Environment=PROD|Report Date=2016-10-03|Record Count=109 Symbol|Issue Name|Issue Type|Currency|Outstanding Shares|Test Symbol|Market Category|First Date Traded|IPO Flag|Expiration Date|Separation Date|When Issued Flag|When Distributed Flag|Round Lot Quantity|Notes|Financial Status ALTS|ProShares Morningstar Alternatives Solution ETF|Index Fund Shares|USD|550001|N|Tier 1|2015-12-15|N|||N|N|100||0 BATS|Bats Global Markets, Inc.|Primary Equity|USD|96363010|N|Tier 1|2016-04-15|Y|||N|N|100||0 BEMO|Aptus Behavioral Momentum ETF|Index Fund Shares|USD|650000|N|Tier 1|2016-06-09|Y|||N|N|100||0 CEMB|iShares Emerging Markets Corporate Bond ETF|Index Fund Shares|USD|600000|N|Tier 1|2012-04-19|Y|||N|N|100||0 CNDF|iShares Edge MSCI Multifactor Consumer Discretionary ETF|Index Fund Shares|USD|100000|N|Tier 1|2016-05-12|Y|||N|N|100||0 CNSF|iShares Edge MSCI Multifactor Consumer Staples ETF|Index Fund Shares|USD|100000|N|Tier 1|2016-05-12|Y|||N|N|100||0 CNYA|iShares MSCI China A ETF|Index Fund Shares|USD|350000|N|Tier 1|2016-06-15|Y|||N|N|100||0 CSM|ProShares Large Cap Core Plus|Index Fund Shares|USD|7325000|N|Tier 1|2015-12-15|N|||N|N|100||0 DDEZ|WisdomTree Dynamic Currency Hedged Europe Equity Fund|Index Fund Shares|USD|200004|N|Tier 1|2016-01-07|Y|||N|N|100||0 DDJP|WisdomTree Dynamic Currency Hedged Japan Equity Fund|Index Fund Shares|USD|200004|N|Tier 1|2016-01-07|Y|||N|N|100||0 DDLS|WisdomTree Dynamic Currency Hedged International SmallCap Equity Fund|Index Fund Shares|USD|100004|N|Tier 1|2016-01-07|Y|||N|N|100||0 DDWM|WisdomTree Dynamic Currency Hedged International Equity Fund|Index Fund Shares|USD|10950004|N|Tier 1|2016-01-07|Y|||N|N|100||0 DEFA|iShares Adaptive Currency Hedged MSCI EAFE ETF|Index Fund Shares|USD|100000|N|Tier 1|2016-01-07|Y|||N|N|100||0 DEWJ|iShares Adaptive Currency Hedged MSCI Japan ETF|Index Fund Shares|USD|150000|N|Tier 1|2016-01-07|Y|||N|N|100||0 DEZU|iShares Adaptive Currency Hedged MSCI Eurozone ETF|Index Fund Shares|USD|100000|N|Tier 1|2016-01-07|Y|||N|N|100||0 DFND|Reality Shares DIVCON Dividend Defender ETF|Index Fund Shares|USD|125000|N|Tier 1|2016-01-14|Y|||N|N|100||0 DVEM|WisdomTree Emerging Markets Dividend Fund|Index Fund Shares|USD|100004|N|Tier 1|2016-04-07|Y|||N|N|100||0 DYB|WisdomTree Dynamic Bearish U.S. Equity Fund|Index Fund Shares|USD|150004|N|Tier 1|2015-12-23|Y|||N|N|100||0 DYLS|WisdomTree Dynamic Long/Short U.S. Equity Fund|Index Fund Shares|USD|700004|N|Tier 1|2015-12-23|Y|||N|N|100||0 EDEN|iShares MSCI Denmark Capped ETF|Index Fund Shares|USD|850000|N|Tier 1|2012-01-26|Y|||N|N|100||0 EFNL|iShares MSCI Finland Capped ETF|Index Fund Shares|USD|1000000|N|Tier 1|2012-01-26|Y|||N|N|100||0 ELKU|Elkhorn FTSE RAFI U.S. Equity Income ETF|Index Fund Shares|USD|100002|N|Tier 1|2015-12-10|Y|||N|N|100||0 EMDV|ProShares MSCI Emerging Markets Dividend Growers ETF|Index Fund Shares|USD|125001|N|Tier 1|2016-01-27|Y|||N|N|100||0 EMGF|iShares Edge MSCI Multifactor Emerging Markets ETF|Index Fund Shares|USD|800000|N|Tier 1|2015-12-10|Y|||N|N|100||0 EMHY|iShares Emerging Markets High Yield Bond ETF|Index Fund Shares|USD|1800000|N|Tier 1|2012-04-03|Y|||N|N|100||0 EMIH|Deutsche X-trackers Emerging Markets Bond - Interest Rate Hedged ETF|Index Fund Shares|USD|250001|N|Tier 1|2016-06-09|N|||N|N|100||0 EMSD|WisdomTree Strong Dollar Emerging Markets Equity Fund |Index Fund Shares|USD|400004|N|Tier 1|2015-10-29|Y|||N|N|100||0 EMSH|ProShares Short Term USD Emerging Markets Bond ETF|Index Fund Shares|USD|100001|N|Tier 1|2013-11-21|Y|||N|N|100||0 EMTL|SPDR DoubleLine Emerging Markets Fixed Income ETF|Managed Fund Shares|USD|750000|N|Tier 1|2016-04-14|Y|||N|N|100||0 ENOR|iShares MSCI Norway Capped ETF|Index Fund Shares|USD|1300000|N|Tier 1|2012-01-24|Y|||N|N|100||0 EPRF|Elkhorn S&P High Quality Preferred ETF|Index Fund Shares|USD|350002|N|Tier 1|2016-05-24|Y|||N|N|100||0 ERGF|iShares Edge MSCI Multifactor Energy ETF|Index Fund Shares|USD|100000|N|Tier 1|2016-05-12|Y|||N|N|100||0 EWGS|iShares MSCI Germany Small-Cap ETF|Index Fund Shares|USD|550000|N|Tier 1|2012-01-26|Y|||N|N|100||0 EWUS|iShares MSCI United Kingdom Small-Cap ETF|Index Fund Shares|USD|700000|N|Tier 1|2012-01-26|Y|||N|N|100||0 EYLD|Cambria Emerging Shareholder Yield ETF|Index Fund Shares|USD|150004|N|Tier 1|2016-07-14|Y|||N|N|100||0 EZR|WisdomTree Europe Local Recovery Fund |Index Fund Shares|USD|150004|N|Tier 1|2015-10-29|Y|||N|N|100||0 EZU|iShares MSCI Eurozone ETF|Index Fund Shares|USD|219500000|N|Tier 1|2016-02-02|N|||N|N|100||0 FIBR|iShares Edge U.S. Fixed Income Balanced Risk ETF|Managed Fund Shares|USD|700000|N|Tier 1|2015-02-26|Y|||N|N|100||0 FNCF|iShares Edge MSCI Multifactor Financials ETF|Index Fund Shares|USD|100000|N|Tier 1|2016-05-12|Y|||N|N|100||0 FUT|ProShares Managed Futures Strategy ETF|Managed Fund Shares|USD|100001|N|Tier 1|2016-02-18|Y|||N|N|100||0 GARD|Reality Shares DIVCON Dividend Guard ETF|Index Fund Shares|USD|125000|N|Tier 1|2016-01-14|Y|||N|N|100||0 GHYG|iShares Global High Yield Corporate Bond ETF|Index Fund Shares|USD|2000000|N|Tier 1|2012-04-05|Y|||N|N|100||0 GSD|WisdomTree Global SmallCap Dividend Fund|Index Fund Shares|USD|800004|N|Tier 1|2015-11-12|Y|||N|N|100||0 HACV|iShares Edge MSCI Min Vol Global Currency Hedged ETF|Index Fund Shares|USD|100000|N|Tier 1|2015-11-02|Y|||N|N|100||0 HCRF|iShares Edge MSCI Multifactor Healthcare ETF|Index Fund Shares|USD|100000|N|Tier 1|2016-05-12|Y|||N|N|100||0 HDRW|WisdomTree Global ex-U.S. Hedged Real Estate Fund |Index Fund Shares|USD|100004|N|Tier 1|2015-10-29|Y|||N|N|100||0 HEFV|iShares Edge MSCI Min Vol EAFE Currency Hedged ETF|Index Fund Shares|USD|350000|N|Tier 1|2015-11-02|Y|||N|N|100||0 HEMV|iShares Edge MSCI Min Vol EM Currency Hedged ETF|Index Fund Shares|USD|250000|N|Tier 1|2015-11-02|Y|||N|N|100||0 HEUS|iShares Currency Hedged MSCI Europe Small-Cap ETF|Index Fund Shares|USD|50000|N|Tier 1|2015-11-02|Y|||N|N|100||0 HEUV|iShares Edge MSCI Min Vol Europe Currency Hedged ETF|Index Fund Shares|USD|100000|N|Tier 1|2015-11-02|Y|||N|N|100||0 HGSD|WisdomTree Global Hedged SmallCap Dividend Fund|Index Fund Shares|USD|900005|N|Tier 1|2015-11-19|Y|||N|N|100||0 HYHG|ProShares High Yield-Interest Rate Hedged ETF|Index Fund Shares|USD|1375001|N|Tier 1|2013-05-23|Y|||N|N|100||0 HYIH|Deutsche X-trackers High Yield Corporate Bond - Interest Rate Hedged ETF|Index Fund Shares|USD|400001|N|Tier 1|2016-06-09|N|||N|N|100||0 HYXU|iShares International High Yield Bond ETF|Index Fund Shares|USD|3800000|N|Tier 1|2012-04-03|Y|||N|N|100||0 IAGG|iShares Core International Aggregate Bond Fund|Index Fund Shares|USD|5950000|N|Tier 1|2015-11-12|Y|||N|N|100||0 ICSH|iShares Ultra Short-Term Bond ETF|Managed Fund Shares|USD|500000|N|Tier 1|2013-12-13|Y|||N|N|100||0 ICVT|iShares Convertible Bond ETF|Index Fund Shares|USD|300000|N|Tier 1|2015-06-04|Y|||N|N|100||0 IGHG|ProShares Investment Grade-Interest Rate Hedged|Index Fund Shares|USD|1625001|N|Tier 1|2013-11-07|Y|||N|N|100||0 IGIH|Deutsche X-trackers Investment Grade Bond - Interest Rate Hedged ETF|Index Fund Shares|USD|200001|N|Tier 1|2016-06-09|N|||N|N|100||0 IGRO|iShares International Dividend Growth ETF|Index Fund Shares|USD|100000|N|Tier 1|2016-05-19|Y|||N|N|100||0 IMOM|MomentumShares International Quantitative Momentum ETF|Managed Fund Shares|USD|750000|N|Tier 1|2015-12-23|Y|||N|N|100||0 INDA|iShares MSCI India ETF|Index Fund Shares|USD|139800000|N|Tier 1|2012-02-03|Y|||N|N|100||0 INDF|iShares Edge MSCI Multifactor Industrials ETF|Index Fund Shares|USD|100000|N|Tier 1|2016-05-12|Y|||N|N|100||0 IQDG|WisdomTree International Quality Dividend Growth Fund|Index Fund Shares|USD|100004|N|Tier 1|2016-04-07|Y|||N|N|100||0 ITML|VanEck Vectors AMT-Free 12-17 Year Municipal Index ETF|Index Fund Shares|USD|200000|N|Tier 1|2016-09-20|Y|||N|N|100||0 ITMS|VanEck Vectors AMT-Free 6-8 Year Municipal Index ETF|Index Fund Shares|USD|200000|N|Tier 1|2016-09-20|Y|||N|N|100||0 IVAL|ValueShares International Quantitative Value ETF|Managed Fund Shares|USD|1450000|N|Tier 1|2014-12-17|Y|||N|N|100||0 IYLD|iShares Morningstar Multi-Asset Income ETF|Index Fund Shares|USD|10700000|N|Tier 1|2012-04-05|Y|||N|N|100||0 JPHY|JPMorgan Disciplined High Yield ETF|Managed Fund Shares|USD|500000|N|Tier 1|2016-09-15|Y|||N|N|100||0 KEMP|KraneShares FTSE Emerging Markets Plus ETF|Index Fund Shares|USD|100000|N|Tier 1|2015-02-13|Y|||N|N|100||2 LEAD|Reality Shares DIVCON Leaders Dividend ETF|Index Fund Shares|USD|125000|N|Tier 1|2016-01-06|Y|||N|N|100||0 LVHI|Legg Mason International Low Volatility High Dividend ETF|Index Fund Shares|USD|120000|N|Tier 1|2016-07-28|Y|||N|N|100||0 MATF|iShares Edge MSCI Multifactor Materials ETF|Index Fund Shares|USD|100000|N|Tier 1|2016-05-12|Y|||N|N|100||0 MEAR|iShares Short Maturity Municipal Bond ETF|Managed Fund Shares|USD|650000|N|Tier 1|2015-03-05|Y|||N|N|100||0 MRGR|ProShares Merger ETF|Index Fund Shares|USD|200001|N|Tier 1|2012-12-13|Y|||N|N|100||0 NEAR|iShares Short Maturity Bond ETF|Managed Fund Shares|USD|41300000|N|Tier 1|2013-09-26|Y|||N|N|100||0 OILK|ProShares K-1 Free Crude Oil Strategy ETF|Managed Fund Shares|USD|250000|N|Tier 1|2016-09-28|Y|||N|N|100||0 PAEU|Pacer Autopilot Hedged European Index ETF|Index Fund Shares|USD|100000|N|Tier 1|2015-12-15|Y|||N|N|100||0 PEX|ProShares Global Listed Private Equity ETF|Index Fund Shares|USD|200001|N|Tier 1|2013-02-28|Y|||N|N|100||0 PFV|Amplify YieldShares Prime 5 Dividend ETF|Index Fund Shares|USD|100000|N|Tier 1|2016-09-21|Y|||N|N|100||0 PGHD|Pacer Global High Dividend ETF|Index Fund Shares|USD|650000|N|Tier 1|2016-02-23|Y|||N|N|100||0 PRNT|The 3D Printing ETF|Index Fund Shares|USD|200001|N|Tier 1|2016-07-19|Y|||N|N|100||0 PTEU|Pacer TrendpilotTM European Index ETF|Index Fund Shares|USD|1000000|N|Tier 1|2015-12-15|Y|||N|N|100||0 PTLC|Pacer Trendpilot 750 ETF|Index Fund Shares|USD|16800000|N|Tier 1|2015-06-12|Y|||N|N|100||0 PTMC|Pacer Trendpilot 450 ETF|Index Fund Shares|USD|6650000|N|Tier 1|2015-06-12|Y|||N|N|100||0 PTNQ|Pacer Trendpilot 100 ETF|Index Fund Shares|USD|2850000|N|Tier 1|2015-06-12|Y|||N|N|100||0 QMOM|MomentumShares U.S. Quantitative Momentum ETF|Managed Fund Shares|USD|950000|N|Tier 1|2015-12-02|Y|||N|N|100||0 QVAL|ValueShares U.S. Quantitative Value ETF|Managed Fund Shares|USD|2400000|N|Tier 1|2014-10-22|Y|||N|N|100||0 RCOM|Elkhorn Fundamental Commodity Strategy ETF|Managed Fund Shares|USD|400002|N|Tier 1|2016-09-21|Y|||N|N|100||0 REGL|ProShares S&P MidCap 400 Dividend Aristocrats ETF|Index Fund Shares|USD|3100001|N|Tier 1|2015-12-15|N|||N|N|100||0 SFHY|WisdomTree Fundamental U.S. Short-Term High Yield Corporate Bond Fund|Index Fund Shares|USD|100002|N|Tier 1|2016-04-27|Y|||N|N|100||0 SFIG|WisdomTree Fundamental U.S. Short-Term Corporate Bond Fund|Index Fund Shares|USD|100002|N|Tier 1|2016-04-27|Y|||N|N|100||0 SMDV|ProShares Russell 2000 Dividend Growers ETF|Index Fund Shares|USD|2575001|N|Tier 1|2015-12-15|N|||N|N|100||0 SMIN|iShares MSCI India Small-Cap ETF|Index Fund Shares|USD|1950000|N|Tier 1|2012-02-09|Y|||N|N|100||0 SMMV|iShares Edge MSCI Min Vol USA Small-Cap ETF|Index Fund Shares|USD|100000|N|Tier 1|2016-09-09|Y|||N|N|100||0 STOT|SPDR DoubleLine Short Duration Total Return Tactical ETF|Managed Fund Shares|USD|1000000|N|Tier 1|2016-04-14|Y|||N|N|100||0 TCHF|iShares Edge MSCI Multifactor Technology ETF|Index Fund Shares|USD|100000|N|Tier 1|2016-05-12|Y|||N|N|100||0 TTAC|TrimTabs Float Shrink ETF|Managed Fund Shares|USD|100000|N|Tier 1|2016-09-28|Y|||N|N|100||0 UTLF|iShares Edge MSCI Multifactor Utilities ETF|Index Fund Shares|USD|100000|N|Tier 1|2016-05-12|Y|||N|N|100||0 VMAX|REX VolMAXX Long VIX Weekly Futures Strategy ETF|Managed Fund Shares|USD|200000|N|Tier 1|2016-05-03|Y|||N|N|100||0 VMIN|REX VolMAXX Inverse VIX Weekly Futures Strategy ETF|Managed Fund Shares|USD|100000|N|Tier 1|2016-05-03|Y|||N|N|100||0 WFHY|WisdomTree Fundamental U.S. High Yield Corporate Bond Fund|Index Fund Shares|USD|100002|N|Tier 1|2016-04-27|Y|||N|N|100||0 WFIG|WisdomTree Fundamental U.S. Corporate Bond Fund|Index Fund Shares|USD|100002|N|Tier 1|2016-04-27|Y|||N|N|100||0 WYDE|ProShares CDS Short North American HY Credit ETF|Managed Fund Shares|USD|100001|N|Tier 1|2014-08-07|Y|||N|N|100||0 ZBZX|BATS Listing Test|Primary Equity|USD|0|Y|Tier 1|2016-04-02|Y|||N|N|100||0 ZTEST|BATS Test|Primary Equity|USD|0|Y|Tier 1|2016-04-14|Y|||N|N|100||0 ZTST|BATS Test 2|Primary Equity|USD|0|Y|Tier 1|2016-04-02|Y|||N|N|100||0