ETF Bond List - naic.org

1 ETF Bond ListETFs Eligible to be Reported as BondsSeptember 25, 2018 naic Executive Office444 North Capitol Street, NWSuite 700 Washington, DC Capital Markets& Investment Analysis OfficeOne New York Plaza, Suite 4210 New York, NY 2018 National Association of Insurance Commissioners. All rights in the United States of AmericaNo part of this book may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic or mechanical, including photocopying, recording, or any storage or retrieval system, without written permission from the Central Office 1100 Walnut StreetSuite 1500 Kansas City, MO collection of naic model laws, regulations and guidelines; state laws on insurance topics.

2 And other regulatory guidance on antifraud and consumer Markets & Investment Analysis Information regarding portfolio values and procedures for complying with naic reporting RegulationRegulatory and industry guidance on market- related issues, including antifraud, product fi ling requirements, producer licensing and market PapersRelevant studies, guidance and naic policy positions on a variety of insurance ActivitiesNAIC member directories, in-depth reporting of state regulatory activities and official historical records of naic national meetings and other more information about naic publications, visit us at: naic is the authoritative source for insurance industry information.

3 Our expert solutions support the efforts of regulators, insurers and researchers by providing detailed and comprehensive insurance information. The naic offers a wide range of publications in the following categories:Accounting & ReportingInformation about statutory accounting principles and the procedures necessary for fi ling financial annual statements and conducting risk-based capital StudiesStudies, reports, handbooks and regulatory research conducted by naic members on a variety of insurance related InformationImportant answers to common questions about auto, home, health and life insurance as well as buyer s guides on annuities, long-term care insurance and Medicare supplement ReportsValuable and in-demand insurance industry-wide statistical data for various lines of business.

4 Including auto, home, health and life RegulationUseful handbooks, compliance guides and reports on financial analysis, company licensing, state audit requirements and ProductsGuidance manuals, handbooks, surveys and research on a wide variety of Association of Insurance CommissionersList of Approved ETFs for Reporting as Bonds as of September 25, 2018 ETF NAMECUSIPX trackers High Beta High Yield Bond ETF233051259 Xtrackers Low Beta High Yield Bond ETF233051267 Xtrackers Short Duration High Yield Bond ETF233051283 Deutsche X-trackers USD High Yield Corporate Bond ETF233051432 Deutsche X-trackers Municipal Infrastructure Revenue Bond ETF233051705 First Trust Senior Loan ETF33738D309 First Trust Enhanced Short Maturity ETF33739Q408 FlexShares iBoxx 3-Year Target Duration TIPS Index Fund33939L506 FlexShares iBoxx 5-Year Target Duration TIPS Index Fund33939L605 FlexShares Ready Access Variable Income Fund33939L886 Franklin

5 Short Duration Government ETF353506108 Goldman Sachs Access High Yield Corporate Bond ETF381430453 Goldman Sachs Access Investment Grade Corporate Bond ETF381430479 Goldman Sachs Treasury Access 0-1 Year ETF381430529 Highland/iBoxx Senior Loan ETF430101774IQ MacKay Shields Municipal Intermediate ETF45409F827IQ MacKay Shields Municipal Insured ETF45409F843 Invesco International Corporate Bond ETF46138E636 Invesco Fundamental High Yield Corporate Bond ETF46138E719 Invesco Emerging Markets Sovereign Debt ETF46138E784 Invesco Senior Loan ETF46138G508 Invesco Taxable Municipal Bond ETF46138G805 NOTE:An insurance company that purchases an ETF whose name was added by the SVO to: the List of Exchange Traded Funds Eligible for Reporting as a Schedule D Bond or to the List of Exchange Traded Funds Eligible for Reporting as a Schedule D Preferred Stock,must file the ETF with the SVO if they wish to obtain a final naic Designation for reporting purposes.

6 The Regulatory Treatment Analysis Services ( RTAS ) process used to evaluate ETFs under Part Six, Section 2(d) only results in the assignment of a preliminary naic Designations to the naic Designations are indications of the likely SVO response if the ETF were purchased by an insurer and filed with the SVO for assignment of an naic Designation and are based on preliminary documentation and therefore cannot be used to report the ETF to the naic or state insurance refer to Part Four, Section 3 of the Purposes and Procedures Manual of the naic Investment Analysis Office for text discussing the RTAS process and to Section 3 (a) (ix)

7 Of that Part for a detailed discussion of the preliminary status of naic Designations assigned under the RTAS 1 of 4 2018 National Association of Insurance CommissionersETF NAMECUSIPI nvesco Treasury Collateral ETF46138G888iShares Global High Yield Corporate Bond ETF464286178iShares International High Yield Bond ETF464286210iShares Emerging Markets Corporate Bond ETF464286251iShares Emerging Markets High Yield Bond ETF464286285iShares Emerging Markets Local Currency Bond ETF464286517iShares TIPS Bond ETF464287176iShares Core Aggregate Bond ETF464287226iShares iBoxx $ Investment Grade Corporate Bond ETF464287242iShares 20+ Year Treasury Bond ETF464287432iShares 7-10 Year Treasury Bond ETF464287440iShares 1-3 Year Treasury Bond ETF464287457iShares International Treasury Bond ETF464288117iShares 1-3 Year International Treasury Bond ETF464288125iShares Short-Term National Muni Bond ETF 464288158iShares Agency Bond ETF464288166iShares Morgan USD Emerging Markets Bond ETF464288281iShares New York Muni Bond ETF 464288323iShares California Muni Bond ETF 464288356iShares National Muni Bond ETF 464288414iShares iBoxx $ High Yield Corporate Bond

8 ETF464288513iShares MBS ETF464288588iShares Government/Credit Bond ETF464288596iShares Intermediate Government/Credit Bond ETF464288612iShares Broad USD Investment Grade Corporate Bond ETF464288620iShares Intermediate-Term Corporate Bond ETF464288638iShares Short-Term Corporate Bond ETF464288646iShares 10-20 Year Treasury Bond ETF464288653iShares 3-7 Year Treasury Bond ETF464288661iShares Short Treasury Bond ETF464288679iShares Core Long-Term USD Bond ETF464289479iShares Long-Term Corporate Bond ETF464289511iShares Core Treasury Bond ETF46429B267iShares Aaa - A Rated Corporate Bond ETF46429B291iShares Core GNMA Bond ETF46429B333iShares CMBS ETF46429B366iShares iBonds Sep 2019 Term Muni Bond ETF 46429B564iShares iBonds Sep 2018 Term Muni Bond ETF 46429B580iShares Floating Rate Bond ETF46429B655iShares 0-5 Year TIPS Bond ETF46429B747iShares Short Maturity Bond ETF (Active Fund)

9 46431W507iShares Core Short-Term USD Bond ETF46432F859iShares iBonds Mar 2018 Term Corporate ex-Financials ETF 46432 FAG2iShares iBonds Mar 2020 Term Corporate ex-Financials ETF 46432 FAK3iShares iBonds Mar 2023 Term Corporate ex-Financials ETF 46432 FAN7iShares iBonds Mar 2018 Term Corporate ETF 46432 FAW7 Page 2 of 4 2018 National Association of Insurance CommissionersETF NAMECUSIPiShares iBonds Mar 2023 Term Corporate ETF 46432 FAZ0iShares iBonds Mar 2020 Term Corporate ETF 46432 FBC0iShares 0-5 Year Investment Grade Corporate Bond ETF46434V100iShares 0-5 Year High Yield Corporate Bond ETF46434V407iShares iBonds Sep 2020 Term Muni Bond ETF 46434V571iShares Core Total USD Bond Market ETF46434V613iShares Yield Optimized Bond ETF46434V787iShares Treasury Floating Rate Bond ETF46434V860iShares Liquidity Income ETF (Active Fund)

10 46434V878iShares iBonds Dec 2018 Term Corporate ETF 46434 VAA8iShares iBonds Dec 2020 Term Corporate ETF 46434 VAQ3iShares iBonds Dec 2019 Term Corporate ETF 46434 VAU4iShares iBonds Dec 2023 Term Corporate ETF 46434 VAX8iShares iBonds Dec 2022 Term Corporate ETF 46434 VBA7iShares iBonds Dec 2025 Term Corporate ETF 46434 VBD1iShares iBonds Dec 2024 Term Corporate ETF 46434 VBG4iShares iBonds Dec 2021 Term Corporate ETF 46434 VBK5iShare 10+ Year Investment Grade Corporate Bond ETF46435G144iShare 5-10 Year Investment Grade Corporate Bond ETF46435G151iShares ESG USD Corporate Bond ETF46435G193iShares Edge Investment Grade Enhanced Bond ETF46435G219iShares ESG 1-5 Year USD Corporate Bond ETF46435G243iShares Edge High Yield Defensive Bond ETF46435G250iShares iBoxx $ High Yield ex Oil & Gas Corporate Bond ETF46435G441iShares Fallen Angels USD Bond ETF46435G474iShares iBonds Dec 2022 Term Muni Bond ETF 46435G755iShares iBonds Dec 2021 Term Muni Bond ETF 46435G789iShares iBonds Dec 2026 Term Corporate ETF46435 GAA0iShares Broad USD High Yield Corporate Bond ETF46435U853 JPMorgan Ultra-Short Income ETF46641Q837 J