# EDGAR Filing Document

**Accession Number:** 0001041130
**File Stem:** 0001752724-23-057690
**Filing Date:** 2023-3
**Character Count:** 11846
**Document Hash:** 097d7b499922355c41dbe7a43bb7ad9c
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001752724-23-057690.hdr.sgml**: 20230315

**ACCESSION NUMBER**: 0001752724-23-057690

**CONFORMED SUBMISSION TYPE**: N-CEN

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230315

**DATE AS OF CHANGE**: 20230315

**EFFECTIVENESS DATE**: 20230315

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** SPDR DOW JONES INDUSTRIAL AVERAGE ETF TRUST
- **CENTRAL INDEX KEY:** 0001041130
- **IRS NUMBER:** 133574560
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** N-CEN
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-09170
- **FILM NUMBER:** 23736160

**BUSINESS ADDRESS:**
- **STREET 1:** PDR SERVICES LLC C/O NYSE EURONEXT
- **STREET 2:** 11 WALL STREET
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10005
- **BUSINESS PHONE:** 212-656-4440

**MAIL ADDRESS:**
- **STREET 1:** PDR SERVICES LLC C/O NYSE EURONEXT
- **STREET 2:** 11 WALL STREET
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10005

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** DIAMONDS TRUST SERIES I
- **DATE OF NAME CHANGE:** 19970714

# Form N-CEN: Annual Report for Registered Investment Companies

## N-CEN: Filer Information
**Submission Type:** N-CEN
**CIK:** 0001041130

## N-CEN: Series/Class (Contract) Information

### N-CEN: Part A: General Information

**Item A.1.a - Report for period ending:** 2022-12-31

**Item A.1.b - Does this report cover a period of less than 12 months?:** No

## N-CEN: Part B: Information About the Registrant

- **Item B.1.a - Full name of Registrant:** SPDR DOW JONES INDUSTRIAL AVERAGE ETF TRUST

- **Item B.1.b - Investment Company Act file number:** 811-09170

- **Item B.1.c - CIK:** 0001041130

- **Item B.1.d - LEI:** 54930039F2SG3UG2OZ18

- **Item B.2.a - Street 1:** PDR SERVICES LLC C/O NYSE EURONEXT

- **Item B.2.a - Street 2:** 11 WALL STREET

- **Item B.2.b - City:** New York

- **Item B.2.c - State:** NY

- **Item B.2.e - Zip Code:** 10005

- **Item B.2.f - Telephone:** 212-656-4440

- **Item B.2.g - Public Website:** https://us.spdrs.com/en

### Item B.3 - Location of books and records

**Location books Record: 1**

- **a. Name of person (e.g., a custodian of records):** State Street Bank and Trust Company

- **b. Street 1:** 1 Lincoln Street

- **c. City:** Boston

- **d. State, if applicable:** MA

- **e. Foreign country, if applicable:** US

- **f. Zip code and zip code extension, or foreign postal code:** 02111

- **g. Telephone number:** 617-786-3000

- **h. Briefly describe the books and records kept at this location:** Records related to its function as custodian, administrator, accounting agent, and transfer agent

- **Item B.4.a - Is this the first filing by the Registrant?:** No

- **Item B.4.b - Is this the last filing by the Registrant?:** No

- **Item B.5.a - Is the Registrant part of a family of investment companies?:** Yes

- **Item B.5.a.i - Full name of family of investment companies:** State Street Global Advisors - advised funds

### Item B.6 - Organization

- [ ] a. Open-end management investment company registered under the Act on Form N-1A

- [ ] b. Closed-end management investment company registered under the Act on Form N-2

- [ ] c. Separate account offering variable annuity contracts which is registered under the Act as a management investment company on Form N-3

- [ ] d. Separate account offering variable annuity contracts which is registered under the Act as a unit investment trust on Form N-4

- [ ] e. Small business investment company registered under the Act on Form N-5

- [ ] f. Separate account offering variable insurance contracts which is registered under the Act as a unit investment trust on Form N-6

- [ ] g. Unit investment trust registered under the Act on Form N-8B-2

- **Item B.6.i - Total number of Series:** —

- **Item B.7 - Is the Registrant the issuer of a class of securities registered under the Securities Act?:** Yes

### Item B.9. Chief compliance officer.

**Chief compliance officer Record: 1**

- **a. Full Name:** Lucas Foss

- **b. CRD Number, if any:** N/A

- **c. Street Address 1:** 1290 Broadway, Suite 1000

- **d. City:** Denver

- **e. State, if applicable:** CO

- **f. Foreign country, if applicable:** US

- **g. Zip code:** 80203-5603

- **h. Telephone number:** XXXXXX

- **i. Has the chief compliance officer changed since the last filing?:** No

If the chief compliance officer is compensated or employed by any person other than the Registrant, provide:

**CCO employer Record: 1**

- **i. Name of the person:** —

- **ii. Person’s IRS Employer Identification Number:** —

### Item B.10. Matters for security holder vote.

- **Were any matters submitted by the Registrant for its security holders’ vote during the reporting period?** No

- **Item B.11.a - Have there been any material legal proceedings?:** No

- **Item B.11.b - Has any proceeding previously reported been terminated?:** No

- **Item B.14 - Did an affiliated person provide any form of financial support to the Registrant?:** No

- **Item B.15.a.i - Release numbers:**
  - IC-26419
  - IC-22979

### Item B.16. Principal underwriters.

**Principal underwriter Record: 1**

- **i. Full name:** ALPS Distributors, Inc.

- **ii. SEC file number:** 8-34626

- **iii. CRD number:** 000016853

- **iv. LEI, if any:** 0000000000

- **v. State, if applicable:** CO

- **vi. Foreign country, if applicable:** US

- **vii. Is the principal underwriter an affiliated person...?:** No

- **b. Have any principal underwriters been hired or terminated during the reporting period?** No

### Item B.17. Independent public accountant.

**Public accountant Record: 1**

- **a. Full Name:** PricewaterhouseCoopers LLP

- **b. PCAOB Number:** 238

- **c. LEI, if any:** 5493002GVO7EO8RNNS37

- **d. State, if applicable:** MA

- **e. Foreign country, if applicable:** US

- **f. Has the independent public accountant changed since the last filing?** No

- **Item B.19 - Did an independent public accountant issue an opinion other than an unqualified opinion?:** No

- **Item B.20 - Have there been material changes in the method of valuation?:** No

- **Item B.21 - Have there been any changes in accounting principles or practices?:** No

## Part E: Additional Questions for ETFs and ETMFs

### —

**Item E.1 - Exchange**

- **Exchange:** ARCX

- **Ticker:** DIA

**Item E.2 - Authorized Participants**

| Name                                      | Purchase Value    | Redeem Value      |
|:---|:---|:---|
| National Bank of Canada Financial Inc.    | $0.00             | $0.00             |
| Credit Suisse Securities (USA) LLC        | $647,943,050.05   | $266,327,932.05   |
| UBS Securities LLC                        | $143,263,491.90   | $92,782,734.30    |
| Interactive Brokers LLC                   | $0.00             | $0.00             |
| BMO Capital Markets Corp.                 | $0.00             | $0.00             |
| MUFG Securities Americas Inc.             | $0.00             | $0.00             |
| Cowen Execution Services LLC              | $0.00             | $0.00             |
| Citadel Securities LLC                    | $4,918,489,486.00 | $2,069,871,175.70 |
| SG Americas Securities, LLC               | $6,675,824,029.45 | $5,221,883,870.20 |
| Commerz Markets LLC                       | $0.00             | $0.00             |
| Jefferies LLC                             | $0.00             | $0.00             |
| Virtu Financial BD LLC                    | $0.00             | $0.00             |
| Deutsche Bank Securities Inc.             | $0.00             | $0.00             |
| National Financial Services LLC           | $0.00             | $0.00             |
| J.P. Morgan Securities LLC/JPMC           | $69,093,473.20    | $226,056,663.95   |
| HRT Financial LP                          | $291,066,297.60   | $1,922,778,947.20 |
| BNP Paribas Securities Corp.              | $0.00             | $0.00             |
| Goldman Sachs & Co. LLC                   | $5,203,943,194.25 | $8,658,515,191.75 |
| BNP Paribas Prime Brokerage, Inc.         | $248,734,830.05   | $65,499,523.00    |
| Pershing LLC                              | $0.00             | $0.00             |
| Citigroup Global Markets Inc.             | $389,986,502.10   | $630,563,534.95   |
| Mizuho Securities USA LLC                 | $17,480,944.55    | $0.00             |
| Morgan Stanley & Co. LLC                  | $1,946,869,256.90 | $2,663,527,654.80 |
| Barclays Capital Inc.                     | $3,120,334,812.35 | $172,705,754.50   |
| TD Prime Services LLC                     | $0.00             | $0.00             |
| Stifel, Nicolaus & Company, Incorporated  | $0.00             | $0.00             |
| ABN AMRO Securities (USA) LLC             | $0.00             | $0.00             |
| Merrill Lynch Professional Clearing Corp. | $4,787,649,469.40 | $3,771,421,456.10 |
| HSBC Securities (USA) Inc.                | $0.00             | $0.00             |
| ING Financial Markets LLC                 | $0.00             | $0.00             |
| Cantor Fitzgerald & Co.                   | $0.00             | $0.00             |
| CIBC World Markets Corp.                  | $431,177,078.20   | $135,842,798.10   |
| J.P. Morgan Securities LLC                | $0.00             | $0.00             |
| Natixis Securities Americas LLC           | $0.00             | $0.00             |
| Virtu Americas LLC                        | $557,924,685.55   | $813,279,573.10   |
| Nomura Securities International, Inc.     | $45,781,993.35    | $0.00             |
| RBC Capital Markets, LLC                  | $151,374,470.65   | $256,199,374.45   |
| Electronic Transaction Clearing, Inc.     | $0.00             | $0.00             |
| Wells Fargo Securities, LLC               | $0.00             | $0.00             |
| Credit Suisse Securities (Europe) Limited | $0.00             | $0.00             |
| ABN AMRO Clearing Chicago LLC             | $3,000,482,755.50 | $3,639,743,114.40 |
| Mirae Asset Securities (USA) Inc.         | $90,200,539.50    | $0.00             |
| Jane Street Capital, LLC                  | $118,528,294.05   | $116,678,064.65   |

**Item E.3 - Creation Units**

- **a. Number of Fund shares required to form a creation unit:** 50,000.00

- **b.i. Average percentage of value composed of cash (purchased):** 0.06%

- **c.i. Average percentage of value composed of cash (redeemed):** 0.09%

- **d.i.2. Average transaction fee (dollars for one or more units, purchased):** $1,000.00

- **d.i.3. Average transaction fee (percentage of value, purchased):** 0.00%

- **Item E.5 - Is the Fund an 'In-Kind Exchange-Traded Fund'?** Yes

## N-CEN: Part G: Attachments

**Item G.1a. Attachments.**

Attachments applicable to all Registrants. All Registrants shall file the following attachments, as applicable, with the current report. Indicate the attachments filed with the current report by checking the applicable items below:

- [ ] i. Legal proceedings

- [ ] ii. Provision of financial support

- [ ] iii. Independent public accountant's report on internal control (management investment companies other than small business investment companies only)

- [ ] iv. Change in accounting principles and practices

- [ ] v. Information required to be filed pursuant to exemptive orders

- [ ] vi. Other information required to be included as an attachment pursuant to Commission rules and regulations

## N-CEN: Signature

Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this report to a be signed on its behalf by the undersigned hereunto duly authorized.

**Registrant:** SPDR DOW JONES INDUSTRIAL AVERAGE ETF TRUST

**Date:** 2023-03-10

**Signature:** Arthur Jensen

**Title:** Deputy Treasurer