            |                  1 | On Loan: No      |
| Aldeyra Therapeutics Inc                                   | Aldeyra Therapeutics, Inc.                                                  | CUSIP: 01438T106<br>LEI: 529900HGKY864E4Y9014 | Long             | EC               | CORP              | US        |     36861 | NS      | $206421.60    | 0.18%             |  |  |  | No            |                  1 | On Loan: No      |
| Rapt Therapeutics Inc                                      | RAPT Therapeutics, Inc.                                                     | CUSIP: 75382E109<br>LEI: 549300MB473BIU78ES48 | Long             | EC               | CORP              | US        |     18743 | NS      | $331376.24    | 0.29%             |  |  |  | No            |                  1 | On Loan: No      |
| Rocket Pharmaceuticals Inc                                 | Rocket Pharmaceuticals, Inc.                                                | CUSIP: 77313F106<br>LEI: 549300R7VV82YUIN4Y93 | Long             | EC               | CORP              | US        |     41740 | NS      | $788051.20    | 0.70%             |  |  |  | No            |                  1 | On Loan: No      |
| Xencor Inc                                                 | Xencor, Inc.                                                                | CUSIP: 98401F105<br>LEI: 549300V5IF65437JKG30 | Long             | EC               | CORP              | US        |     37728 | NS      | $1121276.16   | 1.00%             |  |  |  | No            |                  1 | On Loan: No      |
| Alkermes Plc                                               | Alkermes PLC                                                                | CUSIP: G01767105<br>LEI: N/A                  | Long             | EC               | CORP              | IE        |    103815 | NS      | $2572535.70   | 2.28%             |  |  |  | No            |                  1 | On Loan: No      |
| Albireo Pharma Inc                                         | Albireo Pharma, Inc.                                                        | CUSIP: 01345P106<br>LEI: 549300835H8LC7O8VC29 | Long             | EC               | CORP              | US        |     12396 | NS      | $273703.68    | 0.24%             |  |  |  | No            |                  1 | On Loan: —       |
| Ligand Pharmaceuticals Inc                                 | Ligand Pharmaceuticals, Inc.                                                | CUSIP: 53220K504<br>LEI: 5493008K7TB0IKP37H79 | Long             | EC               | CORP              | US        |     10671 | NS      | $777915.90    | 0.69%             |  |  |  | No            |                  1 | On Loan: No      |
| Concert Pharmaceuticals Inc                                | Concert Pharmaceuticals, Inc.                                               | CUSIP: 206022105<br>LEI: 529900PYI5BSGQNATP82 | Long             | EC               | CORP              | US        |     30306 | NS      | $146074.92    | 0.13%             |  |  |  | No            |                  1 | On Loan: No      |
| Catalyst Pharmaceuticals Inc                               | Catalyst Pharmaceuticals, Inc.                                              | CUSIP: 14888U101<br>LEI: 5299004O0R5XXLA5H544 | Long             | EC               | CORP              | US        |     64956 | NS      | $1089312.12   | 0.97%             |  |  |  | No            |                  1 | On Loan: No      |
| Iveric Bio Inc                                             | IVERIC bio, Inc.                                                            | CUSIP: 46583P102<br>LEI: 549300GZXI59U71XPM70 | Long             | EC               | CORP              | US        |     74638 | NS      | $1762949.56   | 1.56%             |  |  |  | No            |                  1 | On Loan: No      |
| Arcus Biosciences Inc                                      | Arcus Biosciences, Inc.                                                     | CUSIP: 03969F109<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     45611 | NS      | $1604138.87   | 1.42%             |  |  |  | No            |                  1 | On Loan: No      |
| Autolus Therapeutics Plc                                   | Autolus Therapeutics PLC                                                    | CUSIP: 05280R100<br>LEI: 549300C0KZP8EYROLL02 | Long             | EC               | CORP              | GB        |     57454 | NS      | $151678.56    | 0.13%             |  |  |  | No            |                  1 | On Loan: —       |
| Arcturus Therapeutics Holdings Inc                         | Arcturus Therapeutics Holdings, Inc.                                        | CUSIP: 03969T109<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     16802 | NS      | $309828.88    | 0.28%             |  |  |  | No            |                  1 | On Loan: No      |
| Krystal Biotech Inc                                        | Krystal Biotech, Inc.                                                       | CUSIP: 501147102<br>LEI: 549300YONUY68210OE41 | Long             | EC               | CORP              | US        |     16225 | NS      | $1261331.50   | 1.12%             |  |  |  | No            |                  1 | On Loan: No      |
| Regenxbio Inc                                              | REGENXBIO, Inc.                                                             | CUSIP: 75901B107<br>LEI: 549300EOES47LATSET33 | Long             | EC               | CORP              | US        |     27327 | NS      | $653115.30    | 0.58%             |  |  |  | No            |                  1 | On Loan: No      |
| Xenon Pharmaceuticals Inc                                  | Xenon Pharmaceuticals, Inc.                                                 | CUSIP: 98420N105<br>LEI: 549300XV44Q9Z1MIPQ03 | Long             | EC               | CORP              | CA        |     39353 | NS      | $1451338.64   | 1.29%             |  |  |  | No            |                  1 | On Loan: No      |
| Opko Health Inc                                            | OPKO Health, Inc.                                                           | CUSIP: 68375N103<br>LEI: 529900A4S2D4OGOJLL02 | Long             | EC               | CORP              | US        |    487918 | NS      | $731877.00    | 0.65%             |  |  |  | No            |                  1 | On Loan: —       |
| I-mab                                                      | I-Mab                                                                       | CUSIP: 44975P103<br>LEI: 549300L1A5T19703RR64 | Long             | EC               | CORP              | KY        |     52236 | NS      | $193273.20    | 0.17%             |  |  |  | No            |                  1 | On Loan: No      |
| Hillevax Inc                                               | HilleVax, Inc.                                                              | CUSIP: 43157M102<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     21128 | NS      | $422560.00    | 0.38%             |  |  |  | No            |                  1 | On Loan: No      |
| Aadi Bioscience Inc                                        | Aadi Bioscience, Inc.                                                       | CUSIP: 00032Q104<br>LEI: 549300G3U7TKW1M58L09 | Long             | EC               | CORP              | US        |     13280 | NS      | $177686.40    | 0.16%             |  |  |  | No            |                  1 | On Loan: No      |
| Vericel Corp                                               | Vericel Corp.                                                               | CUSIP: 92346J108<br>LEI: 54930076YM3PLTDR4B91 | Long             | EC               | CORP              | US        |     29814 | NS      | $680653.62    | 0.60%             |  |  |  | No            |                  1 | On Loan: No      |
| Erasca Inc                                                 | Erasca, Inc.                                                                | CUSIP: 29479A108<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     77210 | NS      | $582935.50    | 0.52%             |  |  |  | No            |                  1 | On Loan: No      |
| 4d Molecular Therapeutics Inc                              | 4D Molecular Therapeutics, Inc.                                             | CUSIP: 35104E100<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     20464 | NS      | $494614.88    | 0.44%             |  |  |  | No            |                  1 | On Loan: —       |
| N/A                                                        | State Street Navigator Securities Lending Government Money Market Portfolio | CUSIP: N/A<br>LEI: N/A                        | Long             | STIV             | RF                | US        |         0 | NS      | $0.00         | 0.00%             |  |  |  | No            |                  1 | On Loan: No      |
| Kezar Life Sciences Inc                                    | Kezar Life Sciences, Inc.                                                   | CUSIP: 49372L100<br>LEI: 549300EV1V8GXBV18004 | Long             | EC               | CORP              | US        |     43210 | NS      | $337470.10    | 0.30%             |  |  |  | No            |                  1 | On Loan: No      |
| N/A                                                        | Radius Health CVR                                                           | CUSIP: N/A<br>LEI: N/A                        | N/A              | DE               | CORP              | US        |     28640 | NC      | $0.00         | 0.00%             |  |  |  | No            |                  3 | On Loan: No      |
| Intercept Pharmaceuticals Inc                              | Intercept Pharmaceuticals, Inc.                                             | CUSIP: 45845P108<br>LEI: 254900JMB8TX5P688V24 | Long             | EC               | CORP              | US        |     18837 | NS      | $280859.67    | 0.25%             |  |  |  | No            |                  1 | On Loan: No      |
| Denali Therapeutics Inc                                    | Denali Therapeutics, Inc.                                                   | CUSIP: 24823R105<br>LEI: 549300ZTQ2HO18L3Q830 | Long             | EC               | CORP              | US        |     77965 | NS      | $2487863.15   | 2.21%             |  |  |  | No            |                  1 | On Loan: No      |
| Syndax Pharmaceuticals Inc                                 | Syndax Pharmaceuticals, Inc.                                                | CUSIP: 87164F105<br>LEI: 529900OF94TRHKZVBS87 | Long             | EC               | CORP              | US        |     35744 | NS      | $856426.24    | 0.76%             |  |  |  | No            |                  1 | On Loan: No      |
| Sage Therapeutics Inc                                      | Sage Therapeutics, Inc.                                                     | CUSIP: 78667J108<br>LEI: 5493000JX4BJS9W6CN35 | Long             | EC               | CORP              | US        |     37559 | NS      | $1541421.36   | 1.37%             |  |  |  | No            |                  1 | On Loan: No      |
| Alx Oncology Holdings Inc                                  | ALX Oncology Holdings, Inc.                                                 | CUSIP: 00166B105<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     25756 | NS      | $285891.60    | 0.25%             |  |  |  | No            |                  1 | On Loan: No      |
| Acadia Pharmaceuticals Inc                                 | ACADIA Pharmaceuticals, Inc.                                                | CUSIP: 004225108<br>LEI: 529900O3044NO0PEA039 | Long             | EC               | CORP              | US        |    102295 | NS      | $1593756.10   | 1.41%             |  |  |  | No            |                  1 | On Loan: No      |

### Signature

**Date Signed:** 2022-12-30

**Name of Applicant:** ALPS ETF TRUST

**Signature:** Kathryn Burns

**Name of Signer:** Kathryn Burns

**Title:** Treasurer