|
The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete. |
| Form N-CEN Filer Information |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-CEN ANNUAL REPORT FOR REGISTERED INVESTMENT COMPANIES | OMB APPROVAL |
| OMB Number: 3235-0729 Estimated average burden hours per response: 19.04 |
| Series ID Record | Series ID | Class ID |
|---|---|---|
| #1 | S000019191 | 1. C000053008 |
| #2 | S000069557 | 1. C000221911 |
| #3 | S000032925 | 1. C000101627 |
| #4 | S000019190 | 1. C000053007 |
| #5 | S000036772 | 1. C000112461 |
| #6 | S000036768 | 1. C000112445 |
| #7 | S000019193 | 1. C000053010 |
| #8 | S000069556 | 1. C000221910 |
| #9 | S000068447 | 1. C000218865 |
| #10 | S000028942 | 1. C000088892 |
| #11 | S000056168 | 1. C000176891 |
| #12 | S000076160 | 1. C000235633 |
| #13 | S000038973 | 1. C000119796 |
| #14 | S000019192 | 1. C000053009 |
| a. Report for period ending: | 2025-04-30 |
| b. Does this report cover a period of less than 12 months? | ☐ Yes ☒ No |
| a. Full name of Registrant | VanEck ETF Trust |
|
b. Investment Company Act file number ( e.g., 811-) | 811-10325 |
| c. CIK | 0001137360 |
| d. LEI | 549300ZLFKNTXC51ZN76 |
| a. Street 1 | 666 THIRD AVENUE, 9TH FLOOR |
| Street 2 | |
| b. City | NEW YORK |
| c. State, if applicable |
NEW YORK
|
| d. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| e. Zip code and zip code extension, or foreign postal code | 10017 |
| f. Telephone number (including country code if foreign) | 212-293-2000 |
| g. Public Website, if any | vaneck.com |
| Instruction. Provide the requested information for each person maintaining physical possession of each account, book, or other document required to be maintained by section 31(a) of the Act (15 U.S.C. 80a-30(a)) and the rules under that section. |
| Location Books Record |
Name of person (e.g., a custodian of records) | Telephone | Address | Briefly describe books and records kept at this location |
|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | 617-786-3000 | 1 Congress Street Suite 1 Boston, MASSACHUSETTS 02114 UNITED STATES OF AMERICA | Accounting and Custody Records |
| Instruction. Respond "yes" to Item B.4.b only if the Registrant has filed an application to deregister or will file an application to deregister before its next required filing on this form. |
| a. Is this the first filing on this form by the Registrant? | ☐ Yes ☒ No |
| b. Is this the last filing on this form by the Registrant? | ☐ Yes ☒ No |
| Instruction. "Family of investment companies" means, except for insurance company separate accounts, any two or more registered investment companies that (i) share the same investment adviser or principal underwriter; and (ii) hold themselves out to investors as related companies for purposes of investment and investor services. In responding to this item, all Registrants in the family of investment companies should report the name of the family of investment companies identically. |
| Insurance company separate accounts that may not hold themselves out to investors as related companies (products) for purposes of investment and investor services should consider themselves part of the same family if the operational or accounting or control systems under which these entities function are substantially similar. |
| a. Is the Registrant part of a family of investment companies? | ☒ Yes ☐ No |
| i. Full name of family of investment companies | VANECKFUND |
| Instruction. For Item B.6.a.i., the Registrant should include all Series that have been established by the Registrant and have shares outstanding (other than shares issued in connection with an initial investment to satisfy section 14(a) of the Act). |
| a. Indicate the classification of the Registrant by checking the applicable item | ☒
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 |
| i. Total number of Series of the Registrant | 68 |
| ii. If a Series of the Registrant with a fiscal year end covered by the report was terminated during the reporting period, provide the following information: |
| Terminated Organization Record | Name of the Series | Series identification number | Date of termination (month/year) |
|---|---|---|---|
| #1 | VanEck Dynamic High Income ETF | S000076160 | 10/2024 |
| a. Is the Registrant the issuer of a class of securities registered under the Securities Act of 1933 ("Securities Act")? | ☒ Yes ☐ No |
| a. Provide the information requested below about each person serving as director of the Registrant (management investment companies only): |
| Director Record | Full Name | CRD number, if any | Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-): |
|---|---|---|---|---|
| #1 | Laurie A. Hesslein | 001158755 | No | N/A |
| #2 | R. Alastair Short | N/A | No | 811-05083 811-04297 |
| #3 | Richard D. Stamberger | N/A | No | N/A |
| #4 | Peter J. Sidebottom | 005634536 | No | N/A |
| #5 | David H. Chow | 001401207 | No | 811-03833-01 811-22551 811-22321 811-04550 |
| #6 | Jan F. Van Eck | 001695680 | Yes | 811-05083 811-04297 |
| a. Provide the information requested below about each person serving as chief compliance officer (CCO) of the Registrant for purposes of rule 38a-1 (17 CFR 270.38a- 1): |
| Chief Compliance Officer Record | Full Name | CRD Number, if any | Telephone | Address | Has the CCO changed since the last filing? | If the chief compliance officer is compensated or employed by any person other than the Registrant, or an affiliated person of the Registrant, for providing chief compliance officer services, provide: |
|---|---|---|---|---|---|---|
| #1 | Francesco Michael Gozzillo | 002099916 | XXXXXX | 666 Third Avenue, 9th Floor New York, NEW YORK 10017 UNITED STATES OF AMERICA | No |
|
| Instruction. Registrants registered on Forms N-3, N-4 or N-6, should respond "yes" to this Item only if security holder votes were solicited on contract-level matters. |
| a. Were any matters submitted by the Registrant for its security holders' vote during the reporting period? | ☐ Yes ☒ No |
| Instruction. For purposes of this Item, the following proceedings should be described: (1) any bankruptcy, receivership or similar proceeding with respect to the Registrant or any of its significant subsidiaries; (2) any proceeding to which any director, officer or other affiliated person of the Registrant is a party adverse to the Registrant or any of its subsidiaries; and (3) any proceeding involving the revocation or suspension of the right of the Registrant to sell securities. |
| a. Have there been any material legal proceedings, other than routine litigation incidental to the business, to which the Registrant or any of its subsidiaries was a party or of which any of their property was the subject during the reporting period? | ☐ Yes ☒ No |
| b. Has any proceeding previously reported been terminated? | ☐ Yes ☒ No |
| a. Were any claims with respect to the Registrant filed under a fidelity bond (including, but not limited to, the fidelity insuring agreement of the bond) during the reporting period? | ☐ Yes ☒ No |
| a. Are the Registrant's officers or directors covered in their capacities as officers or directors under any directors and officers/errors and omissions insurance policy owned by the Registrant or anyone else? | ☒ Yes ☐ No |
| i. If yes, were any claims filed under the policy during the reporting period with respect to the Registrant? | ☐ Yes ☒ No |
| Instruction. For purposes of this Item, a provision of financial support includes any (1) capital contribution, (2) purchase of a security from a Money Market Fund in reliance on rule 17a-9 under the Act (17 CFR 270.17a-9), (3) purchase of any defaulted or devalued security at fair value reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio, (4) execution of letter of credit or letter of indemnity, (5) capital support agreement (whether or not the Registrant ultimately received support), (6) performance guarantee, or (7) other similar action reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio. Provision of financial support does not include any (1) routine waiver of fees or reimbursement of Registrant's expenses, (2) routine inter-fund lending, (3) routine inter-fund purchases of Registrant's shares, or (4) action that would qualify as financial support as defined above, that the board of directors has otherwise determined not to be reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio. |
| a. Did an affiliated person, promoter, or principal underwriter of the Registrant, or an affiliated person of such a person, provide any form of financial support to the Registrant during the reporting period? | ☐ Yes ☒ No |
| a. During the reporting period, did the Registrant rely on any orders from the Commission granting an exemption from one or more provisions of the Act, Securities Act or Exchange Act? | ☒ Yes ☐ No |
| i. If yes, provide the release number for each order: |
|
| a. Provide the information requested below about each principal underwriter: |
| Principal Underwriter Record | Full Name | SEC file number (e.g., 8-) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor? |
|---|---|---|---|---|---|---|---|
| #1 | Van Eck Securities Corporation | 8-4618 | 000002269 | LEI: N/A | NEW YORK | UNITED STATES OF AMERICA | Yes |
| b. Have any principal underwriters been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each independent public accountant: |
| Public Accountant Record | Full Name | PCAOB Number | Identifying number(s) | State, if applicable | Foreign country, if applicable |
|---|---|---|---|---|---|
| #1 | PricewaterhouseCoopers LLP | 238 | LEI: 5493002GVO7EO8RNNS37 | NEW YORK | UNITED STATES OF AMERICA |
| b. Has the independent public accountant changed since the last filing? | ☐ Yes ☒ No |
| Instruction. Small business investment companies are not required to respond to this item. |
| a. For the reporting period, did an independent public accountant's report on internal control note any material weaknesses? | ☐ Yes ☒ No |
| a. For the reporting period, did an independent public accountant issue an opinion other than an unqualified opinion with respect to its audit of the Registrant's financial statements? | ☐ Yes ☒ No |
| Instruction. Responses to this item need not include changes to valuation techniques used for individual securities (e.g., changing from market approach to income approach for a private equity security). In responding to Item B.20.c., provide the applicable "asset type" category specified in Item C.4.a. of Form N-PORT. In responding to Item B.20.d., provide a brief description of the type of investments involved. If the change in valuation methods applies only to certain sub-asset types included in the response to Item B.20.c., please provide the sub-asset types in the response to Item B.20.d. The responses to Item B.20.c. and Item B.20.d. should be identical only if the change in valuation methods applies to all assets within that category. |
| a. Have there been material changes in the method of valuation (e.g., change from use of bid price to mid price for fixed income securities or change in trigger threshold for use of fair value factors on international equity securities) of the Registrant's assets during the reporting period? | ☒ Yes ☐ No |
| i. If yes, provide the following: |
| Valuation Methods Change Record | Date of Change | Explanation of the change | Asset type involved (if "other", provide a brief description) | Types of investments involved | Statutory or regulatory basis, if any |
|---|---|---|---|---|---|
| #1 | 2024-07-01 | Confidence level for applying ICE Fair Value Factors. This went for a 75% confidence to 90% confidence | Other: Equity-common and Equity-preferred | Common Stocks and Preferred Stocks | N/A |
| To the extent the response relates only to certain series of the Registrant, indicate the series involved: | |||||
| Fund Record | Series name | Series identification number | |||
| #1 | N/A | N/A | |||
| a. Have there been any changes in accounting principles or practices, or any change in the method of applying any such accounting principles or practices, which will materially affect the financial statements filed or to be filed for the current year with the Commission and which has not been previously reported? | ☐ Yes ☒ No |
| a. During the reporting period, were any payments made to shareholders or shareholder accounts reprocessed as a result of an error in calculating the Registrant's net asset value (or net asset value per share)? | ☐ Yes ☒ No |
| a. During the reporting period, did the Registrant pay any dividend or make any distribution in the nature of a dividend payment, required to be accompanied by a written statement pursuant to section 19(a) of the Act (15 U.S.C. 80a-19(a)) and rule 19a-1 thereunder (17 CFR 270.19a-1)? | ☒ Yes ☐ No |
| i. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: |
| Payment dividend series info Record | Series name | Series identification number |
|---|---|---|
| #1 | VanEck CEF Muni Income ETF | S000032925 |
| Management investment companies that offer multiple series must complete Part C as to each series separately, even if some information is the same for two or more series. To begin this section or add an additional series(s), click on the bar labeled "Add a New Series" below. |
| Management Investment Record: 1 |
| a. Full Name of the Fund | VanEck Long Muni ETF |
| b. Series identication number, if any | S000019191 |
| c. LEI | 549300IDZV3WP33JOF22 |
| d. Is this the first filing on this form by the Fund? | ☐ Yes ☒ No |
| a. How many Classes of shares of the Fund (if any) are authorized? | 0 |
| b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
| c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
| d. For each Class with shares outstanding, provide the information requested below: |
| Shares Outstanding Record | Full name of Class | Class identification number, if any | Ticker symbol, if any |
|---|---|---|---|
| #1 | VanEck Long Muni ETF | C000053008 | MLN |
| Instructions: 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
| a. Indicate if the Fund is any one of the types listed. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or
offers a Class that itself is an Exchange-Traded Fund or
Exchange-Traded Managed Fund
☒ i. Exchange-Traded Fund ☐ ii. Exchange-Traded Managed Fund ☒ b. Index Fund ☐ c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark ☐ d. Interval Fund ☐ e. Fund of Funds ☐ f. Master-Feeder Fund ☐ g. Money Market Fund ☐ h. Target Date Fund ☐ i. Underlying fund to a variable annuity or variable life insurance contract ☐ N/A |
| i. Is the index whose performance the Fund tracks, constructed: | |
| 1. By an affiliated person of the fund? | ☐ Yes ☒ No |
| 2. Exclusively for the fund? | ☐ Yes ☒ No |
| ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return): | |
| 1. Before Fund fees and expenses: | 0.00200000 |
| 2. After Fund fees and expenses (i.e., net asset value): | -0.24000000 |
| iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period: | |
| 1. Before Fund fees and expenses: | 0.13800000 |
| 2. After Fund fees and expenses (i.e., net asset value): | 0.13800000 |
| a. Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ☐ Yes ☒ No |
| Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
| a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ☐ Yes ☒ No |
| Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
| a. Is the Fund authorized to engage in securities lending transactions? | ☐ Yes ☒ No |
| b. Did the Fund lend any of its securities during the reporting period? | ☐ Yes ☒ No |
| c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
| Securities Lending Record | Full name of securities lending agent | Identifying number(s) | Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | — | — | — | — | — |
|---|
| d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
| Collateral Managers Record | Full name of cash collateral manager | Identifying number(s) | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | — | — | — | — | — |
|---|
| e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ☐
i. Revenue sharing split
☐ ii. Non-revenue sharing split (other than administrative fee) ☐ iii. Administrative fee ☐ iv. Cash collateral reinvestment fee ☐ v. Indemnification fee ☐ vi. Other ☒ N/A |
| f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | N/A |
| g. Provide the net income from securities lending activities | N/A |
| a. Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) | ☐
a. Rule 10f-3 (17 CFR 270.10f-3)
☐ b. Rule 12d1-1 (17 CFR 270.12d1-1) ☐ c. Rule 15a-4 (17 CFR 270.15a-4) ☐ d. Rule 17a-6 (17 CFR 270.17a-6) ☒ e. Rule 17a-7 (17 CFR 270.17a-7) ☐ f. Rule 17a-8 (17 CFR 270.17a-8) ☐ g. Rule 17e-1 (17 CFR 270.17e-1) ☐ h. Rule 22d-1 (17 CFR 270.22d-1) ☐ i. Rule 23c-1 (17 CFR 270.23c-1) ☒ j. Rule 32a-4 (17 CFR 270.32a-4) ☒ k. Rule 6c-11 (17 CFR 270.6c-11) ☒ l. Rule 12d1-4 (17 CFR 270.12d1-4) ☐ m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) ☐ n. Rule 18f-4 (17 CFR 270.18f-4) ☐
i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4)
program requirement and limit on fund leverage risk under
rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))?
☐
N/A
☐ ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? ☐ iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? ☐ iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? ☐ v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? ☐ vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? |
| Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
| a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ☐ Yes ☒ No |
| b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ☐ Yes ☒ No |
| c. Are the fees waived subject to recoupment? | ☐ Yes ☒ No |
| d. Were any expenses previously waived recouped during the period? | ☐ Yes ☒ No |
| a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
| Investment Advisers Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Was the investment adviser hired during the reporting period? |
|---|---|---|---|---|---|---|---|
| #1 | Van Eck Associates Corporation | 801-21340 | 000105080 | LEI: 549300R5E0DJJN8D4E32 | NEW YORK | UNITED STATES OF AMERICA | No |
| b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
| Investment Advisers Terminated Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — | — |
|---|
| c. For each sub-adviser to the Fund, provide the information requested: |
| Sub-Advisors Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | Was the sub-adviser hired during the reporting period? | — | — | — | — | — | — | — | — | — |
|---|
| d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
| Sub-Advisors Terminated Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — | — |
|---|
| a. Provide the following information about each person providing transfer agency services to the Fund: |
| Transfer Agents Record | Full name |
SEC file number ( e.g., 801- ) | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | Is the transfer agent a sub-transfer agent? |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | 85-05003 | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a transfer agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
| Pricing Services Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
|---|---|---|---|---|---|
| #1 | Bloomberg L.P. | LEI: 549300B56MD0ZC402L06 | NEW YORK | UNITED STATES OF AMERICA | No |
| #2 | London Stock Exchange Group PLC | LEI: 213800QAUUUP6I445N30 | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND | No | |
| #3 | PricingDirect Inc. | LEI: 549300WIC0TOJ7N7GD54 | NEW YORK | UNITED STATES OF AMERICA | No |
| #4 | ICE Data Services, Inc. | LEI: 13-3668779 | GEORGIA | UNITED STATES OF AMERICA | No |
| #5 | S&P Global Inc. | LEI: Y6X4K52KMJMZE7I7MY94 | NEW YORK | UNITED STATES OF AMERICA | No |
| b. Was a pricing service hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
| Custodians Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the custodian an affiliated person of the Fund or its investment adviser(s)? | Is the custodian a sub-custodian? |
Type of custody (describe if "Other") |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No | Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) |
| b. Has a custodian been hired or terminated during the reporting period?* | ☐ Yes ☒ No |
| a. Provide the following information about each shareholder servicing agent of the Fund: |
| Shareholder Servicing Agents Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | Is the shareholder servicing agent a sub-shareholder servicing agent? |
|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each administrator of the Fund: |
| Administrators Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the administrator an affiliated person of the Fund or its investment adviser(s)? | Is the administrator a sub-administrator? |
|---|---|---|---|---|---|---|
| #1 | Van Eck Associates Corporation | LEI: 549300R5E0DJJN8D4E32 | NEW YORK | UNITED STATES OF AMERICA | Yes | No |
| b. Has a third-party administrator been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each affiliated broker-dealer: |
| Broker-Dealers Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Total commissions paid to the affiliated broker-dealer for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | Van Eck Securities Corporation | 8-4618 | 000002269 | LEI: N/A | NEW YORK | UNITED STATES OF AMERICA | 0.00000000 |
| Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
| a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
| Brokers Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Gross commissions paid by the Fund for the reporting period | — | — | — | — | — | — | — | — |
|---|
| b. Aggregate brokerage commissions paid by Fund during the reporting period: | 0.00000000 |
| a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
| Principal Transactions Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Total value of purchases and sales (excluding maturing securities) with Fund |
|---|---|---|---|---|---|---|---|
| #1 | National Financial Services LLC | 8-26740 | 000013041 | LEI: 549300JRHF1MHHWUAW04 | MASSACHUSETTS | UNITED STATES OF AMERICA | 10,416,030.90000000 |
| #2 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | LEI: VYVVCKR63DVZZN70PB21 | NORTH CAROLINA | UNITED STATES OF AMERICA | 22,165,742.30000000 |
| #3 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | LEI: FOR8UP27PHTHYVLBNG30 | NEW YORK | UNITED STATES OF AMERICA | 22,100,430.43000000 |
| #4 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | LEI: 9R7GPTSO7KV3UQJZQ078 | NEW YORK | UNITED STATES OF AMERICA | 18,704,158.40000000 |
| #5 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | NEW YORK | UNITED STATES OF AMERICA | 25,226,967.50000000 |
| #6 | Jefferies LLC | 8-15074 | 000002347 | LEI: 58PU97L1C0WSRCWADL48 | NEW YORK | UNITED STATES OF AMERICA | 17,751,647.60000000 |
| #7 | BofA Securities, Inc. | 8-69787 | 000283942 | LEI: 549300HN4UKV1E2R3U73 | NEW YORK | UNITED STATES OF AMERICA | 19,216,234.60000000 |
| #8 | BNY Capital Markets, LLC | 8-35255 | 000017454 | LEI: VJW2DOOHGDT6PR0ZRO63 | NEW YORK | UNITED STATES OF AMERICA | 25,237,947.50000000 |
| #9 | RBC Capital Markets, LLC | 8-45411 | 000031194 | LEI: 549300LCO2FLSSVFFR64 | NEW YORK | UNITED STATES OF AMERICA | 15,885,497.70000000 |
| #10 | UBS Securities LLC | 8-22651 | 000007654 | LEI: T6FIZBDPKLYJKFCRVK44 | NEW YORK | UNITED STATES OF AMERICA | 5,115,880.00000000 |
| b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 205,107,946.44000000 |
| a. During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ☐ Yes ☒ No |
| a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 511,078,772.76461538 |
| b. Provide the money market fund's daily average net assets during the reporting period |
| For open-end management investment companies, respond to the following: |
| a. Does the Fund have available a line of credit? | ☒ Yes ☐ No |
| i. If yes, for each line of credit, provide the information requested below: |
| Line of Credit Details Record: 1 |
| i. Is the line of credit a committed or uncommitted line of credit? | ☒ Committed ☐ Uncommitted |
| ii. What size is the line of credit? | 200,000,000.00000000 |
| iii. With which institution(s) is the line of credit? |
|
| iv. Is the line of credit just for the Fund, or is it shared among multiple funds? | ☐ Sole ☒ Shared |
| 1. If shared, list the names of other funds that may use the line of credit. |
| Shared Credit Users Record | Name of fund | SEC File number(e.g., 811-) |
|---|---|---|
| #1 | VanEck Morningstar Wide Moat Value ETF | 811-10325 |
| #2 | VanEck Pharmaceutical ETF | 811-10325 |
| #3 | VanEck Africa Index ETF | 811-10325 |
| #4 | VanEck Fabless Semiconductor ETF | 811-10325 |
| #5 | VanEck BDC Income ETF | 811-10325 |
| #6 | VanEck Low Carbon Energy ETF | 811-10325 |
| #7 | VanEck High Yield Muni ETF | 811-10325 |
| #8 | VanEck Brazil Small-Cap ETF | 811-10325 |
| #9 | VanEck AA-BB CLO ETF | 811-10325 |
| #10 | VanEck Gold Miners ETF | 811-10325 |
| #11 | VanEck ChiNext ETF | 811-10325 |
| #12 | VanEck Uranium and Nuclear ETF | 811-10325 |
| #13 | VanEck Energy Income ETF | 811-10325 |
| #14 | VanEck Rare Earth and Strategic Metals ETF | 811-10325 |
| #15 | VanEck Gaming ETF | 811-10325 |
| #16 | VanEck Oil Services ETF | 811-10325 |
| #17 | VanEck Morningstar Wide Moat Growth ETF | 811-10325 |
| #18 | VanEck Steel ETF | 811-10325 |
| #19 | VanEck Semiconductor ETF | 811-10325 |
| #20 | VanEck Moody's Analytics IG Corporate Bond ETF | 811-10325 |
| #21 | VanEck Retail ETF | 811-10325 |
| #22 | VanEck Indonesia Index ETF | 811-10325 |
| #23 | VanEck CEF Muni Income ETF | 811-10325 |
| #24 | VanEck Junior Gold Miners ETF | 811-10325 |
| #25 | VanEck Environmental Services ETF | 811-10325 |
| #26 | VanEck Morningstar SMID Moat ETF | 811-10325 |
| #27 | VanEck Biotech ETF | 811-10325 |
| #28 | VanEck Mortgage REIT Income ETF | 811-10325 |
| #29 | VanEck Emerging Markets High Yield Bond ETF | 811-10325 |
| #30 | VanEck Digital Transformation ETF | 811-10325 |
| #31 | VanEck Robotics ETF | 811-10325 |
| #32 | VanEck CLO ETF | 811-10325 |
| #33 | VanEck Morningstar Global Wide Moat ETF | 811-10325 |
| #34 | VanEck Office and Commercial REIT ETF | 811-10325 |
| #35 | VanEck Short Muni ETF | 811-10325 |
| #36 | VanEck Vietnam ETF | 811-10325 |
| #37 | VanEck HIP Sustainable Muni ETF | 811-10325 |
| #38 | VanEck International High Yield Bond ETF | 811-10325 |
| #39 | VanEck Digital India ETF | 811-10325 |
| #40 | VanEck Short High Yield Muni ETF | 811-10325 |
| #41 | VanEck CMCI Commodity Strategy ETF | 811-10325 |
| #42 | VanEck Long/Flat Trend ETF | 811-10325 |
| #43 | VanEck Green Metals ETF | 811-10325 |
| #44 | VanEck Morningstar ESG Moat ETF | 811-10325 |
| #45 | VanEck Video Gaming and eSports ETF | 811-10325 |
| #46 | VanEck Intermediate Muni ETF | 811-10325 |
| #47 | VanEck India Growth Leaders ETF | 811-10325 |
| #48 | VanEck J.P. Morgan EM Local Currency Bond ETF | 811-10325 |
| #49 | VanEck Durable High Dividend ETF | 811-10325 |
| #50 | VanEck Commodity Strategy ETF | 811-10325 |
| #51 | VanEck Morningstar Wide Moat ETF | 811-10325 |
| #52 | VanEck Israel ETF | 811-10325 |
| #53 | VanEck Real Assets ETF | 811-10325 |
| #54 | VanEck Social Sentiment ETF | 811-10325 |
| #55 | VanEck China Bond ETF | 811-10325 |
| #56 | VanEck IG Floating Rate ETF | 811-10325 |
| #57 | VanEck Oil Refiners ETF | 811-10325 |
| #58 | VanEck Green Infrastructure ETF | 811-10325 |
| #59 | VanEck Preferred Securities ex Financials ETF | 811-10325 |
| #60 | VanEck Morningstar International Moat ETF | 811-10325 |
| #61 | VanEck Moody's Analytics BBB Corporate Bond ETF | 811-10325 |
| #62 | VanEck Agribusiness ETF | 811-10325 |
| #63 | VanEck Green Bond ETF | 811-10325 |
| #64 | VanEck Natural Resources ETF | 811-10325 |
| #65 | VanEck Fallen Angel High Yield Bond ETF | 811-10325 |
| v. Did the Fund draw on the line of credit this period? | ☐ Yes ☒ No |
| b. Did the Fund engage in interfund lending? | ☐ Yes ☒ No |
| c. Did the Fund engage in interfund borrowing? | ☐ Yes ☒ No |
| For open-end management investment companies, respond to the following: |
| a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ☐ Yes ☐ No |
| For open-end management investment companies subject to rule 22e-4 (17 CFR 270.22e-4), respond to the following: |
| a. Provide the following information about each person that provided liquidity classification services to the Fund during the reporting period: |
| Liquidity Classification Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the liquidity classification service an affiliated person of the Fund or its investment adviser(s)? | Asset class(es) for which liquidity classification services were provided to the Fund | — | — | — | — | — | — | — |
|---|
| b. Was a liquidity classification service hired or terminated during the reporting period? | ☐ Yes ☐ No |
| Management Investment Record: 2 |
| a. Full Name of the Fund | VanEck Moody's Analytics BBB Corporate Bond ETF |
| b. Series identication number, if any | S000069557 |
| c. LEI | 5493002FPKIATTJEQ561 |
| d. Is this the first filing on this form by the Fund? | ☐ Yes ☒ No |
| a. How many Classes of shares of the Fund (if any) are authorized? | 0 |
| b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
| c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
| d. For each Class with shares outstanding, provide the information requested below: |
| Shares Outstanding Record | Full name of Class | Class identification number, if any | Ticker symbol, if any |
|---|---|---|---|
| #1 | VanEck Moody's Analytics BBB Corporate Bond ETF | C000221911 | MBBB |
| Instructions: 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
| a. Indicate if the Fund is any one of the types listed. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or
offers a Class that itself is an Exchange-Traded Fund or
Exchange-Traded Managed Fund
☒ i. Exchange-Traded Fund ☐ ii. Exchange-Traded Managed Fund ☒ b. Index Fund ☐ c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark ☐ d. Interval Fund ☐ e. Fund of Funds ☐ f. Master-Feeder Fund ☐ g. Money Market Fund ☐ h. Target Date Fund ☐ i. Underlying fund to a variable annuity or variable life insurance contract ☐ N/A |
| i. Is the index whose performance the Fund tracks, constructed: | |
| 1. By an affiliated person of the fund? | ☒ Yes ☐ No |
| 2. Exclusively for the fund? | ☐ Yes ☒ No |
| ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return): | |
| 1. Before Fund fees and expenses: | 0.18300000 |
| 2. After Fund fees and expenses (i.e., net asset value): | -0.08700000 |
| iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period: | |
| 1. Before Fund fees and expenses: | 0.19000000 |
| 2. After Fund fees and expenses (i.e., net asset value): | 0.19000000 |
| a. Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ☒ Yes ☐ No |
| Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
| a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ☐ Yes ☒ No |
| Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
| a. Is the Fund authorized to engage in securities lending transactions? | ☒ Yes ☐ No |
| b. Did the Fund lend any of its securities during the reporting period? | ☒ Yes ☐ No |
| i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
| 1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ☐ Yes ☒ No |
| 2. The Fund was otherwise adversely impacted? | ☐ Yes ☒ No |
| c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
| Securities Lending Record | Full name of securities lending agent | Identifying number(s) | Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? |
|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | No | Yes |
| If the entity providing the indemnification is not the securities lending agent, provide the following information: | ||||
| Idemnity Providers Record | Name of person providing indemnification | Identifying number(s) | ||
| #1 | N/A | LEI: N/A | ||
| Did the Fund exercise its indemnification rights during the reporting period? | ☐ Yes ☒ No | |||
| d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
| Collateral Managers Record | Full name of cash collateral manager | Identifying number(s) | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | — | — | — | — | — |
|---|
| e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ☒
i. Revenue sharing split
☐ ii. Non-revenue sharing split (other than administrative fee) ☐ iii. Administrative fee ☐ iv. Cash collateral reinvestment fee ☐ v. Indemnification fee ☐ vi. Other ☐ N/A |
| f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 172,713.05000000 |
| g. Provide the net income from securities lending activities | 839.00000000 |
| a. Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) | ☐
a. Rule 10f-3 (17 CFR 270.10f-3)
☐ b. Rule 12d1-1 (17 CFR 270.12d1-1) ☐ c. Rule 15a-4 (17 CFR 270.15a-4) ☐ d. Rule 17a-6 (17 CFR 270.17a-6) ☐ e. Rule 17a-7 (17 CFR 270.17a-7) ☐ f. Rule 17a-8 (17 CFR 270.17a-8) ☐ g. Rule 17e-1 (17 CFR 270.17e-1) ☐ h. Rule 22d-1 (17 CFR 270.22d-1) ☐ i. Rule 23c-1 (17 CFR 270.23c-1) ☒ j. Rule 32a-4 (17 CFR 270.32a-4) ☒ k. Rule 6c-11 (17 CFR 270.6c-11) ☒ l. Rule 12d1-4 (17 CFR 270.12d1-4) ☐ m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) ☐ n. Rule 18f-4 (17 CFR 270.18f-4) ☐
i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4)
program requirement and limit on fund leverage risk under
rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))?
☐
N/A
☐ ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? ☐ iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? ☐ iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? ☐ v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? ☐ vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? |
| Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
| a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ☐ Yes ☒ No |
| b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ☐ Yes ☒ No |
| c. Are the fees waived subject to recoupment? | ☐ Yes ☒ No |
| d. Were any expenses previously waived recouped during the period? | ☐ Yes ☒ No |
| a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
| Investment Advisers Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Was the investment adviser hired during the reporting period? |
|---|---|---|---|---|---|---|---|
| #1 | Van Eck Associates Corporation | 801-21340 | 000105080 | LEI: 549300R5E0DJJN8D4E32 | NEW YORK | UNITED STATES OF AMERICA | No |
| b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
| Investment Advisers Terminated Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — | — |
|---|
| c. For each sub-adviser to the Fund, provide the information requested: |
| Sub-Advisors Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | Was the sub-adviser hired during the reporting period? | — | — | — | — | — | — | — | — | — |
|---|
| d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
| Sub-Advisors Terminated Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — | — |
|---|
| a. Provide the following information about each person providing transfer agency services to the Fund: |
| Transfer Agents Record | Full name |
SEC file number ( e.g., 801- ) | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | Is the transfer agent a sub-transfer agent? |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | 85-05003 | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a transfer agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
| Pricing Services Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
|---|---|---|---|---|---|
| #1 | S&P Global Inc. | LEI: Y6X4K52KMJMZE7I7MY94 | NEW YORK | UNITED STATES OF AMERICA | No |
| #2 | ICE Data Services, Inc. | LEI: 13-3668779 | GEORGIA | UNITED STATES OF AMERICA | No |
| #3 | PricingDirect Inc. | LEI: 549300WIC0TOJ7N7GD54 | NEW YORK | UNITED STATES OF AMERICA | No |
| #4 | London Stock Exchange Group PLC | LEI: 213800QAUUUP6I445N30 | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND | No | |
| #5 | Bloomberg L.P. | LEI: 549300B56MD0ZC402L06 | NEW YORK | UNITED STATES OF AMERICA | No |
| b. Was a pricing service hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
| Custodians Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the custodian an affiliated person of the Fund or its investment adviser(s)? | Is the custodian a sub-custodian? |
Type of custody (describe if "Other") |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No | Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) |
| b. Has a custodian been hired or terminated during the reporting period?* | ☐ Yes ☒ No |
| a. Provide the following information about each shareholder servicing agent of the Fund: |
| Shareholder Servicing Agents Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | Is the shareholder servicing agent a sub-shareholder servicing agent? |
|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each administrator of the Fund: |
| Administrators Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the administrator an affiliated person of the Fund or its investment adviser(s)? | Is the administrator a sub-administrator? |
|---|---|---|---|---|---|---|
| #1 | Van Eck Associates Corporation | LEI: 549300R5E0DJJN8D4E32 | NEW YORK | UNITED STATES OF AMERICA | Yes | No |
| b. Has a third-party administrator been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each affiliated broker-dealer: |
| Broker-Dealers Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Total commissions paid to the affiliated broker-dealer for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | Van Eck Securities Corporation | 8-4618 | 000002269 | LEI: N/A | NEW YORK | UNITED STATES OF AMERICA | 0.00000000 |
| Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
| a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
| Brokers Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Gross commissions paid by the Fund for the reporting period | — | — | — | — | — | — | — | — |
|---|
| b. Aggregate brokerage commissions paid by Fund during the reporting period: | 0.00000000 |
| a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
| Principal Transactions Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Total value of purchases and sales (excluding maturing securities) with Fund |
|---|---|---|---|---|---|---|---|
| #1 | Jane Street Capital, LLC | 8-52275 | 000103782 | LEI: 549300ZM16HMPEPNV857 | NEW YORK | UNITED STATES OF AMERICA | 1,103,452.83000000 |
| #2 | BofA Securities, Inc. | 8-69787 | 000283942 | LEI: 549300HN4UKV1E2R3U73 | NEW YORK | UNITED STATES OF AMERICA | 10,101,413.88000000 |
| #3 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | NEW YORK | UNITED STATES OF AMERICA | 1,077,844.48000000 |
| b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 12,400,741.66000000 |
| a. During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ☐ Yes ☒ No |
| a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 8,901,264.85692307 |
| b. Provide the money market fund's daily average net assets during the reporting period |
| For open-end management investment companies, respond to the following: |
| a. Does the Fund have available a line of credit? | ☒ Yes ☐ No |
| i. If yes, for each line of credit, provide the information requested below: |
| Line of Credit Details Record: 1 |
| i. Is the line of credit a committed or uncommitted line of credit? | ☒ Committed ☐ Uncommitted |
| ii. What size is the line of credit? | 200,000,000.00000000 |
| iii. With which institution(s) is the line of credit? |
|
| iv. Is the line of credit just for the Fund, or is it shared among multiple funds? | ☐ Sole ☒ Shared |
| 1. If shared, list the names of other funds that may use the line of credit. |
| Shared Credit Users Record | Name of fund | SEC File number(e.g., 811-) |
|---|---|---|
| #1 | VanEck Energy Income ETF | 811-10325 |
| #2 | VanEck Uranium and Nuclear ETF | 811-10325 |
| #3 | VanEck Fallen Angel High Yield Bond ETF | 811-10325 |
| #4 | VanEck Agribusiness ETF | 811-10325 |
| #5 | VanEck Social Sentiment ETF | 811-10325 |
| #6 | VanEck Morningstar Global Wide Moat ETF | 811-10325 |
| #7 | VanEck Durable High Dividend ETF | 811-10325 |
| #8 | VanEck Moody's Analytics IG Corporate Bond ETF | 811-10325 |
| #9 | VanEck Steel ETF | 811-10325 |
| #10 | VanEck High Yield Muni ETF | 811-10325 |
| #11 | VanEck ChiNext ETF | 811-10325 |
| #12 | VanEck Green Metals ETF | 811-10325 |
| #13 | VanEck AA-BB CLO ETF | 811-10325 |
| #14 | VanEck Morningstar International Moat ETF | 811-10325 |
| #15 | VanEck Green Infrastructure ETF | 811-10325 |
| #16 | VanEck Fabless Semiconductor ETF | 811-10325 |
| #17 | VanEck Preferred Securities ex Financials ETF | 811-10325 |
| #18 | VanEck Rare Earth and Strategic Metals ETF | 811-10325 |
| #19 | VanEck Short Muni ETF | 811-10325 |
| #20 | VanEck Oil Refiners ETF | 811-10325 |
| #21 | VanEck Brazil Small-Cap ETF | 811-10325 |
| #22 | VanEck Mortgage REIT Income ETF | 811-10325 |
| #23 | VanEck Israel ETF | 811-10325 |
| #24 | VanEck HIP Sustainable Muni ETF | 811-10325 |
| #25 | VanEck BDC Income ETF | 811-10325 |
| #26 | VanEck Morningstar Wide Moat Growth ETF | 811-10325 |
| #27 | VanEck Indonesia Index ETF | 811-10325 |
| #28 | VanEck China Bond ETF | 811-10325 |
| #29 | VanEck Semiconductor ETF | 811-10325 |
| #30 | VanEck IG Floating Rate ETF | 811-10325 |
| #31 | VanEck Short High Yield Muni ETF | 811-10325 |
| #32 | VanEck Office and Commercial REIT ETF | 811-10325 |
| #33 | VanEck Oil Services ETF | 811-10325 |
| #34 | VanEck Gold Miners ETF | 811-10325 |
| #35 | VanEck Low Carbon Energy ETF | 811-10325 |
| #36 | VanEck Video Gaming and eSports ETF | 811-10325 |
| #37 | VanEck Real Assets ETF | 811-10325 |
| #38 | VanEck Vietnam ETF | 811-10325 |
| #39 | VanEck Pharmaceutical ETF | 811-10325 |
| #40 | VanEck Emerging Markets High Yield Bond ETF | 811-10325 |
| #41 | VanEck Biotech ETF | 811-10325 |
| #42 | VanEck Long Muni ETF | 811-10325 |
| #43 | VanEck Natural Resources ETF | 811-10325 |
| #44 | VanEck Digital Transformation ETF | 811-10325 |
| #45 | VanEck Commodity Strategy ETF | 811-10325 |
| #46 | VanEck J.P. Morgan EM Local Currency Bond ETF | 811-10325 |
| #47 | VanEck CEF Muni Income ETF | 811-10325 |
| #48 | VanEck Morningstar SMID Moat ETF | 811-10325 |
| #49 | VanEck Retail ETF | 811-10325 |
| #50 | VanEck Junior Gold Miners ETF | 811-10325 |
| #51 | VanEck Green Bond ETF | 811-10325 |
| #52 | VanEck CLO ETF | 811-10325 |
| #53 | VanEck India Growth Leaders ETF | 811-10325 |
| #54 | VanEck Morningstar Wide Moat Value ETF | 811-10325 |
| #55 | VanEck Morningstar Wide Moat ETF | 811-10325 |
| #56 | VanEck Robotics ETF | 811-10325 |
| #57 | VanEck Intermediate Muni ETF | 811-10325 |
| #58 | VanEck International High Yield Bond ETF | 811-10325 |
| #59 | VanEck Environmental Services ETF | 811-10325 |
| #60 | VanEck Digital India ETF | 811-10325 |
| #61 | VanEck Morningstar ESG Moat ETF | 811-10325 |
| #62 | VanEck Gaming ETF | 811-10325 |
| #63 | VanEck Africa Index ETF | 811-10325 |
| #64 | VanEck Long/Flat Trend ETF | 811-10325 |
| #65 | VanEck CMCI Commodity Strategy ETF | 811-10325 |
| v. Did the Fund draw on the line of credit this period? | ☐ Yes ☒ No |
| b. Did the Fund engage in interfund lending? | ☐ Yes ☒ No |
| c. Did the Fund engage in interfund borrowing? | ☐ Yes ☒ No |
| For open-end management investment companies, respond to the following: |
| a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ☐ Yes ☐ No |
| For open-end management investment companies subject to rule 22e-4 (17 CFR 270.22e-4), respond to the following: |
| a. Provide the following information about each person that provided liquidity classification services to the Fund during the reporting period: |
| Liquidity Classification Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the liquidity classification service an affiliated person of the Fund or its investment adviser(s)? | Asset class(es) for which liquidity classification services were provided to the Fund | — | — | — | — | — | — | — |
|---|
| b. Was a liquidity classification service hired or terminated during the reporting period? | ☐ Yes ☐ No |
| Management Investment Record: 3 |
| a. Full Name of the Fund | VanEck CEF Muni Income ETF |
| b. Series identication number, if any | S000032925 |
| c. LEI | 549300PUUB20HTFO1M17 |
| d. Is this the first filing on this form by the Fund? | ☐ Yes ☒ No |
| a. How many Classes of shares of the Fund (if any) are authorized? | 0 |
| b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
| c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
| d. For each Class with shares outstanding, provide the information requested below: |
| Shares Outstanding Record | Full name of Class | Class identification number, if any | Ticker symbol, if any |
|---|---|---|---|
| #1 | VanEck CEF Muni Income ETF | C000101627 | XMPT |
| Instructions: 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
| a. Indicate if the Fund is any one of the types listed. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or
offers a Class that itself is an Exchange-Traded Fund or
Exchange-Traded Managed Fund
☒ i. Exchange-Traded Fund ☐ ii. Exchange-Traded Managed Fund ☒ b. Index Fund ☐ c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark ☐ d. Interval Fund ☒ e. Fund of Funds ☐ f. Master-Feeder Fund ☐ g. Money Market Fund ☐ h. Target Date Fund ☐ i. Underlying fund to a variable annuity or variable life insurance contract ☐ N/A |
| i. Is the index whose performance the Fund tracks, constructed: | |
| 1. By an affiliated person of the fund? | ☐ Yes ☒ No |
| 2. Exclusively for the fund? | ☐ Yes ☒ No |
| ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return): | |
| 1. Before Fund fees and expenses: | -0.05000000 |
| 2. After Fund fees and expenses (i.e., net asset value): | -0.47600000 |
| iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period: | |
| 1. Before Fund fees and expenses: | 0.22000000 |
| 2. After Fund fees and expenses (i.e., net asset value): | 0.22000000 |
| a. Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ☐ Yes ☒ No |
| Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
| a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ☐ Yes ☒ No |
| Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
| a. Is the Fund authorized to engage in securities lending transactions? | ☐ Yes ☒ No |
| b. Did the Fund lend any of its securities during the reporting period? | ☐ Yes ☒ No |
| c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
| Securities Lending Record | Full name of securities lending agent | Identifying number(s) | Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | — | — | — | — | — |
|---|
| d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
| Collateral Managers Record | Full name of cash collateral manager | Identifying number(s) | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | — | — | — | — | — |
|---|
| e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ☐
i. Revenue sharing split
☐ ii. Non-revenue sharing split (other than administrative fee) ☐ iii. Administrative fee ☐ iv. Cash collateral reinvestment fee ☐ v. Indemnification fee ☐ vi. Other ☒ N/A |
| f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | N/A |
| g. Provide the net income from securities lending activities | N/A |
| a. Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) | ☐
a. Rule 10f-3 (17 CFR 270.10f-3)
☐ b. Rule 12d1-1 (17 CFR 270.12d1-1) ☐ c. Rule 15a-4 (17 CFR 270.15a-4) ☐ d. Rule 17a-6 (17 CFR 270.17a-6) ☐ e. Rule 17a-7 (17 CFR 270.17a-7) ☐ f. Rule 17a-8 (17 CFR 270.17a-8) ☐ g. Rule 17e-1 (17 CFR 270.17e-1) ☐ h. Rule 22d-1 (17 CFR 270.22d-1) ☐ i. Rule 23c-1 (17 CFR 270.23c-1) ☒ j. Rule 32a-4 (17 CFR 270.32a-4) ☒ k. Rule 6c-11 (17 CFR 270.6c-11) ☐ l. Rule 12d1-4 (17 CFR 270.12d1-4) ☒ m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) ☐ n. Rule 18f-4 (17 CFR 270.18f-4) ☐
i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4)
program requirement and limit on fund leverage risk under
rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))?
☐
N/A
☐ ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? ☐ iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? ☐ iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? ☐ v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? ☐ vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? |
| Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
| a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ☐ Yes ☒ No |
| b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ☐ Yes ☒ No |
| c. Are the fees waived subject to recoupment? | ☐ Yes ☒ No |
| d. Were any expenses previously waived recouped during the period? | ☐ Yes ☒ No |
| a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
| Investment Advisers Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Was the investment adviser hired during the reporting period? |
|---|---|---|---|---|---|---|---|
| #1 | Van Eck Associates Corporation | 801-21340 | 000105080 | LEI: 549300R5E0DJJN8D4E32 | NEW YORK | UNITED STATES OF AMERICA | No |
| b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
| Investment Advisers Terminated Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — | — |
|---|
| c. For each sub-adviser to the Fund, provide the information requested: |
| Sub-Advisors Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | Was the sub-adviser hired during the reporting period? | — | — | — | — | — | — | — | — | — |
|---|
| d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
| Sub-Advisors Terminated Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — | — |
|---|
| a. Provide the following information about each person providing transfer agency services to the Fund: |
| Transfer Agents Record | Full name |
SEC file number ( e.g., 801- ) | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | Is the transfer agent a sub-transfer agent? |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | 85-05003 | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a transfer agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
| Pricing Services Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
|---|---|---|---|---|---|
| #1 | Bloomberg L.P. | LEI: 549300B56MD0ZC402L06 | NEW YORK | UNITED STATES OF AMERICA | No |
| #2 | ICE Data Services, Inc. | LEI: 13-3668779 | GEORGIA | UNITED STATES OF AMERICA | No |
| #3 | S&P Global Inc. | LEI: Y6X4K52KMJMZE7I7MY94 | NEW YORK | UNITED STATES OF AMERICA | No |
| #4 | London Stock Exchange Group PLC | LEI: 213800QAUUUP6I445N30 | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND | No | |
| #5 | PricingDirect Inc. | LEI: 549300WIC0TOJ7N7GD54 | NEW YORK | UNITED STATES OF AMERICA | No |
| b. Was a pricing service hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
| Custodians Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the custodian an affiliated person of the Fund or its investment adviser(s)? | Is the custodian a sub-custodian? |
Type of custody (describe if "Other") |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No | Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) |
| b. Has a custodian been hired or terminated during the reporting period?* | ☐ Yes ☒ No |
| a. Provide the following information about each shareholder servicing agent of the Fund: |
| Shareholder Servicing Agents Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | Is the shareholder servicing agent a sub-shareholder servicing agent? |
|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each administrator of the Fund: |
| Administrators Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the administrator an affiliated person of the Fund or its investment adviser(s)? | Is the administrator a sub-administrator? |
|---|---|---|---|---|---|---|
| #1 | Van Eck Associates Corporation | LEI: 549300R5E0DJJN8D4E32 | NEW YORK | UNITED STATES OF AMERICA | Yes | No |
| b. Has a third-party administrator been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each affiliated broker-dealer: |
| Broker-Dealers Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Total commissions paid to the affiliated broker-dealer for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | Van Eck Securities Corporation | 8-4618 | 000002269 | LEI: N/A | NEW YORK | UNITED STATES OF AMERICA | 0.00000000 |
| Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
| a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
| Brokers Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Gross commissions paid by the Fund for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | LEI: 9R7GPTSO7KV3UQJZQ078 | NEW YORK | UNITED STATES OF AMERICA | 1,859.27000000 |
| #2 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | LEI: FOR8UP27PHTHYVLBNG30 | NEW YORK | UNITED STATES OF AMERICA | 478.58000000 |
| #3 | BofA Securities, Inc. | 8-69787 | 000283942 | LEI: 549300HN4UKV1E2R3U73 | NEW YORK | UNITED STATES OF AMERICA | 2,169.26000000 |
| #4 | Jefferies LLC | 8-15074 | 000002347 | LEI: 58PU97L1C0WSRCWADL48 | NEW YORK | UNITED STATES OF AMERICA | 366.54000000 |
| #5 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | NEW YORK | UNITED STATES OF AMERICA | 11,809.20000000 |
| #6 | UBS Securities LLC | 8-22651 | 000007654 | LEI: T6FIZBDPKLYJKFCRVK44 | NEW YORK | UNITED STATES OF AMERICA | 6,548.36000000 |
| #7 | Robert W. Baird & Co. Incorporated | 8-497 | 000008158 | LEI: 549300772UJAHRD6LO53 | WISCONSIN | UNITED STATES OF AMERICA | 1,519.66000000 |
| #8 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | LEI: MBNUM2BPBDO7JBLYG310 | NEW YORK | UNITED STATES OF AMERICA | 9,764.32000000 |
| b. Aggregate brokerage commissions paid by Fund during the reporting period: | 34,515.19000000 |
| a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
| Principal Transactions Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Total value of purchases and sales (excluding maturing securities) with Fund |
|---|---|---|---|---|---|---|---|
| #1 | National Securities Clearing Corporation | 8-164 | 000007569 | LEI: 549300RYC9NELN2ICA34 | NEW JERSEY | UNITED STATES OF AMERICA | 157,926,831.94000000 |
| b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 158,149,854.46000000 |
| a. During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ☐ Yes ☒ No |
| a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 211,951,930.31461538 |
| b. Provide the money market fund's daily average net assets during the reporting period |
| For open-end management investment companies, respond to the following: |
| a. Does the Fund have available a line of credit? | ☒ Yes ☐ No |
| i. If yes, for each line of credit, provide the information requested below: |
| Line of Credit Details Record: 1 |
| i. Is the line of credit a committed or uncommitted line of credit? | ☒ Committed ☐ Uncommitted |
| ii. What size is the line of credit? | 200,000,000.00000000 |
| iii. With which institution(s) is the line of credit? |
|
| iv. Is the line of credit just for the Fund, or is it shared among multiple funds? | ☐ Sole ☒ Shared |
| 1. If shared, list the names of other funds that may use the line of credit. |
| Shared Credit Users Record | Name of fund | SEC File number(e.g., 811-) |
|---|---|---|
| #1 | VanEck Semiconductor ETF | 811-10325 |
| #2 | VanEck High Yield Muni ETF | 811-10325 |
| #3 | VanEck Low Carbon Energy ETF | 811-10325 |
| #4 | VanEck Office and Commercial REIT ETF | 811-10325 |
| #5 | VanEck Environmental Services ETF | 811-10325 |
| #6 | VanEck Vietnam ETF | 811-10325 |
| #7 | VanEck Morningstar Global Wide Moat ETF | 811-10325 |
| #8 | VanEck CLO ETF | 811-10325 |
| #9 | VanEck Gold Miners ETF | 811-10325 |
| #10 | VanEck Morningstar Wide Moat ETF | 811-10325 |
| #11 | VanEck Israel ETF | 811-10325 |
| #12 | VanEck China Bond ETF | 811-10325 |
| #13 | VanEck Biotech ETF | 811-10325 |
| #14 | VanEck J.P. Morgan EM Local Currency Bond ETF | 811-10325 |
| #15 | VanEck Brazil Small-Cap ETF | 811-10325 |
| #16 | VanEck Fabless Semiconductor ETF | 811-10325 |
| #17 | VanEck AA-BB CLO ETF | 811-10325 |
| #18 | VanEck Morningstar ESG Moat ETF | 811-10325 |
| #19 | VanEck Retail ETF | 811-10325 |
| #20 | VanEck Africa Index ETF | 811-10325 |
| #21 | VanEck ChiNext ETF | 811-10325 |
| #22 | VanEck Durable High Dividend ETF | 811-10325 |
| #23 | VanEck BDC Income ETF | 811-10325 |
| #24 | VanEck HIP Sustainable Muni ETF | 811-10325 |
| #25 | VanEck Mortgage REIT Income ETF | 811-10325 |
| #26 | VanEck India Growth Leaders ETF | 811-10325 |
| #27 | VanEck Short Muni ETF | 811-10325 |
| #28 | VanEck Moody's Analytics IG Corporate Bond ETF | 811-10325 |
| #29 | VanEck Green Bond ETF | 811-10325 |
| #30 | VanEck Pharmaceutical ETF | 811-10325 |
| #31 | VanEck Indonesia Index ETF | 811-10325 |
| #32 | VanEck Video Gaming and eSports ETF | 811-10325 |
| #33 | VanEck Steel ETF | 811-10325 |
| #34 | VanEck Social Sentiment ETF | 811-10325 |
| #35 | VanEck Energy Income ETF | 811-10325 |
| #36 | VanEck Rare Earth and Strategic Metals ETF | 811-10325 |
| #37 | VanEck Moody's Analytics BBB Corporate Bond ETF | 811-10325 |
| #38 | VanEck International High Yield Bond ETF | 811-10325 |
| #39 | VanEck Morningstar SMID Moat ETF | 811-10325 |
| #40 | VanEck Long Muni ETF | 811-10325 |
| #41 | VanEck Intermediate Muni ETF | 811-10325 |
| #42 | VanEck Gaming ETF | 811-10325 |
| #43 | VanEck Commodity Strategy ETF | 811-10325 |
| #44 | VanEck Morningstar International Moat ETF | 811-10325 |
| #45 | VanEck Morningstar Wide Moat Value ETF | 811-10325 |
| #46 | VanEck Morningstar Wide Moat Growth ETF | 811-10325 |
| #47 | VanEck Robotics ETF | 811-10325 |
| #48 | VanEck Digital India ETF | 811-10325 |
| #49 | VanEck Agribusiness ETF | 811-10325 |
| #50 | VanEck Long/Flat Trend ETF | 811-10325 |
| #51 | VanEck Oil Services ETF | 811-10325 |
| #52 | VanEck Junior Gold Miners ETF | 811-10325 |
| #53 | VanEck Short High Yield Muni ETF | 811-10325 |
| #54 | VanEck Oil Refiners ETF | 811-10325 |
| #55 | VanEck Green Infrastructure ETF | 811-10325 |
| #56 | VanEck Green Metals ETF | 811-10325 |
| #57 | VanEck Natural Resources ETF | 811-10325 |
| #58 | VanEck CMCI Commodity Strategy ETF | 811-10325 |
| #59 | VanEck IG Floating Rate ETF | 811-10325 |
| #60 | VanEck Digital Transformation ETF | 811-10325 |
| #61 | VanEck Emerging Markets High Yield Bond ETF | 811-10325 |
| #62 | VanEck Real Assets ETF | 811-10325 |
| #63 | VanEck Preferred Securities ex Financials ETF | 811-10325 |
| #64 | VanEck Fallen Angel High Yield Bond ETF | 811-10325 |
| #65 | VanEck Uranium and Nuclear ETF | 811-10325 |
| v. Did the Fund draw on the line of credit this period? | ☒ Yes ☐ No |
| vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use? | 511,823.00000000 |
| vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use? | 325 |
| b. Did the Fund engage in interfund lending? | ☐ Yes ☒ No |
| c. Did the Fund engage in interfund borrowing? | ☐ Yes ☒ No |
| For open-end management investment companies, respond to the following: |
| a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ☐ Yes ☐ No |
| For open-end management investment companies subject to rule 22e-4 (17 CFR 270.22e-4), respond to the following: |
| a. Provide the following information about each person that provided liquidity classification services to the Fund during the reporting period: |
| Liquidity Classification Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the liquidity classification service an affiliated person of the Fund or its investment adviser(s)? | Asset class(es) for which liquidity classification services were provided to the Fund | — | — | — | — | — | — | — |
|---|
| b. Was a liquidity classification service hired or terminated during the reporting period? | ☐ Yes ☐ No |
| Management Investment Record: 4 |
| a. Full Name of the Fund | VanEck Intermediate Muni ETF |
| b. Series identication number, if any | S000019190 |
| c. LEI | 549300RNM0RZV692DV71 |
| d. Is this the first filing on this form by the Fund? | ☐ Yes ☒ No |
| a. How many Classes of shares of the Fund (if any) are authorized? | 0 |
| b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
| c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
| d. For each Class with shares outstanding, provide the information requested below: |
| Shares Outstanding Record | Full name of Class | Class identification number, if any | Ticker symbol, if any |
|---|---|---|---|
| #1 | VanEck Intermediate Muni ETF | C000053007 | ITM |
| Instructions: 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
| a. Indicate if the Fund is any one of the types listed. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or
offers a Class that itself is an Exchange-Traded Fund or
Exchange-Traded Managed Fund
☒ i. Exchange-Traded Fund ☐ ii. Exchange-Traded Managed Fund ☒ b. Index Fund ☐ c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark ☐ d. Interval Fund ☐ e. Fund of Funds ☐ f. Master-Feeder Fund ☐ g. Money Market Fund ☐ h. Target Date Fund ☐ i. Underlying fund to a variable annuity or variable life insurance contract ☐ N/A |
| i. Is the index whose performance the Fund tracks, constructed: | |
| 1. By an affiliated person of the fund? | ☐ Yes ☒ No |
| 2. Exclusively for the fund? | ☐ Yes ☒ No |
| ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return): | |
| 1. Before Fund fees and expenses: | 0.03800000 |
| 2. After Fund fees and expenses (i.e., net asset value): | -0.14500000 |
| iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period: | |
| 1. Before Fund fees and expenses: | 0.10700000 |
| 2. After Fund fees and expenses (i.e., net asset value): | 0.10700000 |
| a. Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ☐ Yes ☒ No |
| Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
| a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ☐ Yes ☒ No |
| Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
| a. Is the Fund authorized to engage in securities lending transactions? | ☐ Yes ☒ No |
| b. Did the Fund lend any of its securities during the reporting period? | ☐ Yes ☒ No |
| c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
| Securities Lending Record | Full name of securities lending agent | Identifying number(s) | Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | — | — | — | — | — |
|---|
| d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
| Collateral Managers Record | Full name of cash collateral manager | Identifying number(s) | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | — | — | — | — | — |
|---|
| e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ☐
i. Revenue sharing split
☐ ii. Non-revenue sharing split (other than administrative fee) ☐ iii. Administrative fee ☐ iv. Cash collateral reinvestment fee ☐ v. Indemnification fee ☐ vi. Other ☒ N/A |
| f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | N/A |
| g. Provide the net income from securities lending activities | N/A |
| a. Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) | ☐
a. Rule 10f-3 (17 CFR 270.10f-3)
☐ b. Rule 12d1-1 (17 CFR 270.12d1-1) ☐ c. Rule 15a-4 (17 CFR 270.15a-4) ☐ d. Rule 17a-6 (17 CFR 270.17a-6) ☒ e. Rule 17a-7 (17 CFR 270.17a-7) ☐ f. Rule 17a-8 (17 CFR 270.17a-8) ☐ g. Rule 17e-1 (17 CFR 270.17e-1) ☐ h. Rule 22d-1 (17 CFR 270.22d-1) ☐ i. Rule 23c-1 (17 CFR 270.23c-1) ☒ j. Rule 32a-4 (17 CFR 270.32a-4) ☒ k. Rule 6c-11 (17 CFR 270.6c-11) ☒ l. Rule 12d1-4 (17 CFR 270.12d1-4) ☐ m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) ☐ n. Rule 18f-4 (17 CFR 270.18f-4) ☐
i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4)
program requirement and limit on fund leverage risk under
rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))?
☐
N/A
☐ ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? ☐ iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? ☐ iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? ☐ v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? ☐ vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? |
| Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
| a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ☐ Yes ☒ No |
| b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ☐ Yes ☒ No |
| c. Are the fees waived subject to recoupment? | ☐ Yes ☒ No |
| d. Were any expenses previously waived recouped during the period? | ☐ Yes ☒ No |
| a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
| Investment Advisers Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Was the investment adviser hired during the reporting period? |
|---|---|---|---|---|---|---|---|
| #1 | Van Eck Associates Corporation | 801-21340 | 000105080 | LEI: 549300R5E0DJJN8D4E32 | NEW YORK | UNITED STATES OF AMERICA | No |
| b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
| Investment Advisers Terminated Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — | — |
|---|
| c. For each sub-adviser to the Fund, provide the information requested: |
| Sub-Advisors Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | Was the sub-adviser hired during the reporting period? | — | — | — | — | — | — | — | — | — |
|---|
| d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
| Sub-Advisors Terminated Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — | — |
|---|
| a. Provide the following information about each person providing transfer agency services to the Fund: |
| Transfer Agents Record | Full name |
SEC file number ( e.g., 801- ) | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | Is the transfer agent a sub-transfer agent? |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | 85-05003 | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a transfer agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
| Pricing Services Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
|---|---|---|---|---|---|
| #1 | Bloomberg L.P. | LEI: 549300B56MD0ZC402L06 | NEW YORK | UNITED STATES OF AMERICA | No |
| #2 | PricingDirect Inc. | LEI: 549300WIC0TOJ7N7GD54 | NEW YORK | UNITED STATES OF AMERICA | No |
| #3 | S&P Global Inc. | LEI: Y6X4K52KMJMZE7I7MY94 | NEW YORK | UNITED STATES OF AMERICA | No |
| #4 | ICE Data Services, Inc. | LEI: 13-3668779 | GEORGIA | UNITED STATES OF AMERICA | No |
| #5 | London Stock Exchange Group PLC | LEI: 213800QAUUUP6I445N30 | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND | No |
| b. Was a pricing service hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
| Custodians Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the custodian an affiliated person of the Fund or its investment adviser(s)? | Is the custodian a sub-custodian? |
Type of custody (describe if "Other") |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No | Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) |
| b. Has a custodian been hired or terminated during the reporting period?* | ☐ Yes ☒ No |
| a. Provide the following information about each shareholder servicing agent of the Fund: |
| Shareholder Servicing Agents Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | Is the shareholder servicing agent a sub-shareholder servicing agent? |
|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each administrator of the Fund: |
| Administrators Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the administrator an affiliated person of the Fund or its investment adviser(s)? | Is the administrator a sub-administrator? |
|---|---|---|---|---|---|---|
| #1 | Van Eck Associates Corporation | LEI: 549300R5E0DJJN8D4E32 | NEW YORK | UNITED STATES OF AMERICA | Yes | No |
| b. Has a third-party administrator been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each affiliated broker-dealer: |
| Broker-Dealers Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Total commissions paid to the affiliated broker-dealer for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | Van Eck Securities Corporation | 8-4618 | 000002269 | LEI: N/A | NEW YORK | UNITED STATES OF AMERICA | 0.00000000 |
| Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
| a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
| Brokers Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Gross commissions paid by the Fund for the reporting period | — | — | — | — | — | — | — | — |
|---|
| b. Aggregate brokerage commissions paid by Fund during the reporting period: | 0.00000000 |
| a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
| Principal Transactions Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Total value of purchases and sales (excluding maturing securities) with Fund |
|---|---|---|---|---|---|---|---|
| #1 | Jefferies LLC | 8-15074 | 000002347 | LEI: 58PU97L1C0WSRCWADL48 | NEW YORK | UNITED STATES OF AMERICA | 72,470,226.35000000 |
| #2 | BNY Capital Markets, LLC | 8-35255 | 000017454 | LEI: VJW2DOOHGDT6PR0ZRO63 | NEW YORK | UNITED STATES OF AMERICA | 37,826,070.00000000 |
| #3 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | NEW YORK | UNITED STATES OF AMERICA | 88,860,891.80000000 |
| #4 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | LEI: 9R7GPTSO7KV3UQJZQ078 | NEW YORK | UNITED STATES OF AMERICA | 58,942,446.75000000 |
| #5 | BofA Securities, Inc. | 8-69787 | 000283942 | LEI: 549300HN4UKV1E2R3U73 | NEW YORK | UNITED STATES OF AMERICA | 73,325,449.60000000 |
| #6 | National Financial Services LLC | 8-26740 | 000013041 | LEI: 549300JRHF1MHHWUAW04 | MASSACHUSETTS | UNITED STATES OF AMERICA | 19,676,915.00000000 |
| #7 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | LEI: FOR8UP27PHTHYVLBNG30 | NEW YORK | UNITED STATES OF AMERICA | 155,029,766.05000000 |
| #8 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | LEI: VYVVCKR63DVZZN70PB21 | NORTH CAROLINA | UNITED STATES OF AMERICA | 60,791,246.20000000 |
| #9 | RBC Capital Markets, LLC | 8-45411 | 000031194 | LEI: 549300LCO2FLSSVFFR64 | NEW YORK | UNITED STATES OF AMERICA | 26,380,530.70000000 |
| #10 | Wedbush Securities Inc. | 8-12987 | 000000877 | LEI: 549300CSX55MXZ47EI78 | CALIFORNIA | UNITED STATES OF AMERICA | 39,540,125.23000000 |
| b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 709,459,377.51000000 |
| a. During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ☐ Yes ☒ No |
| a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 1,889,839,685.91230769 |
| b. Provide the money market fund's daily average net assets during the reporting period |
| For open-end management investment companies, respond to the following: |
| a. Does the Fund have available a line of credit? | ☒ Yes ☐ No |
| i. If yes, for each line of credit, provide the information requested below: |
| Line of Credit Details Record: 1 |
| i. Is the line of credit a committed or uncommitted line of credit? | ☒ Committed ☐ Uncommitted |
| ii. What size is the line of credit? | 200,000,000.00000000 |
| iii. With which institution(s) is the line of credit? |
|
| iv. Is the line of credit just for the Fund, or is it shared among multiple funds? | ☐ Sole ☒ Shared |
| 1. If shared, list the names of other funds that may use the line of credit. |
| Shared Credit Users Record | Name of fund | SEC File number(e.g., 811-) |
|---|---|---|
| #1 | VanEck Office and Commercial REIT ETF | 811-10325 |
| #2 | VanEck Semiconductor ETF | 811-10325 |
| #3 | VanEck Fallen Angel High Yield Bond ETF | 811-10325 |
| #4 | VanEck Oil Refiners ETF | 811-10325 |
| #5 | VanEck J.P. Morgan EM Local Currency Bond ETF | 811-10325 |
| #6 | VanEck ChiNext ETF | 811-10325 |
| #7 | VanEck Agribusiness ETF | 811-10325 |
| #8 | VanEck International High Yield Bond ETF | 811-10325 |
| #9 | VanEck Gaming ETF | 811-10325 |
| #10 | VanEck Low Carbon Energy ETF | 811-10325 |
| #11 | VanEck Real Assets ETF | 811-10325 |
| #12 | VanEck Moody's Analytics BBB Corporate Bond ETF | 811-10325 |
| #13 | VanEck Steel ETF | 811-10325 |
| #14 | VanEck Long/Flat Trend ETF | 811-10325 |
| #15 | VanEck CLO ETF | 811-10325 |
| #16 | VanEck Short High Yield Muni ETF | 811-10325 |
| #17 | VanEck Moody's Analytics IG Corporate Bond ETF | 811-10325 |
| #18 | VanEck Oil Services ETF | 811-10325 |
| #19 | VanEck Natural Resources ETF | 811-10325 |
| #20 | VanEck Morningstar Global Wide Moat ETF | 811-10325 |
| #21 | VanEck HIP Sustainable Muni ETF | 811-10325 |
| #22 | VanEck Rare Earth and Strategic Metals ETF | 811-10325 |
| #23 | VanEck BDC Income ETF | 811-10325 |
| #24 | VanEck India Growth Leaders ETF | 811-10325 |
| #25 | VanEck Morningstar Wide Moat Value ETF | 811-10325 |
| #26 | VanEck Energy Income ETF | 811-10325 |
| #27 | VanEck Emerging Markets High Yield Bond ETF | 811-10325 |
| #28 | VanEck Gold Miners ETF | 811-10325 |
| #29 | VanEck Green Infrastructure ETF | 811-10325 |
| #30 | VanEck Video Gaming and eSports ETF | 811-10325 |
| #31 | VanEck Robotics ETF | 811-10325 |
| #32 | VanEck Africa Index ETF | 811-10325 |
| #33 | VanEck High Yield Muni ETF | 811-10325 |
| #34 | VanEck Morningstar International Moat ETF | 811-10325 |
| #35 | VanEck Durable High Dividend ETF | 811-10325 |
| #36 | VanEck Green Metals ETF | 811-10325 |
| #37 | VanEck Pharmaceutical ETF | 811-10325 |
| #38 | VanEck Vietnam ETF | 811-10325 |
| #39 | VanEck Mortgage REIT Income ETF | 811-10325 |
| #40 | VanEck AA-BB CLO ETF | 811-10325 |
| #41 | VanEck Commodity Strategy ETF | 811-10325 |
| #42 | VanEck CMCI Commodity Strategy ETF | 811-10325 |
| #43 | VanEck IG Floating Rate ETF | 811-10325 |
| #44 | VanEck Social Sentiment ETF | 811-10325 |
| #45 | VanEck Morningstar ESG Moat ETF | 811-10325 |
| #46 | VanEck Long Muni ETF | 811-10325 |
| #47 | VanEck Brazil Small-Cap ETF | 811-10325 |
| #48 | VanEck Morningstar SMID Moat ETF | 811-10325 |
| #49 | VanEck Morningstar Wide Moat ETF | 811-10325 |
| #50 | VanEck Environmental Services ETF | 811-10325 |
| #51 | VanEck Short Muni ETF | 811-10325 |
| #52 | VanEck Preferred Securities ex Financials ETF | 811-10325 |
| #53 | VanEck Retail ETF | 811-10325 |
| #54 | VanEck Green Bond ETF | 811-10325 |
| #55 | VanEck Fabless Semiconductor ETF | 811-10325 |
| #56 | VanEck Uranium and Nuclear ETF | 811-10325 |
| #57 | VanEck Morningstar Wide Moat Growth ETF | 811-10325 |
| #58 | VanEck Junior Gold Miners ETF | 811-10325 |
| #59 | VanEck Israel ETF | 811-10325 |
| #60 | VanEck Biotech ETF | 811-10325 |
| #61 | VanEck Digital Transformation ETF | 811-10325 |
| #62 | VanEck Digital India ETF | 811-10325 |
| #63 | VanEck CEF Muni Income ETF | 811-10325 |
| #64 | VanEck China Bond ETF | 811-10325 |
| #65 | VanEck Indonesia Index ETF | 811-10325 |
| v. Did the Fund draw on the line of credit this period? | ☐ Yes ☒ No |
| b. Did the Fund engage in interfund lending? | ☐ Yes ☒ No |
| c. Did the Fund engage in interfund borrowing? | ☐ Yes ☒ No |
| For open-end management investment companies, respond to the following: |
| a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ☐ Yes ☐ No |
| For open-end management investment companies subject to rule 22e-4 (17 CFR 270.22e-4), respond to the following: |
| a. Provide the following information about each person that provided liquidity classification services to the Fund during the reporting period: |
| Liquidity Classification Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the liquidity classification service an affiliated person of the Fund or its investment adviser(s)? | Asset class(es) for which liquidity classification services were provided to the Fund | — | — | — | — | — | — | — |
|---|
| b. Was a liquidity classification service hired or terminated during the reporting period? | ☐ Yes ☐ No |
| Management Investment Record: 5 |
| a. Full Name of the Fund | VanEck Fallen Angel High Yield Bond ETF |
| b. Series identication number, if any | S000036772 |
| c. LEI | 549300A6A1N73WLV0K30 |
| d. Is this the first filing on this form by the Fund? | ☐ Yes ☒ No |
| a. How many Classes of shares of the Fund (if any) are authorized? | 0 |
| b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
| c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
| d. For each Class with shares outstanding, provide the information requested below: |
| Shares Outstanding Record | Full name of Class | Class identification number, if any | Ticker symbol, if any |
|---|---|---|---|
| #1 | VanEck Fallen Angel High Yield Bond ETF | C000112461 | ANGL |
| Instructions: 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
| a. Indicate if the Fund is any one of the types listed. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or
offers a Class that itself is an Exchange-Traded Fund or
Exchange-Traded Managed Fund
☒ i. Exchange-Traded Fund ☐ ii. Exchange-Traded Managed Fund ☒ b. Index Fund ☐ c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark ☐ d. Interval Fund ☐ e. Fund of Funds ☐ f. Master-Feeder Fund ☐ g. Money Market Fund ☐ h. Target Date Fund ☐ i. Underlying fund to a variable annuity or variable life insurance contract ☐ N/A |
| i. Is the index whose performance the Fund tracks, constructed: | |
| 1. By an affiliated person of the fund? | ☐ Yes ☒ No |
| 2. Exclusively for the fund? | ☐ Yes ☒ No |
| ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return): | |
| 1. Before Fund fees and expenses: | 0.34300000 |
| 2. After Fund fees and expenses (i.e., net asset value): | 0.07800000 |
| iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period: | |
| 1. Before Fund fees and expenses: | 0.24200000 |
| 2. After Fund fees and expenses (i.e., net asset value): | 0.24200000 |
| a. Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ☐ Yes ☒ No |
| Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
| a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ☐ Yes ☒ No |
| Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
| a. Is the Fund authorized to engage in securities lending transactions? | ☒ Yes ☐ No |
| b. Did the Fund lend any of its securities during the reporting period? | ☒ Yes ☐ No |
| i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
| 1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ☐ Yes ☒ No |
| 2. The Fund was otherwise adversely impacted? | ☐ Yes ☒ No |
| c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
| Securities Lending Record | Full name of securities lending agent | Identifying number(s) | Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? |
|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | No | Yes |
| If the entity providing the indemnification is not the securities lending agent, provide the following information: | ||||
| Idemnity Providers Record | Name of person providing indemnification | Identifying number(s) | ||
| #1 | N/A | LEI: N/A | ||
| Did the Fund exercise its indemnification rights during the reporting period? | ☐ Yes ☒ No | |||
| d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
| Collateral Managers Record | Full name of cash collateral manager | Identifying number(s) | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | — | — | — | — | — |
|---|
| e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ☒
i. Revenue sharing split
☐ ii. Non-revenue sharing split (other than administrative fee) ☐ iii. Administrative fee ☐ iv. Cash collateral reinvestment fee ☐ v. Indemnification fee ☐ vi. Other ☐ N/A |
| f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 206,219,778.61000000 |
| g. Provide the net income from securities lending activities | 2,028,804.00000000 |
| a. Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) | ☐
a. Rule 10f-3 (17 CFR 270.10f-3)
☐ b. Rule 12d1-1 (17 CFR 270.12d1-1) ☐ c. Rule 15a-4 (17 CFR 270.15a-4) ☐ d. Rule 17a-6 (17 CFR 270.17a-6) ☐ e. Rule 17a-7 (17 CFR 270.17a-7) ☐ f. Rule 17a-8 (17 CFR 270.17a-8) ☐ g. Rule 17e-1 (17 CFR 270.17e-1) ☐ h. Rule 22d-1 (17 CFR 270.22d-1) ☐ i. Rule 23c-1 (17 CFR 270.23c-1) ☒ j. Rule 32a-4 (17 CFR 270.32a-4) ☒ k. Rule 6c-11 (17 CFR 270.6c-11) ☒ l. Rule 12d1-4 (17 CFR 270.12d1-4) ☐ m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) ☐ n. Rule 18f-4 (17 CFR 270.18f-4) ☐
i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4)
program requirement and limit on fund leverage risk under
rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))?
☐
N/A
☐ ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? ☐ iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? ☐ iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? ☐ v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? ☐ vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? |
| Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
| a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ☐ Yes ☒ No |
| b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ☐ Yes ☒ No |
| c. Are the fees waived subject to recoupment? | ☐ Yes ☒ No |
| d. Were any expenses previously waived recouped during the period? | ☐ Yes ☒ No |
| a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
| Investment Advisers Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Was the investment adviser hired during the reporting period? |
|---|---|---|---|---|---|---|---|
| #1 | Van Eck Associates Corporation | 801-21340 | 000105080 | LEI: 549300R5E0DJJN8D4E32 | NEW YORK | UNITED STATES OF AMERICA | No |
| b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
| Investment Advisers Terminated Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — | — |
|---|
| c. For each sub-adviser to the Fund, provide the information requested: |
| Sub-Advisors Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | Was the sub-adviser hired during the reporting period? | — | — | — | — | — | — | — | — | — |
|---|
| d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
| Sub-Advisors Terminated Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — | — |
|---|
| a. Provide the following information about each person providing transfer agency services to the Fund: |
| Transfer Agents Record | Full name |
SEC file number ( e.g., 801- ) | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | Is the transfer agent a sub-transfer agent? |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | 85-05003 | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a transfer agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
| Pricing Services Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
|---|---|---|---|---|---|
| #1 | ICE Data Services, Inc. | LEI: 13-3668779 | GEORGIA | UNITED STATES OF AMERICA | No |
| #2 | PricingDirect Inc. | LEI: 549300WIC0TOJ7N7GD54 | NEW YORK | UNITED STATES OF AMERICA | No |
| #3 | S&P Global Inc. | LEI: Y6X4K52KMJMZE7I7MY94 | NEW YORK | UNITED STATES OF AMERICA | No |
| #4 | London Stock Exchange Group PLC | LEI: 213800QAUUUP6I445N30 | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND | No | |
| #5 | Bloomberg L.P. | LEI: 549300B56MD0ZC402L06 | NEW YORK | UNITED STATES OF AMERICA | No |
| b. Was a pricing service hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
| Custodians Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the custodian an affiliated person of the Fund or its investment adviser(s)? | Is the custodian a sub-custodian? |
Type of custody (describe if "Other") |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No | Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) |
| #2 | Euroclear Bank | LEI: 549300OZ46BRLZ8Y6F65 | BELGIUM | No | Yes | Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7) |
| b. Has a custodian been hired or terminated during the reporting period?* | ☐ Yes ☒ No |
| a. Provide the following information about each shareholder servicing agent of the Fund: |
| Shareholder Servicing Agents Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | Is the shareholder servicing agent a sub-shareholder servicing agent? |
|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each administrator of the Fund: |
| Administrators Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the administrator an affiliated person of the Fund or its investment adviser(s)? | Is the administrator a sub-administrator? |
|---|---|---|---|---|---|---|
| #1 | Van Eck Associates Corporation | LEI: 549300R5E0DJJN8D4E32 | NEW YORK | UNITED STATES OF AMERICA | Yes | No |
| b. Has a third-party administrator been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each affiliated broker-dealer: |
| Broker-Dealers Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Total commissions paid to the affiliated broker-dealer for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | Van Eck Securities Corporation | 8-4618 | 000002269 | LEI: N/A | NEW YORK | UNITED STATES OF AMERICA | 0.00000000 |
| Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
| a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
| Brokers Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Gross commissions paid by the Fund for the reporting period | — | — | — | — | — | — | — | — |
|---|
| b. Aggregate brokerage commissions paid by Fund during the reporting period: | 0.00000000 |
| a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
| Principal Transactions Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Total value of purchases and sales (excluding maturing securities) with Fund |
|---|---|---|---|---|---|---|---|
| #1 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | LEI: 9R7GPTSO7KV3UQJZQ078 | NEW YORK | UNITED STATES OF AMERICA | 1,111,417.40000000 |
| #2 | MarketAxess Corporation | 8-50727 | 000044542 | LEI: GPSMMRI21JE7ZCVYF972 | NEW YORK | UNITED STATES OF AMERICA | 681,663.75000000 |
| #3 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | LEI: FOR8UP27PHTHYVLBNG30 | NEW YORK | UNITED STATES OF AMERICA | 438,263,424.55000000 |
| #4 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | LEI: MBNUM2BPBDO7JBLYG310 | NEW YORK | UNITED STATES OF AMERICA | 235,548.75000000 |
| #5 | Jane Street Capital, LLC | 8-52275 | 000103782 | LEI: 549300ZM16HMPEPNV857 | NEW YORK | UNITED STATES OF AMERICA | 81,537,768.00000000 |
| #6 | BNY Capital Markets, LLC | 8-35255 | 000017454 | LEI: VJW2DOOHGDT6PR0ZRO63 | NEW YORK | UNITED STATES OF AMERICA | 509,985.50000000 |
| #7 | UBS Securities LLC | 8-22651 | 000007654 | LEI: T6FIZBDPKLYJKFCRVK44 | NEW YORK | UNITED STATES OF AMERICA | 344,955.00000000 |
| #8 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | NEW YORK | UNITED STATES OF AMERICA | 1,051,484,815.33000000 |
| #9 | Jefferies LLC | 8-15074 | 000002347 | LEI: 58PU97L1C0WSRCWADL48 | NEW YORK | UNITED STATES OF AMERICA | 26,178,611.47000000 |
| #10 | BofA Securities, Inc. | 8-69787 | 000283942 | LEI: 549300HN4UKV1E2R3U73 | NEW YORK | UNITED STATES OF AMERICA | 2,375,779,973.06000000 |
| b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 4,069,706,712.12000000 |
| a. During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ☐ Yes ☒ No |
| a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 3,038,686,196.09769230 |
| b. Provide the money market fund's daily average net assets during the reporting period |
| For open-end management investment companies, respond to the following: |
| a. Does the Fund have available a line of credit? | ☒ Yes ☐ No |
| i. If yes, for each line of credit, provide the information requested below: |
| Line of Credit Details Record: 1 |
| i. Is the line of credit a committed or uncommitted line of credit? | ☒ Committed ☐ Uncommitted |
| ii. What size is the line of credit? | 200,000,000.00000000 |
| iii. With which institution(s) is the line of credit? |
|
| iv. Is the line of credit just for the Fund, or is it shared among multiple funds? | ☐ Sole ☒ Shared |
| 1. If shared, list the names of other funds that may use the line of credit. |
| Shared Credit Users Record | Name of fund | SEC File number(e.g., 811-) |
|---|---|---|
| #1 | VanEck Green Infrastructure ETF | 811-10325 |
| #2 | VanEck Morningstar Global Wide Moat ETF | 811-10325 |
| #3 | VanEck Preferred Securities ex Financials ETF | 811-10325 |
| #4 | VanEck Intermediate Muni ETF | 811-10325 |
| #5 | VanEck Biotech ETF | 811-10325 |
| #6 | VanEck Morningstar International Moat ETF | 811-10325 |
| #7 | VanEck India Growth Leaders ETF | 811-10325 |
| #8 | VanEck International High Yield Bond ETF | 811-10325 |
| #9 | VanEck BDC Income ETF | 811-10325 |
| #10 | VanEck Office and Commercial REIT ETF | 811-10325 |
| #11 | VanEck AA-BB CLO ETF | 811-10325 |
| #12 | VanEck CLO ETF | 811-10325 |
| #13 | VanEck Oil Services ETF | 811-10325 |
| #14 | VanEck Retail ETF | 811-10325 |
| #15 | VanEck HIP Sustainable Muni ETF | 811-10325 |
| #16 | VanEck High Yield Muni ETF | 811-10325 |
| #17 | VanEck Long/Flat Trend ETF | 811-10325 |
| #18 | VanEck Semiconductor ETF | 811-10325 |
| #19 | VanEck Agribusiness ETF | 811-10325 |
| #20 | VanEck Video Gaming and eSports ETF | 811-10325 |
| #21 | VanEck Green Bond ETF | 811-10325 |
| #22 | VanEck Pharmaceutical ETF | 811-10325 |
| #23 | VanEck Commodity Strategy ETF | 811-10325 |
| #24 | VanEck Africa Index ETF | 811-10325 |
| #25 | VanEck Digital Transformation ETF | 811-10325 |
| #26 | VanEck Robotics ETF | 811-10325 |
| #27 | VanEck Vietnam ETF | 811-10325 |
| #28 | VanEck Real Assets ETF | 811-10325 |
| #29 | VanEck Moody's Analytics IG Corporate Bond ETF | 811-10325 |
| #30 | VanEck ChiNext ETF | 811-10325 |
| #31 | VanEck IG Floating Rate ETF | 811-10325 |
| #32 | VanEck Mortgage REIT Income ETF | 811-10325 |
| #33 | VanEck Fabless Semiconductor ETF | 811-10325 |
| #34 | VanEck J.P. Morgan EM Local Currency Bond ETF | 811-10325 |
| #35 | VanEck Uranium and Nuclear ETF | 811-10325 |
| #36 | VanEck Emerging Markets High Yield Bond ETF | 811-10325 |
| #37 | VanEck Durable High Dividend ETF | 811-10325 |
| #38 | VanEck Indonesia Index ETF | 811-10325 |
| #39 | VanEck Morningstar Wide Moat Value ETF | 811-10325 |
| #40 | VanEck Morningstar SMID Moat ETF | 811-10325 |
| #41 | VanEck CEF Muni Income ETF | 811-10325 |
| #42 | VanEck Morningstar Wide Moat Growth ETF | 811-10325 |
| #43 | VanEck Short Muni ETF | 811-10325 |
| #44 | VanEck Natural Resources ETF | 811-10325 |
| #45 | VanEck Digital India ETF | 811-10325 |
| #46 | VanEck CMCI Commodity Strategy ETF | 811-10325 |
| #47 | VanEck Oil Refiners ETF | 811-10325 |
| #48 | VanEck Morningstar Wide Moat ETF | 811-10325 |
| #49 | VanEck Brazil Small-Cap ETF | 811-10325 |
| #50 | VanEck Morningstar ESG Moat ETF | 811-10325 |
| #51 | VanEck Social Sentiment ETF | 811-10325 |
| #52 | VanEck Low Carbon Energy ETF | 811-10325 |
| #53 | VanEck Gold Miners ETF | 811-10325 |
| #54 | VanEck Israel ETF | 811-10325 |
| #55 | VanEck China Bond ETF | 811-10325 |
| #56 | VanEck Long Muni ETF | 811-10325 |
| #57 | VanEck Rare Earth and Strategic Metals ETF | 811-10325 |
| #58 | VanEck Gaming ETF | 811-10325 |
| #59 | VanEck Energy Income ETF | 811-10325 |
| #60 | VanEck Junior Gold Miners ETF | 811-10325 |
| #61 | VanEck Green Metals ETF | 811-10325 |
| #62 | VanEck Steel ETF | 811-10325 |
| #63 | VanEck Short High Yield Muni ETF | 811-10325 |
| #64 | VanEck Moody's Analytics BBB Corporate Bond ETF | 811-10325 |
| #65 | VanEck Environmental Services ETF | 811-10325 |
| v. Did the Fund draw on the line of credit this period? | ☐ Yes ☒ No |
| b. Did the Fund engage in interfund lending? | ☐ Yes ☒ No |
| c. Did the Fund engage in interfund borrowing? | ☐ Yes ☒ No |
| For open-end management investment companies, respond to the following: |
| a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ☐ Yes ☐ No |
| For open-end management investment companies subject to rule 22e-4 (17 CFR 270.22e-4), respond to the following: |
| a. Provide the following information about each person that provided liquidity classification services to the Fund during the reporting period: |
| Liquidity Classification Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the liquidity classification service an affiliated person of the Fund or its investment adviser(s)? | Asset class(es) for which liquidity classification services were provided to the Fund | — | — | — | — | — | — | — |
|---|
| b. Was a liquidity classification service hired or terminated during the reporting period? | ☐ Yes ☐ No |
| Management Investment Record: 6 |
| a. Full Name of the Fund | VanEck Emerging Markets High Yield Bond ETF |
| b. Series identication number, if any | S000036768 |
| c. LEI | 5493000XZY6IPF1JRM25 |
| d. Is this the first filing on this form by the Fund? | ☐ Yes ☒ No |
| a. How many Classes of shares of the Fund (if any) are authorized? | 0 |
| b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
| c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
| d. For each Class with shares outstanding, provide the information requested below: |
| Shares Outstanding Record | Full name of Class | Class identification number, if any | Ticker symbol, if any |
|---|---|---|---|
| #1 | VanEck Emerging Markets High Yield Bond ETF | C000112445 | HYEM |
| Instructions: 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
| a. Indicate if the Fund is any one of the types listed. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or
offers a Class that itself is an Exchange-Traded Fund or
Exchange-Traded Managed Fund
☒ i. Exchange-Traded Fund ☐ ii. Exchange-Traded Managed Fund ☒ b. Index Fund ☐ c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark ☐ d. Interval Fund ☐ e. Fund of Funds ☐ f. Master-Feeder Fund ☐ g. Money Market Fund ☐ h. Target Date Fund ☐ i. Underlying fund to a variable annuity or variable life insurance contract ☐ N/A |
| i. Is the index whose performance the Fund tracks, constructed: | |
| 1. By an affiliated person of the fund? | ☐ Yes ☒ No |
| 2. Exclusively for the fund? | ☐ Yes ☒ No |
| ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return): | |
| 1. Before Fund fees and expenses: | 0.25900000 |
| 2. After Fund fees and expenses (i.e., net asset value): | -0.17800000 |
| iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period: | |
| 1. Before Fund fees and expenses: | 0.24400000 |
| 2. After Fund fees and expenses (i.e., net asset value): | 0.24400000 |
| a. Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ☐ Yes ☒ No |
| Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
| a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ☐ Yes ☒ No |
| Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
| a. Is the Fund authorized to engage in securities lending transactions? | ☒ Yes ☐ No |
| b. Did the Fund lend any of its securities during the reporting period? | ☒ Yes ☐ No |
| i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
| 1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ☐ Yes ☒ No |
| 2. The Fund was otherwise adversely impacted? | ☐ Yes ☒ No |
| c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
| Securities Lending Record | Full name of securities lending agent | Identifying number(s) | Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? |
|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | No | Yes |
| If the entity providing the indemnification is not the securities lending agent, provide the following information: | ||||
| Idemnity Providers Record | Name of person providing indemnification | Identifying number(s) | ||
| #1 | N/A | LEI: N/A | ||
| Did the Fund exercise its indemnification rights during the reporting period? | ☐ Yes ☒ No | |||
| d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
| Collateral Managers Record | Full name of cash collateral manager | Identifying number(s) | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | — | — | — | — | — |
|---|
| e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ☒
i. Revenue sharing split
☐ ii. Non-revenue sharing split (other than administrative fee) ☐ iii. Administrative fee ☐ iv. Cash collateral reinvestment fee ☐ v. Indemnification fee ☐ vi. Other ☐ N/A |
| f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 17,718,162.80000000 |
| g. Provide the net income from securities lending activities | 134,562.00000000 |
| a. Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) | ☐
a. Rule 10f-3 (17 CFR 270.10f-3)
☐ b. Rule 12d1-1 (17 CFR 270.12d1-1) ☐ c. Rule 15a-4 (17 CFR 270.15a-4) ☐ d. Rule 17a-6 (17 CFR 270.17a-6) ☐ e. Rule 17a-7 (17 CFR 270.17a-7) ☐ f. Rule 17a-8 (17 CFR 270.17a-8) ☐ g. Rule 17e-1 (17 CFR 270.17e-1) ☐ h. Rule 22d-1 (17 CFR 270.22d-1) ☐ i. Rule 23c-1 (17 CFR 270.23c-1) ☒ j. Rule 32a-4 (17 CFR 270.32a-4) ☒ k. Rule 6c-11 (17 CFR 270.6c-11) ☒ l. Rule 12d1-4 (17 CFR 270.12d1-4) ☐ m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) ☐ n. Rule 18f-4 (17 CFR 270.18f-4) ☐
i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4)
program requirement and limit on fund leverage risk under
rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))?
☐
N/A
☐ ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? ☐ iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? ☐ iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? ☐ v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? ☐ vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? |
| Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
| a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ☐ Yes ☒ No |
| b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ☐ Yes ☒ No |
| c. Are the fees waived subject to recoupment? | ☐ Yes ☒ No |
| d. Were any expenses previously waived recouped during the period? | ☐ Yes ☒ No |
| a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
| Investment Advisers Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Was the investment adviser hired during the reporting period? |
|---|---|---|---|---|---|---|---|
| #1 | Van Eck Associates Corporation | 801-21340 | 000105080 | LEI: 549300R5E0DJJN8D4E32 | NEW YORK | UNITED STATES OF AMERICA | No |
| b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
| Investment Advisers Terminated Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — | — |
|---|
| c. For each sub-adviser to the Fund, provide the information requested: |
| Sub-Advisors Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | Was the sub-adviser hired during the reporting period? | — | — | — | — | — | — | — | — | — |
|---|
| d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
| Sub-Advisors Terminated Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — | — |
|---|
| a. Provide the following information about each person providing transfer agency services to the Fund: |
| Transfer Agents Record | Full name |
SEC file number ( e.g., 801- ) | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | Is the transfer agent a sub-transfer agent? |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | 85-05003 | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a transfer agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
| Pricing Services Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
|---|---|---|---|---|---|
| #1 | ICE Data Services, Inc. | LEI: 13-3668779 | GEORGIA | UNITED STATES OF AMERICA | No |
| #2 | S&P Global Inc. | LEI: Y6X4K52KMJMZE7I7MY94 | NEW YORK | UNITED STATES OF AMERICA | No |
| #3 | London Stock Exchange Group PLC | LEI: 213800QAUUUP6I445N30 | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND | No | |
| #4 | Bloomberg L.P. | LEI: 549300B56MD0ZC402L06 | NEW YORK | UNITED STATES OF AMERICA | No |
| #5 | PricingDirect Inc. | LEI: 549300WIC0TOJ7N7GD54 | NEW YORK | UNITED STATES OF AMERICA | No |
| b. Was a pricing service hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
| Custodians Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the custodian an affiliated person of the Fund or its investment adviser(s)? | Is the custodian a sub-custodian? |
Type of custody (describe if "Other") |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No | Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) |
| #2 | Royal Bank of Canada | LEI: ES7IP3U3RHIGC71XBU11 | CANADA (FEDERAL LEVEL) | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #3 | State Street Trust Company Canada | LEI: 549300L71XG2CTQ2V827 | CANADA (FEDERAL LEVEL) | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #4 | Euroclear Bank | LEI: 549300OZ46BRLZ8Y6F65 | BELGIUM | No | Yes | Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7) | |
| #5 | State Street Bank and Trust Company (Edinburgh, GB, Branch) | LEI: 571474TGEMMWANRLN572 | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) |
| b. Has a custodian been hired or terminated during the reporting period?* | ☐ Yes ☒ No |
| a. Provide the following information about each shareholder servicing agent of the Fund: |
| Shareholder Servicing Agents Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | Is the shareholder servicing agent a sub-shareholder servicing agent? |
|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each administrator of the Fund: |
| Administrators Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the administrator an affiliated person of the Fund or its investment adviser(s)? | Is the administrator a sub-administrator? |
|---|---|---|---|---|---|---|
| #1 | Van Eck Associates Corporation | LEI: 549300R5E0DJJN8D4E32 | NEW YORK | UNITED STATES OF AMERICA | Yes | No |
| b. Has a third-party administrator been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each affiliated broker-dealer: |
| Broker-Dealers Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Total commissions paid to the affiliated broker-dealer for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | Van Eck Securities Corporation | 8-4618 | 000002269 | LEI: N/A | NEW YORK | UNITED STATES OF AMERICA | 0.00000000 |
| Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
| a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
| Brokers Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Gross commissions paid by the Fund for the reporting period | — | — | — | — | — | — | — | — |
|---|
| b. Aggregate brokerage commissions paid by Fund during the reporting period: | 0.00000000 |
| a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
| Principal Transactions Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Total value of purchases and sales (excluding maturing securities) with Fund |
|---|---|---|---|---|---|---|---|
| #1 | BofA Securities, Inc. | 8-69787 | 000283942 | LEI: 549300HN4UKV1E2R3U73 | NEW YORK | UNITED STATES OF AMERICA | 44,990,845.57000000 |
| #2 | Jane Street Capital, LLC | 8-52275 | 000103782 | LEI: 549300ZM16HMPEPNV857 | NEW YORK | UNITED STATES OF AMERICA | 27,898,185.47000000 |
| #3 | BNY Capital Markets, LLC | 8-35255 | 000017454 | LEI: VJW2DOOHGDT6PR0ZRO63 | NEW YORK | UNITED STATES OF AMERICA | 25,395,298.19000000 |
| #4 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | LEI: MBNUM2BPBDO7JBLYG310 | NEW YORK | UNITED STATES OF AMERICA | 16,058,316.00000000 |
| #5 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | NEW YORK | UNITED STATES OF AMERICA | 80,984,908.17000000 |
| #6 | HSBC Securities (USA) Inc. | 8-41562 | 000019585 | LEI: CYYGQCGNHMHPSMRL3R97 | NEW YORK | UNITED STATES OF AMERICA | 14,447,158.50000000 |
| #7 | MarketAxess Corporation | 8-50727 | 000044542 | LEI: GPSMMRI21JE7ZCVYF972 | NEW YORK | UNITED STATES OF AMERICA | 16,642,739.49000000 |
| #8 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | LEI: FOR8UP27PHTHYVLBNG30 | NEW YORK | UNITED STATES OF AMERICA | 14,260,669.49000000 |
| #9 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | LEI: 9R7GPTSO7KV3UQJZQ078 | NEW YORK | UNITED STATES OF AMERICA | 10,778,185.79000000 |
| #10 | Jefferies LLC | 8-15074 | 000002347 | LEI: 58PU97L1C0WSRCWADL48 | NEW YORK | UNITED STATES OF AMERICA | 9,312,055.94000000 |
| b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 333,984,545.49000000 |
| a. During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ☐ Yes ☒ No |
| a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 393,472,212.70692307 |
| b. Provide the money market fund's daily average net assets during the reporting period |
| For open-end management investment companies, respond to the following: |
| a. Does the Fund have available a line of credit? | ☒ Yes ☐ No |
| i. If yes, for each line of credit, provide the information requested below: |
| Line of Credit Details Record: 1 |
| i. Is the line of credit a committed or uncommitted line of credit? | ☒ Committed ☐ Uncommitted |
| ii. What size is the line of credit? | 200,000,000.00000000 |
| iii. With which institution(s) is the line of credit? |
|
| iv. Is the line of credit just for the Fund, or is it shared among multiple funds? | ☐ Sole ☒ Shared |
| 1. If shared, list the names of other funds that may use the line of credit. |
| Shared Credit Users Record | Name of fund | SEC File number(e.g., 811-) |
|---|---|---|
| #1 | VanEck Commodity Strategy ETF | 811-10325 |
| #2 | VanEck Junior Gold Miners ETF | 811-10325 |
| #3 | VanEck Morningstar SMID Moat ETF | 811-10325 |
| #4 | VanEck Green Infrastructure ETF | 811-10325 |
| #5 | VanEck Morningstar International Moat ETF | 811-10325 |
| #6 | VanEck Green Metals ETF | 811-10325 |
| #7 | VanEck Gold Miners ETF | 811-10325 |
| #8 | VanEck High Yield Muni ETF | 811-10325 |
| #9 | VanEck Social Sentiment ETF | 811-10325 |
| #10 | VanEck Vietnam ETF | 811-10325 |
| #11 | VanEck Office and Commercial REIT ETF | 811-10325 |
| #12 | VanEck Oil Services ETF | 811-10325 |
| #13 | VanEck Robotics ETF | 811-10325 |
| #14 | VanEck India Growth Leaders ETF | 811-10325 |
| #15 | VanEck Morningstar ESG Moat ETF | 811-10325 |
| #16 | VanEck CMCI Commodity Strategy ETF | 811-10325 |
| #17 | VanEck Rare Earth and Strategic Metals ETF | 811-10325 |
| #18 | VanEck Morningstar Wide Moat ETF | 811-10325 |
| #19 | VanEck Digital India ETF | 811-10325 |
| #20 | VanEck Environmental Services ETF | 811-10325 |
| #21 | VanEck Short Muni ETF | 811-10325 |
| #22 | VanEck Moody's Analytics IG Corporate Bond ETF | 811-10325 |
| #23 | VanEck Preferred Securities ex Financials ETF | 811-10325 |
| #24 | VanEck Biotech ETF | 811-10325 |
| #25 | VanEck Morningstar Global Wide Moat ETF | 811-10325 |
| #26 | VanEck China Bond ETF | 811-10325 |
| #27 | VanEck Africa Index ETF | 811-10325 |
| #28 | VanEck BDC Income ETF | 811-10325 |
| #29 | VanEck Natural Resources ETF | 811-10325 |
| #30 | VanEck Gaming ETF | 811-10325 |
| #31 | VanEck CEF Muni Income ETF | 811-10325 |
| #32 | VanEck Oil Refiners ETF | 811-10325 |
| #33 | VanEck Intermediate Muni ETF | 811-10325 |
| #34 | VanEck Fallen Angel High Yield Bond ETF | 811-10325 |
| #35 | VanEck HIP Sustainable Muni ETF | 811-10325 |
| #36 | VanEck Green Bond ETF | 811-10325 |
| #37 | VanEck Digital Transformation ETF | 811-10325 |
| #38 | VanEck ChiNext ETF | 811-10325 |
| #39 | VanEck Morningstar Wide Moat Value ETF | 811-10325 |
| #40 | VanEck Indonesia Index ETF | 811-10325 |
| #41 | VanEck Semiconductor ETF | 811-10325 |
| #42 | VanEck Retail ETF | 811-10325 |
| #43 | VanEck Morningstar Wide Moat Growth ETF | 811-10325 |
| #44 | VanEck Long Muni ETF | 811-10325 |
| #45 | VanEck Brazil Small-Cap ETF | 811-10325 |
| #46 | VanEck Fabless Semiconductor ETF | 811-10325 |
| #47 | VanEck Real Assets ETF | 811-10325 |
| #48 | VanEck Steel ETF | 811-10325 |
| #49 | VanEck Israel ETF | 811-10325 |
| #50 | VanEck Low Carbon Energy ETF | 811-10325 |
| #51 | VanEck J.P. Morgan EM Local Currency Bond ETF | 811-10325 |
| #52 | VanEck Long/Flat Trend ETF | 811-10325 |
| #53 | VanEck CLO ETF | 811-10325 |
| #54 | VanEck Uranium and Nuclear ETF | 811-10325 |
| #55 | VanEck Agribusiness ETF | 811-10325 |
| #56 | VanEck Pharmaceutical ETF | 811-10325 |
| #57 | VanEck Video Gaming and eSports ETF | 811-10325 |
| #58 | VanEck IG Floating Rate ETF | 811-10325 |
| #59 | VanEck AA-BB CLO ETF | 811-10325 |
| #60 | VanEck Durable High Dividend ETF | 811-10325 |
| #61 | VanEck Moody's Analytics BBB Corporate Bond ETF | 811-10325 |
| #62 | VanEck Mortgage REIT Income ETF | 811-10325 |
| #63 | VanEck Energy Income ETF | 811-10325 |
| #64 | VanEck International High Yield Bond ETF | 811-10325 |
| #65 | VanEck Short High Yield Muni ETF | 811-10325 |
| v. Did the Fund draw on the line of credit this period? | ☒ Yes ☐ No |
| vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use? | 912,204.00000000 |
| vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use? | 6 |
| b. Did the Fund engage in interfund lending? | ☐ Yes ☒ No |
| c. Did the Fund engage in interfund borrowing? | ☐ Yes ☒ No |
| For open-end management investment companies, respond to the following: |
| a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ☐ Yes ☐ No |
| For open-end management investment companies subject to rule 22e-4 (17 CFR 270.22e-4), respond to the following: |
| a. Provide the following information about each person that provided liquidity classification services to the Fund during the reporting period: |
| Liquidity Classification Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the liquidity classification service an affiliated person of the Fund or its investment adviser(s)? | Asset class(es) for which liquidity classification services were provided to the Fund | — | — | — | — | — | — | — |
|---|
| b. Was a liquidity classification service hired or terminated during the reporting period? | ☐ Yes ☐ No |
| Management Investment Record: 7 |
| a. Full Name of the Fund | VanEck High Yield Muni ETF |
| b. Series identication number, if any | S000019193 |
| c. LEI | 549300UT41BWOPGYSE94 |
| d. Is this the first filing on this form by the Fund? | ☐ Yes ☒ No |
| a. How many Classes of shares of the Fund (if any) are authorized? | 0 |
| b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
| c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
| d. For each Class with shares outstanding, provide the information requested below: |
| Shares Outstanding Record | Full name of Class | Class identification number, if any | Ticker symbol, if any |
|---|---|---|---|
| #1 | VanEck High Yield Muni ETF | C000053010 | HYD |
| Instructions: 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
| a. Indicate if the Fund is any one of the types listed. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or
offers a Class that itself is an Exchange-Traded Fund or
Exchange-Traded Managed Fund
☒ i. Exchange-Traded Fund ☐ ii. Exchange-Traded Managed Fund ☒ b. Index Fund ☐ c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark ☐ d. Interval Fund ☐ e. Fund of Funds ☐ f. Master-Feeder Fund ☐ g. Money Market Fund ☐ h. Target Date Fund ☐ i. Underlying fund to a variable annuity or variable life insurance contract ☐ N/A |
| i. Is the index whose performance the Fund tracks, constructed: | |
| 1. By an affiliated person of the fund? | ☐ Yes ☒ No |
| 2. Exclusively for the fund? | ☐ Yes ☒ No |
| ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return): | |
| 1. Before Fund fees and expenses: | -1.24700000 |
| 2. After Fund fees and expenses (i.e., net asset value): | -1.57300000 |
| iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period: | |
| 1. Before Fund fees and expenses: | 0.16700000 |
| 2. After Fund fees and expenses (i.e., net asset value): | 0.16700000 |
| a. Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ☐ Yes ☒ No |
| Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
| a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ☐ Yes ☒ No |
| Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
| a. Is the Fund authorized to engage in securities lending transactions? | ☐ Yes ☒ No |
| b. Did the Fund lend any of its securities during the reporting period? | ☐ Yes ☒ No |
| c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
| Securities Lending Record | Full name of securities lending agent | Identifying number(s) | Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | — | — | — | — | — |
|---|
| d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
| Collateral Managers Record | Full name of cash collateral manager | Identifying number(s) | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | — | — | — | — | — |
|---|
| e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ☐
i. Revenue sharing split
☐ ii. Non-revenue sharing split (other than administrative fee) ☐ iii. Administrative fee ☐ iv. Cash collateral reinvestment fee ☐ v. Indemnification fee ☐ vi. Other ☒ N/A |
| f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | N/A |
| g. Provide the net income from securities lending activities | N/A |
| a. Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) | ☐
a. Rule 10f-3 (17 CFR 270.10f-3)
☐ b. Rule 12d1-1 (17 CFR 270.12d1-1) ☐ c. Rule 15a-4 (17 CFR 270.15a-4) ☐ d. Rule 17a-6 (17 CFR 270.17a-6) ☒ e. Rule 17a-7 (17 CFR 270.17a-7) ☐ f. Rule 17a-8 (17 CFR 270.17a-8) ☐ g. Rule 17e-1 (17 CFR 270.17e-1) ☐ h. Rule 22d-1 (17 CFR 270.22d-1) ☐ i. Rule 23c-1 (17 CFR 270.23c-1) ☒ j. Rule 32a-4 (17 CFR 270.32a-4) ☒ k. Rule 6c-11 (17 CFR 270.6c-11) ☒ l. Rule 12d1-4 (17 CFR 270.12d1-4) ☐ m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) ☐ n. Rule 18f-4 (17 CFR 270.18f-4) ☐
i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4)
program requirement and limit on fund leverage risk under
rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))?
☐
N/A
☐ ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? ☐ iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? ☐ iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? ☐ v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? ☐ vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? |
| Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
| a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ☐ Yes ☒ No |
| b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ☐ Yes ☒ No |
| c. Are the fees waived subject to recoupment? | ☐ Yes ☒ No |
| d. Were any expenses previously waived recouped during the period? | ☐ Yes ☒ No |
| a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
| Investment Advisers Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Was the investment adviser hired during the reporting period? |
|---|---|---|---|---|---|---|---|
| #1 | Van Eck Associates Corporation | 801-21340 | 000105080 | LEI: 549300R5E0DJJN8D4E32 | NEW YORK | UNITED STATES OF AMERICA | No |
| b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
| Investment Advisers Terminated Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — | — |
|---|
| c. For each sub-adviser to the Fund, provide the information requested: |
| Sub-Advisors Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | Was the sub-adviser hired during the reporting period? | — | — | — | — | — | — | — | — | — |
|---|
| d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
| Sub-Advisors Terminated Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — | — |
|---|
| a. Provide the following information about each person providing transfer agency services to the Fund: |
| Transfer Agents Record | Full name |
SEC file number ( e.g., 801- ) | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | Is the transfer agent a sub-transfer agent? |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | 85-05003 | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a transfer agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
| Pricing Services Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
|---|---|---|---|---|---|
| #1 | PricingDirect Inc. | LEI: 549300WIC0TOJ7N7GD54 | NEW YORK | UNITED STATES OF AMERICA | No |
| #2 | S&P Global Inc. | LEI: Y6X4K52KMJMZE7I7MY94 | NEW YORK | UNITED STATES OF AMERICA | No |
| #3 | London Stock Exchange Group PLC | LEI: 213800QAUUUP6I445N30 | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND | No | |
| #4 | Bloomberg L.P. | LEI: 549300B56MD0ZC402L06 | NEW YORK | UNITED STATES OF AMERICA | No |
| #5 | ICE Data Services, Inc. | LEI: 13-3668779 | GEORGIA | UNITED STATES OF AMERICA | No |
| b. Was a pricing service hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
| Custodians Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the custodian an affiliated person of the Fund or its investment adviser(s)? | Is the custodian a sub-custodian? |
Type of custody (describe if "Other") |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No | Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) |
| b. Has a custodian been hired or terminated during the reporting period?* | ☐ Yes ☒ No |
| a. Provide the following information about each shareholder servicing agent of the Fund: |
| Shareholder Servicing Agents Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | Is the shareholder servicing agent a sub-shareholder servicing agent? |
|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each administrator of the Fund: |
| Administrators Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the administrator an affiliated person of the Fund or its investment adviser(s)? | Is the administrator a sub-administrator? |
|---|---|---|---|---|---|---|
| #1 | Van Eck Associates Corporation | LEI: 549300R5E0DJJN8D4E32 | NEW YORK | UNITED STATES OF AMERICA | Yes | No |
| b. Has a third-party administrator been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each affiliated broker-dealer: |
| Broker-Dealers Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Total commissions paid to the affiliated broker-dealer for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | Van Eck Securities Corporation | 8-4618 | 000002269 | LEI: N/A | NEW YORK | UNITED STATES OF AMERICA | 0.00000000 |
| Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
| a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
| Brokers Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Gross commissions paid by the Fund for the reporting period | — | — | — | — | — | — | — | — |
|---|
| b. Aggregate brokerage commissions paid by Fund during the reporting period: | 0.00000000 |
| a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
| Principal Transactions Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Total value of purchases and sales (excluding maturing securities) with Fund |
|---|---|---|---|---|---|---|---|
| #1 | Barclays Capital Inc. | 8-41342 | 000019714 | LEI: AC28XWWI3WIBK2824319 | NEW YORK | UNITED STATES OF AMERICA | 65,434,274.25000000 |
| #2 | RBC Capital Markets, LLC | 8-45411 | 000031194 | LEI: 549300LCO2FLSSVFFR64 | NEW YORK | UNITED STATES OF AMERICA | 101,805,988.82000000 |
| #3 | BofA Securities, Inc. | 8-69787 | 000283942 | LEI: 549300HN4UKV1E2R3U73 | NEW YORK | UNITED STATES OF AMERICA | 265,335,776.84000000 |
| #4 | BNY Capital Markets, LLC | 8-35255 | 000017454 | LEI: VJW2DOOHGDT6PR0ZRO63 | NEW YORK | UNITED STATES OF AMERICA | 222,665,405.62000000 |
| #5 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | LEI: 9R7GPTSO7KV3UQJZQ078 | NEW YORK | UNITED STATES OF AMERICA | 197,283,912.80000000 |
| #6 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | LEI: VYVVCKR63DVZZN70PB21 | NORTH CAROLINA | UNITED STATES OF AMERICA | 207,605,813.61000000 |
| #7 | Truist Securities, Inc. | 8-17212 | 000006271 | LEI: CSVTK36R0PNGXEM7NS14 | GEORGIA | UNITED STATES OF AMERICA | 57,052,572.20000000 |
| #8 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | NEW YORK | UNITED STATES OF AMERICA | 181,618,290.55000000 |
| #9 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | LEI: FOR8UP27PHTHYVLBNG30 | NEW YORK | UNITED STATES OF AMERICA | 207,686,998.34000000 |
| #10 | Jefferies LLC | 8-15074 | 000002347 | LEI: 58PU97L1C0WSRCWADL48 | NEW YORK | UNITED STATES OF AMERICA | 173,677,182.76000000 |
| b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 1,882,881,662.17000000 |
| a. During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ☐ Yes ☒ No |
| a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 3,163,991,441.99692307 |
| b. Provide the money market fund's daily average net assets during the reporting period |
| For open-end management investment companies, respond to the following: |
| a. Does the Fund have available a line of credit? | ☒ Yes ☐ No |
| i. If yes, for each line of credit, provide the information requested below: |
| Line of Credit Details Record: 1 |
| i. Is the line of credit a committed or uncommitted line of credit? | ☒ Committed ☐ Uncommitted |
| ii. What size is the line of credit? | 200,000,000.00000000 |
| iii. With which institution(s) is the line of credit? |
|
| iv. Is the line of credit just for the Fund, or is it shared among multiple funds? | ☐ Sole ☒ Shared |
| 1. If shared, list the names of other funds that may use the line of credit. |
| Shared Credit Users Record | Name of fund | SEC File number(e.g., 811-) |
|---|---|---|
| #1 | VanEck Natural Resources ETF | 811-10325 |
| #2 | VanEck Junior Gold Miners ETF | 811-10325 |
| #3 | VanEck Gaming ETF | 811-10325 |
| #4 | VanEck Morningstar Global Wide Moat ETF | 811-10325 |
| #5 | VanEck Robotics ETF | 811-10325 |
| #6 | VanEck China Bond ETF | 811-10325 |
| #7 | VanEck Mortgage REIT Income ETF | 811-10325 |
| #8 | VanEck AA-BB CLO ETF | 811-10325 |
| #9 | VanEck Digital Transformation ETF | 811-10325 |
| #10 | VanEck Green Infrastructure ETF | 811-10325 |
| #11 | VanEck Brazil Small-Cap ETF | 811-10325 |
| #12 | VanEck Indonesia Index ETF | 811-10325 |
| #13 | VanEck CLO ETF | 811-10325 |
| #14 | VanEck Morningstar ESG Moat ETF | 811-10325 |
| #15 | VanEck Office and Commercial REIT ETF | 811-10325 |
| #16 | VanEck Gold Miners ETF | 811-10325 |
| #17 | VanEck Biotech ETF | 811-10325 |
| #18 | VanEck Real Assets ETF | 811-10325 |
| #19 | VanEck Social Sentiment ETF | 811-10325 |
| #20 | VanEck Short Muni ETF | 811-10325 |
| #21 | VanEck Fallen Angel High Yield Bond ETF | 811-10325 |
| #22 | VanEck Uranium and Nuclear ETF | 811-10325 |
| #23 | VanEck Emerging Markets High Yield Bond ETF | 811-10325 |
| #24 | VanEck Pharmaceutical ETF | 811-10325 |
| #25 | VanEck Retail ETF | 811-10325 |
| #26 | VanEck Agribusiness ETF | 811-10325 |
| #27 | VanEck Long/Flat Trend ETF | 811-10325 |
| #28 | VanEck Preferred Securities ex Financials ETF | 811-10325 |
| #29 | VanEck Moody's Analytics IG Corporate Bond ETF | 811-10325 |
| #30 | VanEck Durable High Dividend ETF | 811-10325 |
| #31 | VanEck Africa Index ETF | 811-10325 |
| #32 | VanEck CMCI Commodity Strategy ETF | 811-10325 |
| #33 | VanEck CEF Muni Income ETF | 811-10325 |
| #34 | VanEck Morningstar SMID Moat ETF | 811-10325 |
| #35 | VanEck Semiconductor ETF | 811-10325 |
| #36 | VanEck Morningstar Wide Moat ETF | 811-10325 |
| #37 | VanEck Digital India ETF | 811-10325 |
| #38 | VanEck Moody's Analytics BBB Corporate Bond ETF | 811-10325 |
| #39 | VanEck Oil Refiners ETF | 811-10325 |
| #40 | VanEck Vietnam ETF | 811-10325 |
| #41 | VanEck Morningstar International Moat ETF | 811-10325 |
| #42 | VanEck Oil Services ETF | 811-10325 |
| #43 | VanEck Long Muni ETF | 811-10325 |
| #44 | VanEck Green Metals ETF | 811-10325 |
| #45 | VanEck Morningstar Wide Moat Value ETF | 811-10325 |
| #46 | VanEck Low Carbon Energy ETF | 811-10325 |
| #47 | VanEck Commodity Strategy ETF | 811-10325 |
| #48 | VanEck Steel ETF | 811-10325 |
| #49 | VanEck Environmental Services ETF | 811-10325 |
| #50 | VanEck Video Gaming and eSports ETF | 811-10325 |
| #51 | VanEck Morningstar Wide Moat Growth ETF | 811-10325 |
| #52 | VanEck International High Yield Bond ETF | 811-10325 |
| #53 | VanEck Rare Earth and Strategic Metals ETF | 811-10325 |
| #54 | VanEck Fabless Semiconductor ETF | 811-10325 |
| #55 | VanEck Energy Income ETF | 811-10325 |
| #56 | VanEck Short High Yield Muni ETF | 811-10325 |
| #57 | VanEck BDC Income ETF | 811-10325 |
| #58 | VanEck ChiNext ETF | 811-10325 |
| #59 | VanEck Israel ETF | 811-10325 |
| #60 | VanEck IG Floating Rate ETF | 811-10325 |
| #61 | VanEck Green Bond ETF | 811-10325 |
| #62 | VanEck HIP Sustainable Muni ETF | 811-10325 |
| #63 | VanEck India Growth Leaders ETF | 811-10325 |
| #64 | VanEck Intermediate Muni ETF | 811-10325 |
| #65 | VanEck J.P. Morgan EM Local Currency Bond ETF | 811-10325 |
| v. Did the Fund draw on the line of credit this period? | ☐ Yes ☒ No |
| b. Did the Fund engage in interfund lending? | ☐ Yes ☒ No |
| c. Did the Fund engage in interfund borrowing? | ☐ Yes ☒ No |
| For open-end management investment companies, respond to the following: |
| a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ☐ Yes ☐ No |
| For open-end management investment companies subject to rule 22e-4 (17 CFR 270.22e-4), respond to the following: |
| a. Provide the following information about each person that provided liquidity classification services to the Fund during the reporting period: |
| Liquidity Classification Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the liquidity classification service an affiliated person of the Fund or its investment adviser(s)? | Asset class(es) for which liquidity classification services were provided to the Fund | — | — | — | — | — | — | — |
|---|
| b. Was a liquidity classification service hired or terminated during the reporting period? | ☐ Yes ☐ No |
| Management Investment Record: 8 |
| a. Full Name of the Fund | VanEck Moody's Analytics IG Corporate Bond ETF |
| b. Series identication number, if any | S000069556 |
| c. LEI | 549300N3MNXT5GUUKB09 |
| d. Is this the first filing on this form by the Fund? | ☐ Yes ☒ No |
| a. How many Classes of shares of the Fund (if any) are authorized? | 0 |
| b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
| c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
| d. For each Class with shares outstanding, provide the information requested below: |
| Shares Outstanding Record | Full name of Class | Class identification number, if any | Ticker symbol, if any |
|---|---|---|---|
| #1 | VanEck Moody's Analytics IG Corporate Bond ETF | C000221910 | MIG |
| Instructions: 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
| a. Indicate if the Fund is any one of the types listed. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or
offers a Class that itself is an Exchange-Traded Fund or
Exchange-Traded Managed Fund
☒ i. Exchange-Traded Fund ☐ ii. Exchange-Traded Managed Fund ☒ b. Index Fund ☐ c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark ☐ d. Interval Fund ☐ e. Fund of Funds ☐ f. Master-Feeder Fund ☐ g. Money Market Fund ☐ h. Target Date Fund ☐ i. Underlying fund to a variable annuity or variable life insurance contract ☐ N/A |
| i. Is the index whose performance the Fund tracks, constructed: | |
| 1. By an affiliated person of the fund? | ☒ Yes ☐ No |
| 2. Exclusively for the fund? | ☐ Yes ☒ No |
| ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return): | |
| 1. Before Fund fees and expenses: | 0.26600000 |
| 2. After Fund fees and expenses (i.e., net asset value): | 0.05100000 |
| iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period: | |
| 1. Before Fund fees and expenses: | 0.18000000 |
| 2. After Fund fees and expenses (i.e., net asset value): | 0.18000000 |
| a. Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ☐ Yes ☒ No |
| Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
| a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ☐ Yes ☒ No |
| Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
| a. Is the Fund authorized to engage in securities lending transactions? | ☒ Yes ☐ No |
| b. Did the Fund lend any of its securities during the reporting period? | ☒ Yes ☐ No |
| i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
| 1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ☐ Yes ☒ No |
| 2. The Fund was otherwise adversely impacted? | ☐ Yes ☒ No |
| c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
| Securities Lending Record | Full name of securities lending agent | Identifying number(s) | Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? |
|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | No | Yes |
| If the entity providing the indemnification is not the securities lending agent, provide the following information: | ||||
| Idemnity Providers Record | Name of person providing indemnification | Identifying number(s) | ||
| #1 | N/A | LEI: N/A | ||
| Did the Fund exercise its indemnification rights during the reporting period? | ☐ Yes ☒ No | |||
| d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
| Collateral Managers Record | Full name of cash collateral manager | Identifying number(s) | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | — | — | — | — | — |
|---|
| e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ☒
i. Revenue sharing split
☐ ii. Non-revenue sharing split (other than administrative fee) ☐ iii. Administrative fee ☐ iv. Cash collateral reinvestment fee ☐ v. Indemnification fee ☐ vi. Other ☐ N/A |
| f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 676,642.85000000 |
| g. Provide the net income from securities lending activities | 1,396.00000000 |
| a. Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) | ☐
a. Rule 10f-3 (17 CFR 270.10f-3)
☐ b. Rule 12d1-1 (17 CFR 270.12d1-1) ☐ c. Rule 15a-4 (17 CFR 270.15a-4) ☐ d. Rule 17a-6 (17 CFR 270.17a-6) ☐ e. Rule 17a-7 (17 CFR 270.17a-7) ☐ f. Rule 17a-8 (17 CFR 270.17a-8) ☐ g. Rule 17e-1 (17 CFR 270.17e-1) ☐ h. Rule 22d-1 (17 CFR 270.22d-1) ☐ i. Rule 23c-1 (17 CFR 270.23c-1) ☒ j. Rule 32a-4 (17 CFR 270.32a-4) ☒ k. Rule 6c-11 (17 CFR 270.6c-11) ☒ l. Rule 12d1-4 (17 CFR 270.12d1-4) ☐ m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) ☐ n. Rule 18f-4 (17 CFR 270.18f-4) ☐
i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4)
program requirement and limit on fund leverage risk under
rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))?
☐
N/A
☐ ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? ☐ iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? ☐ iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? ☐ v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? ☐ vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? |
| Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
| a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ☐ Yes ☒ No |
| b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ☐ Yes ☒ No |
| c. Are the fees waived subject to recoupment? | ☐ Yes ☒ No |
| d. Were any expenses previously waived recouped during the period? | ☐ Yes ☒ No |
| a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
| Investment Advisers Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Was the investment adviser hired during the reporting period? |
|---|---|---|---|---|---|---|---|
| #1 | Van Eck Associates Corporation | 801-21340 | 000105080 | LEI: 549300R5E0DJJN8D4E32 | NEW YORK | UNITED STATES OF AMERICA | No |
| b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
| Investment Advisers Terminated Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — | — |
|---|
| c. For each sub-adviser to the Fund, provide the information requested: |
| Sub-Advisors Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | Was the sub-adviser hired during the reporting period? | — | — | — | — | — | — | — | — | — |
|---|
| d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
| Sub-Advisors Terminated Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — | — |
|---|
| a. Provide the following information about each person providing transfer agency services to the Fund: |
| Transfer Agents Record | Full name |
SEC file number ( e.g., 801- ) | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | Is the transfer agent a sub-transfer agent? |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | 85-05003 | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a transfer agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
| Pricing Services Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
|---|---|---|---|---|---|
| #1 | ICE Data Services, Inc. | LEI: 13-3668779 | GEORGIA | UNITED STATES OF AMERICA | No |
| #2 | S&P Global Inc. | LEI: Y6X4K52KMJMZE7I7MY94 | NEW YORK | UNITED STATES OF AMERICA | No |
| #3 | London Stock Exchange Group PLC | LEI: 213800QAUUUP6I445N30 | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND | No | |
| #4 | PricingDirect Inc. | LEI: 549300WIC0TOJ7N7GD54 | NEW YORK | UNITED STATES OF AMERICA | No |
| #5 | Bloomberg L.P. | LEI: 549300B56MD0ZC402L06 | NEW YORK | UNITED STATES OF AMERICA | No |
| b. Was a pricing service hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
| Custodians Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the custodian an affiliated person of the Fund or its investment adviser(s)? | Is the custodian a sub-custodian? |
Type of custody (describe if "Other") |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No | Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) |
| #2 | Euroclear Bank | LEI: 549300OZ46BRLZ8Y6F65 | BELGIUM | No | Yes | Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7) |
| b. Has a custodian been hired or terminated during the reporting period?* | ☒ Yes ☐ No |
| a. Provide the following information about each shareholder servicing agent of the Fund: |
| Shareholder Servicing Agents Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | Is the shareholder servicing agent a sub-shareholder servicing agent? |
|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each administrator of the Fund: |
| Administrators Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the administrator an affiliated person of the Fund or its investment adviser(s)? | Is the administrator a sub-administrator? |
|---|---|---|---|---|---|---|
| #1 | Van Eck Associates Corporation | LEI: 549300R5E0DJJN8D4E32 | NEW YORK | UNITED STATES OF AMERICA | Yes | No |
| b. Has a third-party administrator been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each affiliated broker-dealer: |
| Broker-Dealers Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Total commissions paid to the affiliated broker-dealer for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | Van Eck Securities Corporation | 8-4618 | 000002269 | LEI: N/A | NEW YORK | UNITED STATES OF AMERICA | 0.00000000 |
| Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
| a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
| Brokers Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Gross commissions paid by the Fund for the reporting period | — | — | — | — | — | — | — | — |
|---|
| b. Aggregate brokerage commissions paid by Fund during the reporting period: | 0.00000000 |
| a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
| Principal Transactions Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Total value of purchases and sales (excluding maturing securities) with Fund |
|---|---|---|---|---|---|---|---|
| #1 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | LEI: FOR8UP27PHTHYVLBNG30 | NEW YORK | UNITED STATES OF AMERICA | 5,048,987.73000000 |
| #2 | MarketAxess Corporation | 8-50727 | 000044542 | LEI: GPSMMRI21JE7ZCVYF972 | NEW YORK | UNITED STATES OF AMERICA | 51,403.50000000 |
| #3 | Jane Street Capital, LLC | 8-52275 | 000103782 | LEI: 549300ZM16HMPEPNV857 | NEW YORK | UNITED STATES OF AMERICA | 4,727,823.59000000 |
| #4 | BofA Securities, Inc. | 8-69787 | 000283942 | LEI: 549300HN4UKV1E2R3U73 | NEW YORK | UNITED STATES OF AMERICA | 19,888,128.56000000 |
| #5 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | NEW YORK | UNITED STATES OF AMERICA | 24,724.50000000 |
| b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 29,834,937.35000000 |
| a. During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ☐ Yes ☒ No |
| a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 15,758,521.80153846 |
| b. Provide the money market fund's daily average net assets during the reporting period |
| For open-end management investment companies, respond to the following: |
| a. Does the Fund have available a line of credit? | ☒ Yes ☐ No |
| i. If yes, for each line of credit, provide the information requested below: |
| Line of Credit Details Record: 1 |
| i. Is the line of credit a committed or uncommitted line of credit? | ☒ Committed ☐ Uncommitted |
| ii. What size is the line of credit? | 200,000,000.00000000 |
| iii. With which institution(s) is the line of credit? |
|
| iv. Is the line of credit just for the Fund, or is it shared among multiple funds? | ☐ Sole ☒ Shared |
| 1. If shared, list the names of other funds that may use the line of credit. |
| Shared Credit Users Record | Name of fund | SEC File number(e.g., 811-) |
|---|---|---|
| #1 | VanEck Green Infrastructure ETF | 811-10325 |
| #2 | VanEck Natural Resources ETF | 811-10325 |
| #3 | VanEck Gaming ETF | 811-10325 |
| #4 | VanEck Junior Gold Miners ETF | 811-10325 |
| #5 | VanEck Moody's Analytics BBB Corporate Bond ETF | 811-10325 |
| #6 | VanEck Fabless Semiconductor ETF | 811-10325 |
| #7 | VanEck CLO ETF | 811-10325 |
| #8 | VanEck Vietnam ETF | 811-10325 |
| #9 | VanEck Commodity Strategy ETF | 811-10325 |
| #10 | VanEck China Bond ETF | 811-10325 |
| #11 | VanEck Short High Yield Muni ETF | 811-10325 |
| #12 | VanEck Long/Flat Trend ETF | 811-10325 |
| #13 | VanEck Rare Earth and Strategic Metals ETF | 811-10325 |
| #14 | VanEck Environmental Services ETF | 811-10325 |
| #15 | VanEck Morningstar International Moat ETF | 811-10325 |
| #16 | VanEck Morningstar Wide Moat Value ETF | 811-10325 |
| #17 | VanEck Uranium and Nuclear ETF | 811-10325 |
| #18 | VanEck Indonesia Index ETF | 811-10325 |
| #19 | VanEck CMCI Commodity Strategy ETF | 811-10325 |
| #20 | VanEck Green Metals ETF | 811-10325 |
| #21 | VanEck Durable High Dividend ETF | 811-10325 |
| #22 | VanEck Mortgage REIT Income ETF | 811-10325 |
| #23 | VanEck Morningstar Wide Moat Growth ETF | 811-10325 |
| #24 | VanEck India Growth Leaders ETF | 811-10325 |
| #25 | VanEck Israel ETF | 811-10325 |
| #26 | VanEck Long Muni ETF | 811-10325 |
| #27 | VanEck Short Muni ETF | 811-10325 |
| #28 | VanEck Morningstar SMID Moat ETF | 811-10325 |
| #29 | VanEck CEF Muni Income ETF | 811-10325 |
| #30 | VanEck Digital India ETF | 811-10325 |
| #31 | VanEck Robotics ETF | 811-10325 |
| #32 | VanEck Oil Services ETF | 811-10325 |
| #33 | VanEck BDC Income ETF | 811-10325 |
| #34 | VanEck HIP Sustainable Muni ETF | 811-10325 |
| #35 | VanEck Social Sentiment ETF | 811-10325 |
| #36 | VanEck Pharmaceutical ETF | 811-10325 |
| #37 | VanEck Emerging Markets High Yield Bond ETF | 811-10325 |
| #38 | VanEck Low Carbon Energy ETF | 811-10325 |
| #39 | VanEck Video Gaming and eSports ETF | 811-10325 |
| #40 | VanEck AA-BB CLO ETF | 811-10325 |
| #41 | VanEck Biotech ETF | 811-10325 |
| #42 | VanEck Fallen Angel High Yield Bond ETF | 811-10325 |
| #43 | VanEck Preferred Securities ex Financials ETF | 811-10325 |
| #44 | VanEck Steel ETF | 811-10325 |
| #45 | VanEck Oil Refiners ETF | 811-10325 |
| #46 | VanEck ChiNext ETF | 811-10325 |
| #47 | VanEck Office and Commercial REIT ETF | 811-10325 |
| #48 | VanEck Morningstar Global Wide Moat ETF | 811-10325 |
| #49 | VanEck Real Assets ETF | 811-10325 |
| #50 | VanEck Retail ETF | 811-10325 |
| #51 | VanEck J.P. Morgan EM Local Currency Bond ETF | 811-10325 |
| #52 | VanEck Africa Index ETF | 811-10325 |
| #53 | VanEck International High Yield Bond ETF | 811-10325 |
| #54 | VanEck Agribusiness ETF | 811-10325 |
| #55 | VanEck Intermediate Muni ETF | 811-10325 |
| #56 | VanEck High Yield Muni ETF | 811-10325 |
| #57 | VanEck Gold Miners ETF | 811-10325 |
| #58 | VanEck Morningstar Wide Moat ETF | 811-10325 |
| #59 | VanEck Brazil Small-Cap ETF | 811-10325 |
| #60 | VanEck Energy Income ETF | 811-10325 |
| #61 | VanEck Digital Transformation ETF | 811-10325 |
| #62 | VanEck Green Bond ETF | 811-10325 |
| #63 | VanEck IG Floating Rate ETF | 811-10325 |
| #64 | VanEck Morningstar ESG Moat ETF | 811-10325 |
| #65 | VanEck Semiconductor ETF | 811-10325 |
| v. Did the Fund draw on the line of credit this period? | ☐ Yes ☒ No |
| b. Did the Fund engage in interfund lending? | ☐ Yes ☒ No |
| c. Did the Fund engage in interfund borrowing? | ☐ Yes ☒ No |
| For open-end management investment companies, respond to the following: |
| a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ☐ Yes ☐ No |
| For open-end management investment companies subject to rule 22e-4 (17 CFR 270.22e-4), respond to the following: |
| a. Provide the following information about each person that provided liquidity classification services to the Fund during the reporting period: |
| Liquidity Classification Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the liquidity classification service an affiliated person of the Fund or its investment adviser(s)? | Asset class(es) for which liquidity classification services were provided to the Fund | — | — | — | — | — | — | — |
|---|
| b. Was a liquidity classification service hired or terminated during the reporting period? | ☐ Yes ☐ No |
| Management Investment Record: 9 |
| a. Full Name of the Fund | VanEck HIP Sustainable Muni ETF |
| b. Series identication number, if any | S000068447 |
| c. LEI | 5493005OMFOR5LWI0746 |
| d. Is this the first filing on this form by the Fund? | ☐ Yes ☒ No |
| a. How many Classes of shares of the Fund (if any) are authorized? | 0 |
| b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
| c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
| d. For each Class with shares outstanding, provide the information requested below: |
| Shares Outstanding Record | Full name of Class | Class identification number, if any | Ticker symbol, if any |
|---|---|---|---|
| #1 | VanEck HIP Sustainable Muni ETF | C000218865 | SMI |
| Instructions: 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
| a. Indicate if the Fund is any one of the types listed. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or
offers a Class that itself is an Exchange-Traded Fund or
Exchange-Traded Managed Fund
☒ i. Exchange-Traded Fund ☐ ii. Exchange-Traded Managed Fund ☐ b. Index Fund ☐ c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark ☐ d. Interval Fund ☐ e. Fund of Funds ☐ f. Master-Feeder Fund ☐ g. Money Market Fund ☐ h. Target Date Fund ☐ i. Underlying fund to a variable annuity or variable life insurance contract ☐ N/A |
| a. Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ☒ Yes ☐ No |
| Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
| a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ☐ Yes ☒ No |
| Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
| a. Is the Fund authorized to engage in securities lending transactions? | ☐ Yes ☒ No |
| b. Did the Fund lend any of its securities during the reporting period? | ☐ Yes ☒ No |
| c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
| Securities Lending Record | Full name of securities lending agent | Identifying number(s) | Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | — | — | — | — | — |
|---|
| d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
| Collateral Managers Record | Full name of cash collateral manager | Identifying number(s) | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | — | — | — | — | — |
|---|
| e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ☐
i. Revenue sharing split
☐ ii. Non-revenue sharing split (other than administrative fee) ☐ iii. Administrative fee ☐ iv. Cash collateral reinvestment fee ☐ v. Indemnification fee ☐ vi. Other ☒ N/A |
| f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | N/A |
| g. Provide the net income from securities lending activities | N/A |
| a. Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) | ☐
a. Rule 10f-3 (17 CFR 270.10f-3)
☐ b. Rule 12d1-1 (17 CFR 270.12d1-1) ☐ c. Rule 15a-4 (17 CFR 270.15a-4) ☐ d. Rule 17a-6 (17 CFR 270.17a-6) ☐ e. Rule 17a-7 (17 CFR 270.17a-7) ☐ f. Rule 17a-8 (17 CFR 270.17a-8) ☐ g. Rule 17e-1 (17 CFR 270.17e-1) ☐ h. Rule 22d-1 (17 CFR 270.22d-1) ☐ i. Rule 23c-1 (17 CFR 270.23c-1) ☒ j. Rule 32a-4 (17 CFR 270.32a-4) ☒ k. Rule 6c-11 (17 CFR 270.6c-11) ☒ l. Rule 12d1-4 (17 CFR 270.12d1-4) ☐ m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) ☐ n. Rule 18f-4 (17 CFR 270.18f-4) ☐
i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4)
program requirement and limit on fund leverage risk under
rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))?
☐
N/A
☐ ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? ☐ iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? ☐ iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? ☐ v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? ☐ vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? |
| Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
| a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ☐ Yes ☒ No |
| b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ☐ Yes ☒ No |
| c. Are the fees waived subject to recoupment? | ☐ Yes ☒ No |
| d. Were any expenses previously waived recouped during the period? | ☐ Yes ☒ No |
| a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
| Investment Advisers Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Was the investment adviser hired during the reporting period? |
|---|---|---|---|---|---|---|---|
| #1 | Van Eck Associates Corporation | 801-21340 | 000105080 | LEI: 549300R5E0DJJN8D4E32 | NEW YORK | UNITED STATES OF AMERICA | No |
| b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
| Investment Advisers Terminated Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — | — |
|---|
| c. For each sub-adviser to the Fund, provide the information requested: |
| Sub-Advisors Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | Was the sub-adviser hired during the reporting period? | — | — | — | — | — | — | — | — | — |
|---|
| d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
| Sub-Advisors Terminated Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — | — |
|---|
| a. Provide the following information about each person providing transfer agency services to the Fund: |
| Transfer Agents Record | Full name |
SEC file number ( e.g., 801- ) | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | Is the transfer agent a sub-transfer agent? |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | 85-05003 | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a transfer agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
| Pricing Services Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
|---|---|---|---|---|---|
| #1 | PricingDirect Inc. | LEI: 549300WIC0TOJ7N7GD54 | NEW YORK | UNITED STATES OF AMERICA | No |
| #2 | S&P Global Inc. | LEI: Y6X4K52KMJMZE7I7MY94 | NEW YORK | UNITED STATES OF AMERICA | No |
| #3 | ICE Data Services, Inc. | LEI: 13-3668779 | GEORGIA | UNITED STATES OF AMERICA | No |
| #4 | Bloomberg L.P. | LEI: 549300B56MD0ZC402L06 | NEW YORK | UNITED STATES OF AMERICA | No |
| #5 | London Stock Exchange Group PLC | LEI: 213800QAUUUP6I445N30 | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND | No |
| b. Was a pricing service hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
| Custodians Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the custodian an affiliated person of the Fund or its investment adviser(s)? | Is the custodian a sub-custodian? |
Type of custody (describe if "Other") |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No | Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) |
| b. Has a custodian been hired or terminated during the reporting period?* | ☐ Yes ☒ No |
| a. Provide the following information about each shareholder servicing agent of the Fund: |
| Shareholder Servicing Agents Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | Is the shareholder servicing agent a sub-shareholder servicing agent? |
|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each administrator of the Fund: |
| Administrators Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the administrator an affiliated person of the Fund or its investment adviser(s)? | Is the administrator a sub-administrator? |
|---|---|---|---|---|---|---|
| #1 | Van Eck Associates Corporation | LEI: 549300R5E0DJJN8D4E32 | NEW YORK | UNITED STATES OF AMERICA | Yes | No |
| b. Has a third-party administrator been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each affiliated broker-dealer: |
| Broker-Dealers Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Total commissions paid to the affiliated broker-dealer for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | Van Eck Securities Corporation | 8-4618 | 000002269 | LEI: N/A | NEW YORK | UNITED STATES OF AMERICA | 0.00000000 |
| Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
| a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
| Brokers Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Gross commissions paid by the Fund for the reporting period | — | — | — | — | — | — | — | — |
|---|
| b. Aggregate brokerage commissions paid by Fund during the reporting period: | 0.00000000 |
| a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
| Principal Transactions Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Total value of purchases and sales (excluding maturing securities) with Fund |
|---|---|---|---|---|---|---|---|
| #1 | RBC Capital Markets, LLC | 8-45411 | 000031194 | LEI: 549300LCO2FLSSVFFR64 | NEW YORK | UNITED STATES OF AMERICA | 529,140.50000000 |
| #2 | BNY Capital Markets, LLC | 8-35255 | 000017454 | LEI: VJW2DOOHGDT6PR0ZRO63 | NEW YORK | UNITED STATES OF AMERICA | 2,064,992.25000000 |
| #3 | Ice Securities Execution & Clearing, LLC | 8-70258 | 000299634 | LEI: 549300Q54HHOIVWCEN57 | NEW YORK | UNITED STATES OF AMERICA | 324,665.25000000 |
| #4 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | NEW YORK | UNITED STATES OF AMERICA | 510,030.00000000 |
| #5 | Jefferies LLC | 8-15074 | 000002347 | LEI: 58PU97L1C0WSRCWADL48 | NEW YORK | UNITED STATES OF AMERICA | 479,005.00000000 |
| #6 | Wedbush Securities Inc. | 8-12987 | 000000877 | LEI: 549300CSX55MXZ47EI78 | CALIFORNIA | UNITED STATES OF AMERICA | 762,846.70000000 |
| #7 | Deutsche Bank Securities Inc. | 8-17822 | 000002525 | LEI: 9J6MBOOO7BECTDTUZW19 | NEW YORK | UNITED STATES OF AMERICA | 317,370.00000000 |
| #8 | BofA Securities, Inc. | 8-69787 | 000283942 | LEI: 549300HN4UKV1E2R3U73 | NEW YORK | UNITED STATES OF AMERICA | 667,177.50000000 |
| #9 | MarketAxess Corporation | 8-50727 | 000044542 | LEI: GPSMMRI21JE7ZCVYF972 | NEW YORK | UNITED STATES OF AMERICA | 912,309.50000000 |
| #10 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | LEI: 9R7GPTSO7KV3UQJZQ078 | NEW YORK | UNITED STATES OF AMERICA | 922,603.10000000 |
| b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 8,295,119.80000000 |
| a. During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ☐ Yes ☒ No |
| a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 12,061,140.55615384 |
| b. Provide the money market fund's daily average net assets during the reporting period |
| For open-end management investment companies, respond to the following: |
| a. Does the Fund have available a line of credit? | ☒ Yes ☐ No |
| i. If yes, for each line of credit, provide the information requested below: |
| Line of Credit Details Record: 1 |
| i. Is the line of credit a committed or uncommitted line of credit? | ☒ Committed ☐ Uncommitted |
| ii. What size is the line of credit? | 200,000,000.00000000 |
| iii. With which institution(s) is the line of credit? |
|
| iv. Is the line of credit just for the Fund, or is it shared among multiple funds? | ☐ Sole ☒ Shared |
| 1. If shared, list the names of other funds that may use the line of credit. |
| Shared Credit Users Record | Name of fund | SEC File number(e.g., 811-) |
|---|---|---|
| #1 | VanEck Social Sentiment ETF | 811-10325 |
| #2 | VanEck Israel ETF | 811-10325 |
| #3 | VanEck Fallen Angel High Yield Bond ETF | 811-10325 |
| #4 | VanEck Oil Services ETF | 811-10325 |
| #5 | VanEck Morningstar Global Wide Moat ETF | 811-10325 |
| #6 | VanEck CEF Muni Income ETF | 811-10325 |
| #7 | VanEck Indonesia Index ETF | 811-10325 |
| #8 | VanEck IG Floating Rate ETF | 811-10325 |
| #9 | VanEck Office and Commercial REIT ETF | 811-10325 |
| #10 | VanEck Green Metals ETF | 811-10325 |
| #11 | VanEck Short High Yield Muni ETF | 811-10325 |
| #12 | VanEck Morningstar Wide Moat Growth ETF | 811-10325 |
| #13 | VanEck Morningstar ESG Moat ETF | 811-10325 |
| #14 | VanEck AA-BB CLO ETF | 811-10325 |
| #15 | VanEck Mortgage REIT Income ETF | 811-10325 |
| #16 | VanEck CLO ETF | 811-10325 |
| #17 | VanEck Environmental Services ETF | 811-10325 |
| #18 | VanEck Robotics ETF | 811-10325 |
| #19 | VanEck Agribusiness ETF | 811-10325 |
| #20 | VanEck Africa Index ETF | 811-10325 |
| #21 | VanEck Real Assets ETF | 811-10325 |
| #22 | VanEck Intermediate Muni ETF | 811-10325 |
| #23 | VanEck Digital Transformation ETF | 811-10325 |
| #24 | VanEck Emerging Markets High Yield Bond ETF | 811-10325 |
| #25 | VanEck International High Yield Bond ETF | 811-10325 |
| #26 | VanEck Morningstar International Moat ETF | 811-10325 |
| #27 | VanEck J.P. Morgan EM Local Currency Bond ETF | 811-10325 |
| #28 | VanEck Steel ETF | 811-10325 |
| #29 | VanEck Preferred Securities ex Financials ETF | 811-10325 |
| #30 | VanEck Durable High Dividend ETF | 811-10325 |
| #31 | VanEck India Growth Leaders ETF | 811-10325 |
| #32 | VanEck Morningstar Wide Moat Value ETF | 811-10325 |
| #33 | VanEck Uranium and Nuclear ETF | 811-10325 |
| #34 | VanEck Rare Earth and Strategic Metals ETF | 811-10325 |
| #35 | VanEck Commodity Strategy ETF | 811-10325 |
| #36 | VanEck Green Bond ETF | 811-10325 |
| #37 | VanEck Low Carbon Energy ETF | 811-10325 |
| #38 | VanEck Morningstar SMID Moat ETF | 811-10325 |
| #39 | VanEck Moody's Analytics IG Corporate Bond ETF | 811-10325 |
| #40 | VanEck Long/Flat Trend ETF | 811-10325 |
| #41 | VanEck Natural Resources ETF | 811-10325 |
| #42 | VanEck Vietnam ETF | 811-10325 |
| #43 | VanEck Green Infrastructure ETF | 811-10325 |
| #44 | VanEck Morningstar Wide Moat ETF | 811-10325 |
| #45 | VanEck Short Muni ETF | 811-10325 |
| #46 | VanEck Video Gaming and eSports ETF | 811-10325 |
| #47 | VanEck Brazil Small-Cap ETF | 811-10325 |
| #48 | VanEck CMCI Commodity Strategy ETF | 811-10325 |
| #49 | VanEck Biotech ETF | 811-10325 |
| #50 | VanEck Junior Gold Miners ETF | 811-10325 |
| #51 | VanEck Energy Income ETF | 811-10325 |
| #52 | VanEck BDC Income ETF | 811-10325 |
| #53 | VanEck High Yield Muni ETF | 811-10325 |
| #54 | VanEck Pharmaceutical ETF | 811-10325 |
| #55 | VanEck Semiconductor ETF | 811-10325 |
| #56 | VanEck ChiNext ETF | 811-10325 |
| #57 | VanEck Oil Refiners ETF | 811-10325 |
| #58 | VanEck Gaming ETF | 811-10325 |
| #59 | VanEck China Bond ETF | 811-10325 |
| #60 | VanEck Gold Miners ETF | 811-10325 |
| #61 | VanEck Retail ETF | 811-10325 |
| #62 | VanEck Long Muni ETF | 811-10325 |
| #63 | VanEck Moody's Analytics BBB Corporate Bond ETF | 811-10325 |
| #64 | VanEck Fabless Semiconductor ETF | 811-10325 |
| #65 | VanEck Digital India ETF | 811-10325 |
| v. Did the Fund draw on the line of credit this period? | ☐ Yes ☒ No |
| b. Did the Fund engage in interfund lending? | ☐ Yes ☒ No |
| c. Did the Fund engage in interfund borrowing? | ☐ Yes ☒ No |
| For open-end management investment companies subject to rule 22e-4 (17 CFR 270.22e-4), respond to the following: |
| a. Provide the following information about each person that provided liquidity classification services to the Fund during the reporting period: |
| Liquidity Classification Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the liquidity classification service an affiliated person of the Fund or its investment adviser(s)? | Asset class(es) for which liquidity classification services were provided to the Fund | — | — | — | — | — | — | — |
|---|
| b. Was a liquidity classification service hired or terminated during the reporting period? | ☐ Yes ☐ No |
| Management Investment Record: 10 |
| a. Full Name of the Fund | VanEck IG Floating Rate ETF |
| b. Series identication number, if any | S000028942 |
| c. LEI | 549300KYMEXRFZZLM685 |
| d. Is this the first filing on this form by the Fund? | ☐ Yes ☒ No |
| a. How many Classes of shares of the Fund (if any) are authorized? | 0 |
| b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
| c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
| d. For each Class with shares outstanding, provide the information requested below: |
| Shares Outstanding Record | Full name of Class | Class identification number, if any | Ticker symbol, if any |
|---|---|---|---|
| #1 | VanEck IG Floating Rate ETF | C000088892 | FLTR |
| Instructions: 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
| a. Indicate if the Fund is any one of the types listed. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or
offers a Class that itself is an Exchange-Traded Fund or
Exchange-Traded Managed Fund
☒ i. Exchange-Traded Fund ☐ ii. Exchange-Traded Managed Fund ☒ b. Index Fund ☐ c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark ☐ d. Interval Fund ☐ e. Fund of Funds ☐ f. Master-Feeder Fund ☐ g. Money Market Fund ☐ h. Target Date Fund ☐ i. Underlying fund to a variable annuity or variable life insurance contract ☐ N/A |
| i. Is the index whose performance the Fund tracks, constructed: | |
| 1. By an affiliated person of the fund? | ☒ Yes ☐ No |
| 2. Exclusively for the fund? | ☐ Yes ☒ No |
| ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return): | |
| 1. Before Fund fees and expenses: | 0.05100000 |
| 2. After Fund fees and expenses (i.e., net asset value): | -0.09600000 |
| iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period: | |
| 1. Before Fund fees and expenses: | 0.21000000 |
| 2. After Fund fees and expenses (i.e., net asset value): | 0.21000000 |
| a. Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ☒ Yes ☐ No |
| Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
| a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ☐ Yes ☒ No |
| Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
| a. Is the Fund authorized to engage in securities lending transactions? | ☒ Yes ☐ No |
| b. Did the Fund lend any of its securities during the reporting period? | ☒ Yes ☐ No |
| i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
| 1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ☐ Yes ☒ No |
| 2. The Fund was otherwise adversely impacted? | ☐ Yes ☒ No |
| c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
| Securities Lending Record | Full name of securities lending agent | Identifying number(s) | Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? |
|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | No | Yes |
| If the entity providing the indemnification is not the securities lending agent, provide the following information: | ||||
| Idemnity Providers Record | Name of person providing indemnification | Identifying number(s) | ||
| #1 | N/A | LEI: N/A | ||
| Did the Fund exercise its indemnification rights during the reporting period? | ☐ Yes ☒ No | |||
| d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
| Collateral Managers Record | Full name of cash collateral manager | Identifying number(s) | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | — | — | — | — | — |
|---|
| e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ☒
i. Revenue sharing split
☐ ii. Non-revenue sharing split (other than administrative fee) ☐ iii. Administrative fee ☐ iv. Cash collateral reinvestment fee ☐ v. Indemnification fee ☐ vi. Other ☐ N/A |
| f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 15,505,954.47000000 |
| g. Provide the net income from securities lending activities | 69,398.00000000 |
| a. Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) | ☐
a. Rule 10f-3 (17 CFR 270.10f-3)
☐ b. Rule 12d1-1 (17 CFR 270.12d1-1) ☐ c. Rule 15a-4 (17 CFR 270.15a-4) ☐ d. Rule 17a-6 (17 CFR 270.17a-6) ☐ e. Rule 17a-7 (17 CFR 270.17a-7) ☐ f. Rule 17a-8 (17 CFR 270.17a-8) ☐ g. Rule 17e-1 (17 CFR 270.17e-1) ☐ h. Rule 22d-1 (17 CFR 270.22d-1) ☐ i. Rule 23c-1 (17 CFR 270.23c-1) ☒ j. Rule 32a-4 (17 CFR 270.32a-4) ☒ k. Rule 6c-11 (17 CFR 270.6c-11) ☒ l. Rule 12d1-4 (17 CFR 270.12d1-4) ☐ m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) ☐ n. Rule 18f-4 (17 CFR 270.18f-4) ☐
i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4)
program requirement and limit on fund leverage risk under
rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))?
☐
N/A
☐ ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? ☐ iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? ☐ iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? ☐ v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? ☐ vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? |
| Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
| a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ☐ Yes ☒ No |
| b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ☐ Yes ☒ No |
| c. Are the fees waived subject to recoupment? | ☐ Yes ☒ No |
| d. Were any expenses previously waived recouped during the period? | ☐ Yes ☒ No |
| a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
| Investment Advisers Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Was the investment adviser hired during the reporting period? |
|---|---|---|---|---|---|---|---|
| #1 | Van Eck Associates Corporation | 801-21340 | 000105080 | LEI: 549300R5E0DJJN8D4E32 | NEW YORK | UNITED STATES OF AMERICA | No |
| b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
| Investment Advisers Terminated Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — | — |
|---|
| c. For each sub-adviser to the Fund, provide the information requested: |
| Sub-Advisors Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | Was the sub-adviser hired during the reporting period? | — | — | — | — | — | — | — | — | — |
|---|
| d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
| Sub-Advisors Terminated Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — | — |
|---|
| a. Provide the following information about each person providing transfer agency services to the Fund: |
| Transfer Agents Record | Full name |
SEC file number ( e.g., 801- ) | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | Is the transfer agent a sub-transfer agent? |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | 85-05003 | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a transfer agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
| Pricing Services Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
|---|---|---|---|---|---|
| #1 | S&P Global Inc. | LEI: Y6X4K52KMJMZE7I7MY94 | NEW YORK | UNITED STATES OF AMERICA | No |
| #2 | PricingDirect Inc. | LEI: 549300WIC0TOJ7N7GD54 | NEW YORK | UNITED STATES OF AMERICA | No |
| #3 | ICE Data Services, Inc. | LEI: 13-3668779 | GEORGIA | UNITED STATES OF AMERICA | No |
| #4 | Bloomberg L.P. | LEI: 549300B56MD0ZC402L06 | NEW YORK | UNITED STATES OF AMERICA | No |
| #5 | London Stock Exchange Group PLC | LEI: 213800QAUUUP6I445N30 | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND | No |
| b. Was a pricing service hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
| Custodians Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the custodian an affiliated person of the Fund or its investment adviser(s)? | Is the custodian a sub-custodian? |
Type of custody (describe if "Other") |
|---|---|---|---|---|---|---|---|
| #1 | Euroclear Bank | LEI: 549300OZ46BRLZ8Y6F65 | BELGIUM | No | Yes | Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7) | |
| #2 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No | Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) |
| b. Has a custodian been hired or terminated during the reporting period?* | ☐ Yes ☒ No |
| a. Provide the following information about each shareholder servicing agent of the Fund: |
| Shareholder Servicing Agents Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | Is the shareholder servicing agent a sub-shareholder servicing agent? |
|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each administrator of the Fund: |
| Administrators Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the administrator an affiliated person of the Fund or its investment adviser(s)? | Is the administrator a sub-administrator? |
|---|---|---|---|---|---|---|
| #1 | Van Eck Associates Corporation | LEI: 549300R5E0DJJN8D4E32 | NEW YORK | UNITED STATES OF AMERICA | Yes | No |
| b. Has a third-party administrator been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each affiliated broker-dealer: |
| Broker-Dealers Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Total commissions paid to the affiliated broker-dealer for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | Van Eck Securities Corporation | 8-4618 | 000002269 | LEI: N/A | NEW YORK | UNITED STATES OF AMERICA | 0.00000000 |
| Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
| a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
| Brokers Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Gross commissions paid by the Fund for the reporting period | — | — | — | — | — | — | — | — |
|---|
| b. Aggregate brokerage commissions paid by Fund during the reporting period: | 0.00000000 |
| a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
| Principal Transactions Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Total value of purchases and sales (excluding maturing securities) with Fund |
|---|---|---|---|---|---|---|---|
| #1 | Mizuho Securities USA LLC | 8-37710 | 000019647 | LEI: 7TK5RJIZDFROZCA6XF66 | NEW YORK | UNITED STATES OF AMERICA | 29,169,695.51000000 |
| #2 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | LEI: 9R7GPTSO7KV3UQJZQ078 | NEW YORK | UNITED STATES OF AMERICA | 18,403,506.77000000 |
| #3 | BofA Securities, Inc. | 8-69787 | 000283942 | LEI: 549300HN4UKV1E2R3U73 | NEW YORK | UNITED STATES OF AMERICA | 4,183,410,579.46000000 |
| #4 | BNY Capital Markets, LLC | 8-35255 | 000017454 | LEI: VJW2DOOHGDT6PR0ZRO63 | NEW YORK | UNITED STATES OF AMERICA | 9,765,938.40000000 |
| #5 | RBC Capital Markets, LLC | 8-45411 | 000031194 | LEI: 549300LCO2FLSSVFFR64 | NEW YORK | UNITED STATES OF AMERICA | 11,409,465.38000000 |
| #6 | MarketAxess Corporation | 8-50727 | 000044542 | LEI: GPSMMRI21JE7ZCVYF972 | NEW YORK | UNITED STATES OF AMERICA | 6,666,392.31000000 |
| #7 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | LEI: FOR8UP27PHTHYVLBNG30 | NEW YORK | UNITED STATES OF AMERICA | 124,672,560.69000000 |
| #8 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | NEW YORK | UNITED STATES OF AMERICA | 1,100,280,070.25000000 |
| #9 | Jane Street Capital, LLC | 8-52275 | 000103782 | LEI: 549300ZM16HMPEPNV857 | NEW YORK | UNITED STATES OF AMERICA | 116,047,674.00000000 |
| #10 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | LEI: VYVVCKR63DVZZN70PB21 | NORTH CAROLINA | UNITED STATES OF AMERICA | 3,135,998.49000000 |
| b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 5,614,996,428.66000000 |
| a. During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ☐ Yes ☒ No |
| a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 1,867,176,699.40000000 |
| b. Provide the money market fund's daily average net assets during the reporting period |
| For open-end management investment companies, respond to the following: |
| a. Does the Fund have available a line of credit? | ☒ Yes ☐ No |
| i. If yes, for each line of credit, provide the information requested below: |
| Line of Credit Details Record: 1 |
| i. Is the line of credit a committed or uncommitted line of credit? | ☒ Committed ☐ Uncommitted |
| ii. What size is the line of credit? | 200,000,000.00000000 |
| iii. With which institution(s) is the line of credit? |
|
| iv. Is the line of credit just for the Fund, or is it shared among multiple funds? | ☐ Sole ☒ Shared |
| 1. If shared, list the names of other funds that may use the line of credit. |
| Shared Credit Users Record | Name of fund | SEC File number(e.g., 811-) |
|---|---|---|
| #1 | VanEck Fallen Angel High Yield Bond ETF | 811-10325 |
| #2 | VanEck Steel ETF | 811-10325 |
| #3 | VanEck Emerging Markets High Yield Bond ETF | 811-10325 |
| #4 | VanEck Morningstar Wide Moat ETF | 811-10325 |
| #5 | VanEck ChiNext ETF | 811-10325 |
| #6 | VanEck Agribusiness ETF | 811-10325 |
| #7 | VanEck Retail ETF | 811-10325 |
| #8 | VanEck Oil Services ETF | 811-10325 |
| #9 | VanEck Preferred Securities ex Financials ETF | 811-10325 |
| #10 | VanEck Moody's Analytics BBB Corporate Bond ETF | 811-10325 |
| #11 | VanEck CLO ETF | 811-10325 |
| #12 | VanEck Short High Yield Muni ETF | 811-10325 |
| #13 | VanEck Brazil Small-Cap ETF | 811-10325 |
| #14 | VanEck Green Metals ETF | 811-10325 |
| #15 | VanEck J.P. Morgan EM Local Currency Bond ETF | 811-10325 |
| #16 | VanEck Africa Index ETF | 811-10325 |
| #17 | VanEck Junior Gold Miners ETF | 811-10325 |
| #18 | VanEck Video Gaming and eSports ETF | 811-10325 |
| #19 | VanEck China Bond ETF | 811-10325 |
| #20 | VanEck Vietnam ETF | 811-10325 |
| #21 | VanEck Pharmaceutical ETF | 811-10325 |
| #22 | VanEck CEF Muni Income ETF | 811-10325 |
| #23 | VanEck Israel ETF | 811-10325 |
| #24 | VanEck Morningstar Wide Moat Growth ETF | 811-10325 |
| #25 | VanEck AA-BB CLO ETF | 811-10325 |
| #26 | VanEck Digital India ETF | 811-10325 |
| #27 | VanEck Durable High Dividend ETF | 811-10325 |
| #28 | VanEck Intermediate Muni ETF | 811-10325 |
| #29 | VanEck CMCI Commodity Strategy ETF | 811-10325 |
| #30 | VanEck International High Yield Bond ETF | 811-10325 |
| #31 | VanEck Oil Refiners ETF | 811-10325 |
| #32 | VanEck Robotics ETF | 811-10325 |
| #33 | VanEck Morningstar Global Wide Moat ETF | 811-10325 |
| #34 | VanEck Morningstar SMID Moat ETF | 811-10325 |
| #35 | VanEck Mortgage REIT Income ETF | 811-10325 |
| #36 | VanEck Long/Flat Trend ETF | 811-10325 |
| #37 | VanEck Natural Resources ETF | 811-10325 |
| #38 | VanEck Fabless Semiconductor ETF | 811-10325 |
| #39 | VanEck Energy Income ETF | 811-10325 |
| #40 | VanEck Biotech ETF | 811-10325 |
| #41 | VanEck Morningstar Wide Moat Value ETF | 811-10325 |
| #42 | VanEck Rare Earth and Strategic Metals ETF | 811-10325 |
| #43 | VanEck Indonesia Index ETF | 811-10325 |
| #44 | VanEck Uranium and Nuclear ETF | 811-10325 |
| #45 | VanEck Green Bond ETF | 811-10325 |
| #46 | VanEck Low Carbon Energy ETF | 811-10325 |
| #47 | VanEck Long Muni ETF | 811-10325 |
| #48 | VanEck Moody's Analytics IG Corporate Bond ETF | 811-10325 |
| #49 | VanEck Environmental Services ETF | 811-10325 |
| #50 | VanEck Semiconductor ETF | 811-10325 |
| #51 | VanEck HIP Sustainable Muni ETF | 811-10325 |
| #52 | VanEck Morningstar International Moat ETF | 811-10325 |
| #53 | VanEck Social Sentiment ETF | 811-10325 |
| #54 | VanEck Green Infrastructure ETF | 811-10325 |
| #55 | VanEck Commodity Strategy ETF | 811-10325 |
| #56 | VanEck BDC Income ETF | 811-10325 |
| #57 | VanEck Office and Commercial REIT ETF | 811-10325 |
| #58 | VanEck Short Muni ETF | 811-10325 |
| #59 | VanEck High Yield Muni ETF | 811-10325 |
| #60 | VanEck Real Assets ETF | 811-10325 |
| #61 | VanEck Digital Transformation ETF | 811-10325 |
| #62 | VanEck India Growth Leaders ETF | 811-10325 |
| #63 | VanEck Gaming ETF | 811-10325 |
| #64 | VanEck Morningstar ESG Moat ETF | 811-10325 |
| #65 | VanEck Gold Miners ETF | 811-10325 |
| v. Did the Fund draw on the line of credit this period? | ☒ Yes ☐ No |
| vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use? | 531,512.00000000 |
| vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use? | 4 |
| b. Did the Fund engage in interfund lending? | ☐ Yes ☒ No |
| c. Did the Fund engage in interfund borrowing? | ☐ Yes ☒ No |
| For open-end management investment companies, respond to the following: |
| a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ☐ Yes ☐ No |
| For open-end management investment companies subject to rule 22e-4 (17 CFR 270.22e-4), respond to the following: |
| a. Provide the following information about each person that provided liquidity classification services to the Fund during the reporting period: |
| Liquidity Classification Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the liquidity classification service an affiliated person of the Fund or its investment adviser(s)? | Asset class(es) for which liquidity classification services were provided to the Fund | — | — | — | — | — | — | — |
|---|
| b. Was a liquidity classification service hired or terminated during the reporting period? | ☐ Yes ☐ No |
| Management Investment Record: 11 |
| a. Full Name of the Fund | VanEck Green Bond ETF |
| b. Series identication number, if any | S000056168 |
| c. LEI | 549300P1LT1BDK387R52 |
| d. Is this the first filing on this form by the Fund? | ☐ Yes ☒ No |
| a. How many Classes of shares of the Fund (if any) are authorized? | 0 |
| b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
| c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
| d. For each Class with shares outstanding, provide the information requested below: |
| Shares Outstanding Record | Full name of Class | Class identification number, if any | Ticker symbol, if any |
|---|---|---|---|
| #1 | VanEck Green Bond ETF | C000176891 | GRNB |
| Instructions: 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
| a. Indicate if the Fund is any one of the types listed. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or
offers a Class that itself is an Exchange-Traded Fund or
Exchange-Traded Managed Fund
☒ i. Exchange-Traded Fund ☐ ii. Exchange-Traded Managed Fund ☒ b. Index Fund ☐ c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark ☐ d. Interval Fund ☐ e. Fund of Funds ☐ f. Master-Feeder Fund ☐ g. Money Market Fund ☐ h. Target Date Fund ☐ i. Underlying fund to a variable annuity or variable life insurance contract ☐ N/A |
| i. Is the index whose performance the Fund tracks, constructed: | |
| 1. By an affiliated person of the fund? | ☐ Yes ☒ No |
| 2. Exclusively for the fund? | ☐ Yes ☒ No |
| ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return): | |
| 1. Before Fund fees and expenses: | -0.09400000 |
| 2. After Fund fees and expenses (i.e., net asset value): | -0.30800000 |
| iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period: | |
| 1. Before Fund fees and expenses: | 0.15400000 |
| 2. After Fund fees and expenses (i.e., net asset value): | 0.15400000 |
| a. Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ☐ Yes ☒ No |
| Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
| a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ☐ Yes ☒ No |
| Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
| a. Is the Fund authorized to engage in securities lending transactions? | ☒ Yes ☐ No |
| b. Did the Fund lend any of its securities during the reporting period? | ☒ Yes ☐ No |
| i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
| 1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ☐ Yes ☒ No |
| 2. The Fund was otherwise adversely impacted? | ☐ Yes ☒ No |
| c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
| Securities Lending Record | Full name of securities lending agent | Identifying number(s) | Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? |
|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | No | Yes |
| If the entity providing the indemnification is not the securities lending agent, provide the following information: | ||||
| Idemnity Providers Record | Name of person providing indemnification | Identifying number(s) | ||
| #1 | N/A | LEI: N/A | ||
| Did the Fund exercise its indemnification rights during the reporting period? | ☐ Yes ☒ No | |||
| d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
| Collateral Managers Record | Full name of cash collateral manager | Identifying number(s) | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | — | — | — | — | — |
|---|
| e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ☒
i. Revenue sharing split
☐ ii. Non-revenue sharing split (other than administrative fee) ☐ iii. Administrative fee ☐ iv. Cash collateral reinvestment fee ☐ v. Indemnification fee ☐ vi. Other ☐ N/A |
| f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 7,718,944.02000000 |
| g. Provide the net income from securities lending activities | 22,642.00000000 |
| a. Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) | ☐
a. Rule 10f-3 (17 CFR 270.10f-3)
☐ b. Rule 12d1-1 (17 CFR 270.12d1-1) ☐ c. Rule 15a-4 (17 CFR 270.15a-4) ☐ d. Rule 17a-6 (17 CFR 270.17a-6) ☐ e. Rule 17a-7 (17 CFR 270.17a-7) ☐ f. Rule 17a-8 (17 CFR 270.17a-8) ☐ g. Rule 17e-1 (17 CFR 270.17e-1) ☐ h. Rule 22d-1 (17 CFR 270.22d-1) ☐ i. Rule 23c-1 (17 CFR 270.23c-1) ☒ j. Rule 32a-4 (17 CFR 270.32a-4) ☒ k. Rule 6c-11 (17 CFR 270.6c-11) ☒ l. Rule 12d1-4 (17 CFR 270.12d1-4) ☐ m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) ☐ n. Rule 18f-4 (17 CFR 270.18f-4) ☐
i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4)
program requirement and limit on fund leverage risk under
rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))?
☐
N/A
☐ ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? ☐ iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? ☐ iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? ☐ v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? ☐ vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? |
| Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
| a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ☐ Yes ☒ No |
| b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ☐ Yes ☒ No |
| c. Are the fees waived subject to recoupment? | ☐ Yes ☒ No |
| d. Were any expenses previously waived recouped during the period? | ☐ Yes ☒ No |
| a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
| Investment Advisers Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Was the investment adviser hired during the reporting period? |
|---|---|---|---|---|---|---|---|
| #1 | Van Eck Associates Corporation | 801-21340 | 000105080 | LEI: 549300R5E0DJJN8D4E32 | NEW YORK | UNITED STATES OF AMERICA | No |
| b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
| Investment Advisers Terminated Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — | — |
|---|
| c. For each sub-adviser to the Fund, provide the information requested: |
| Sub-Advisors Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | Was the sub-adviser hired during the reporting period? | — | — | — | — | — | — | — | — | — |
|---|
| d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
| Sub-Advisors Terminated Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — | — |
|---|
| a. Provide the following information about each person providing transfer agency services to the Fund: |
| Transfer Agents Record | Full name |
SEC file number ( e.g., 801- ) | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | Is the transfer agent a sub-transfer agent? |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | 85-05003 | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a transfer agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
| Pricing Services Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
|---|---|---|---|---|---|
| #1 | ICE Data Services, Inc. | LEI: 13-3668779 | GEORGIA | UNITED STATES OF AMERICA | No |
| #2 | S&P Global Inc. | LEI: Y6X4K52KMJMZE7I7MY94 | NEW YORK | UNITED STATES OF AMERICA | No |
| #3 | Bloomberg L.P. | LEI: 549300B56MD0ZC402L06 | NEW YORK | UNITED STATES OF AMERICA | No |
| #4 | London Stock Exchange Group PLC | LEI: 213800QAUUUP6I445N30 | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND | No | |
| #5 | PricingDirect Inc. | LEI: 549300WIC0TOJ7N7GD54 | NEW YORK | UNITED STATES OF AMERICA | No |
| b. Was a pricing service hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
| Custodians Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the custodian an affiliated person of the Fund or its investment adviser(s)? | Is the custodian a sub-custodian? |
Type of custody (describe if "Other") |
|---|---|---|---|---|---|---|---|
| #1 | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) | LEI: F3JS33DEI6XQ4ZBPTN86 | NORWAY | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #2 | State Street Trust Company Canada | LEI: 549300L71XG2CTQ2V827 | CANADA (FEDERAL LEVEL) | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #3 | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) | LEI: 2HI3YI5320L3RW6NJ957 | AUSTRALIA | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #4 | Citibank, Anonim Sirketi | LEI: CWZ8NZDH5SKY12Q4US31 | TURKEY | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #5 | Royal Bank of Canada | LEI: ES7IP3U3RHIGC71XBU11 | CANADA (FEDERAL LEVEL) | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #6 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No | Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) |
| #7 | Citibank, National Association (Singapore, SG, Branch) | LEI: E57ODZWZ7FF32TWEFA76 | SINGAPORE | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #8 | Euroclear Bank | LEI: 549300OZ46BRLZ8Y6F65 | BELGIUM | No | Yes | Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7) | |
| #9 | Skandinaviska Enskilda Banken AB | LEI: F3JS33DEI6XQ4ZBPTN86 | SWEDEN | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) |
| b. Has a custodian been hired or terminated during the reporting period?* | ☐ Yes ☒ No |
| a. Provide the following information about each shareholder servicing agent of the Fund: |
| Shareholder Servicing Agents Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | Is the shareholder servicing agent a sub-shareholder servicing agent? |
|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each administrator of the Fund: |
| Administrators Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the administrator an affiliated person of the Fund or its investment adviser(s)? | Is the administrator a sub-administrator? |
|---|---|---|---|---|---|---|
| #1 | Van Eck Associates Corporation | LEI: 549300R5E0DJJN8D4E32 | NEW YORK | UNITED STATES OF AMERICA | Yes | No |
| b. Has a third-party administrator been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each affiliated broker-dealer: |
| Broker-Dealers Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Total commissions paid to the affiliated broker-dealer for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | Van Eck Securities Corporation | 8-4618 | 000002269 | LEI: N/A | NEW YORK | UNITED STATES OF AMERICA | 0.00000000 |
| Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
| a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
| Brokers Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Gross commissions paid by the Fund for the reporting period | — | — | — | — | — | — | — | — |
|---|
| b. Aggregate brokerage commissions paid by Fund during the reporting period: | 0.00000000 |
| a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
| Principal Transactions Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Total value of purchases and sales (excluding maturing securities) with Fund |
|---|---|---|---|---|---|---|---|
| #1 | BNP Paribas Securities Corp. | 8-32682 | 000015794 | LEI: RCNB6OTYUAMMP879YW96 | NEW YORK | UNITED STATES OF AMERICA | 2,908,062.98000000 |
| #2 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | NEW YORK | UNITED STATES OF AMERICA | 4,734,993.50000000 |
| #3 | MarketAxess Corporation | 8-50727 | 000044542 | LEI: GPSMMRI21JE7ZCVYF972 | NEW YORK | UNITED STATES OF AMERICA | 3,944,628.04000000 |
| #4 | BNY Capital Markets, LLC | 8-35255 | 000017454 | LEI: VJW2DOOHGDT6PR0ZRO63 | NEW YORK | UNITED STATES OF AMERICA | 5,556,110.39000000 |
| #5 | BofA Securities, Inc. | 8-69787 | 000283942 | LEI: 549300HN4UKV1E2R3U73 | NEW YORK | UNITED STATES OF AMERICA | 5,939,611.23000000 |
| #6 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | LEI: 9R7GPTSO7KV3UQJZQ078 | NEW YORK | UNITED STATES OF AMERICA | 1,327,343.08000000 |
| #7 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | LEI: MBNUM2BPBDO7JBLYG310 | NEW YORK | UNITED STATES OF AMERICA | 1,236,370.31000000 |
| #8 | UBS Securities LLC | 8-22651 | 000007654 | LEI: T6FIZBDPKLYJKFCRVK44 | NEW YORK | UNITED STATES OF AMERICA | 1,307,921.50000000 |
| #9 | Jane Street Capital, LLC | 8-52275 | 000103782 | LEI: 549300ZM16HMPEPNV857 | NEW YORK | UNITED STATES OF AMERICA | 27,165,792.26000000 |
| #10 | HSBC Securities (USA) Inc. | 8-41562 | 000019585 | LEI: CYYGQCGNHMHPSMRL3R97 | NEW YORK | UNITED STATES OF AMERICA | 1,822,524.30000000 |
| b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 61,737,432.59000000 |
| a. During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ☐ Yes ☒ No |
| a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 108,549,423.94923076 |
| b. Provide the money market fund's daily average net assets during the reporting period |
| For open-end management investment companies, respond to the following: |
| a. Does the Fund have available a line of credit? | ☒ Yes ☐ No |
| i. If yes, for each line of credit, provide the information requested below: |
| Line of Credit Details Record: 1 |
| i. Is the line of credit a committed or uncommitted line of credit? | ☒ Committed ☐ Uncommitted |
| ii. What size is the line of credit? | 200,000,000.00000000 |
| iii. With which institution(s) is the line of credit? |
|
| iv. Is the line of credit just for the Fund, or is it shared among multiple funds? | ☐ Sole ☒ Shared |
| 1. If shared, list the names of other funds that may use the line of credit. |
| Shared Credit Users Record | Name of fund | SEC File number(e.g., 811-) |
|---|---|---|
| #1 | VanEck Short Muni ETF | 811-10325 |
| #2 | VanEck Moody's Analytics IG Corporate Bond ETF | 811-10325 |
| #3 | VanEck India Growth Leaders ETF | 811-10325 |
| #4 | VanEck Morningstar SMID Moat ETF | 811-10325 |
| #5 | VanEck High Yield Muni ETF | 811-10325 |
| #6 | VanEck Digital Transformation ETF | 811-10325 |
| #7 | VanEck Environmental Services ETF | 811-10325 |
| #8 | VanEck Oil Refiners ETF | 811-10325 |
| #9 | VanEck Energy Income ETF | 811-10325 |
| #10 | VanEck Natural Resources ETF | 811-10325 |
| #11 | VanEck Gaming ETF | 811-10325 |
| #12 | VanEck International High Yield Bond ETF | 811-10325 |
| #13 | VanEck Rare Earth and Strategic Metals ETF | 811-10325 |
| #14 | VanEck Agribusiness ETF | 811-10325 |
| #15 | VanEck CEF Muni Income ETF | 811-10325 |
| #16 | VanEck China Bond ETF | 811-10325 |
| #17 | VanEck CLO ETF | 811-10325 |
| #18 | VanEck Steel ETF | 811-10325 |
| #19 | VanEck Commodity Strategy ETF | 811-10325 |
| #20 | VanEck AA-BB CLO ETF | 811-10325 |
| #21 | VanEck BDC Income ETF | 811-10325 |
| #22 | VanEck Morningstar Wide Moat Value ETF | 811-10325 |
| #23 | VanEck Oil Services ETF | 811-10325 |
| #24 | VanEck Low Carbon Energy ETF | 811-10325 |
| #25 | VanEck Morningstar ESG Moat ETF | 811-10325 |
| #26 | VanEck Africa Index ETF | 811-10325 |
| #27 | VanEck CMCI Commodity Strategy ETF | 811-10325 |
| #28 | VanEck Mortgage REIT Income ETF | 811-10325 |
| #29 | VanEck Vietnam ETF | 811-10325 |
| #30 | VanEck Brazil Small-Cap ETF | 811-10325 |
| #31 | VanEck Intermediate Muni ETF | 811-10325 |
| #32 | VanEck Long Muni ETF | 811-10325 |
| #33 | VanEck Green Infrastructure ETF | 811-10325 |
| #34 | VanEck Preferred Securities ex Financials ETF | 811-10325 |
| #35 | VanEck Video Gaming and eSports ETF | 811-10325 |
| #36 | VanEck Green Metals ETF | 811-10325 |
| #37 | VanEck Semiconductor ETF | 811-10325 |
| #38 | VanEck Durable High Dividend ETF | 811-10325 |
| #39 | VanEck Indonesia Index ETF | 811-10325 |
| #40 | VanEck Long/Flat Trend ETF | 811-10325 |
| #41 | VanEck Pharmaceutical ETF | 811-10325 |
| #42 | VanEck IG Floating Rate ETF | 811-10325 |
| #43 | VanEck Junior Gold Miners ETF | 811-10325 |
| #44 | VanEck ChiNext ETF | 811-10325 |
| #45 | VanEck J.P. Morgan EM Local Currency Bond ETF | 811-10325 |
| #46 | VanEck Biotech ETF | 811-10325 |
| #47 | VanEck Uranium and Nuclear ETF | 811-10325 |
| #48 | VanEck Digital India ETF | 811-10325 |
| #49 | VanEck Morningstar Wide Moat Growth ETF | 811-10325 |
| #50 | VanEck Emerging Markets High Yield Bond ETF | 811-10325 |
| #51 | VanEck Israel ETF | 811-10325 |
| #52 | VanEck Robotics ETF | 811-10325 |
| #53 | VanEck Fabless Semiconductor ETF | 811-10325 |
| #54 | VanEck Morningstar Global Wide Moat ETF | 811-10325 |
| #55 | VanEck Social Sentiment ETF | 811-10325 |
| #56 | VanEck Retail ETF | 811-10325 |
| #57 | VanEck Morningstar Wide Moat ETF | 811-10325 |
| #58 | VanEck Real Assets ETF | 811-10325 |
| #59 | VanEck Fallen Angel High Yield Bond ETF | 811-10325 |
| #60 | VanEck Morningstar International Moat ETF | 811-10325 |
| #61 | VanEck Gold Miners ETF | 811-10325 |
| #62 | VanEck HIP Sustainable Muni ETF | 811-10325 |
| #63 | VanEck Short High Yield Muni ETF | 811-10325 |
| #64 | VanEck Office and Commercial REIT ETF | 811-10325 |
| #65 | VanEck Moody's Analytics BBB Corporate Bond ETF | 811-10325 |
| v. Did the Fund draw on the line of credit this period? | ☒ Yes ☐ No |
| vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use? | 405,400.00000000 |
| vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use? | 1 |
| b. Did the Fund engage in interfund lending? | ☐ Yes ☒ No |
| c. Did the Fund engage in interfund borrowing? | ☐ Yes ☒ No |
| For open-end management investment companies, respond to the following: |
| a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ☐ Yes ☐ No |
| For open-end management investment companies subject to rule 22e-4 (17 CFR 270.22e-4), respond to the following: |
| a. Provide the following information about each person that provided liquidity classification services to the Fund during the reporting period: |
| Liquidity Classification Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the liquidity classification service an affiliated person of the Fund or its investment adviser(s)? | Asset class(es) for which liquidity classification services were provided to the Fund | — | — | — | — | — | — | — |
|---|
| b. Was a liquidity classification service hired or terminated during the reporting period? | ☐ Yes ☐ No |
| Management Investment Record: 12 |
| a. Full Name of the Fund | VanEck Short High Yield Muni ETF |
| b. Series identication number, if any | S000038973 |
| c. LEI | 549300B6J4UH4T4ALL26 |
| d. Is this the first filing on this form by the Fund? | ☐ Yes ☒ No |
| a. How many Classes of shares of the Fund (if any) are authorized? | 0 |
| b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
| c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
| d. For each Class with shares outstanding, provide the information requested below: |
| Shares Outstanding Record | Full name of Class | Class identification number, if any | Ticker symbol, if any |
|---|---|---|---|
| #1 | VanEck Short High Yield Muni ETF | C000119796 | SHYD |
| Instructions: 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
| a. Indicate if the Fund is any one of the types listed. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or
offers a Class that itself is an Exchange-Traded Fund or
Exchange-Traded Managed Fund
☒ i. Exchange-Traded Fund ☐ ii. Exchange-Traded Managed Fund ☒ b. Index Fund ☐ c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark ☐ d. Interval Fund ☐ e. Fund of Funds ☐ f. Master-Feeder Fund ☐ g. Money Market Fund ☐ h. Target Date Fund ☐ i. Underlying fund to a variable annuity or variable life insurance contract ☐ N/A |
| i. Is the index whose performance the Fund tracks, constructed: | |
| 1. By an affiliated person of the fund? | ☐ Yes ☒ No |
| 2. Exclusively for the fund? | ☐ Yes ☒ No |
| ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return): | |
| 1. Before Fund fees and expenses: | -0.11700000 |
| 2. After Fund fees and expenses (i.e., net asset value): | -0.47900000 |
| iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period: | |
| 1. Before Fund fees and expenses: | 0.12500000 |
| 2. After Fund fees and expenses (i.e., net asset value): | 0.12500000 |
| a. Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ☐ Yes ☒ No |
| Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
| a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ☐ Yes ☒ No |
| Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
| a. Is the Fund authorized to engage in securities lending transactions? | ☐ Yes ☒ No |
| b. Did the Fund lend any of its securities during the reporting period? | ☐ Yes ☒ No |
| c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
| Securities Lending Record | Full name of securities lending agent | Identifying number(s) | Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | — | — | — | — | — |
|---|
| d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
| Collateral Managers Record | Full name of cash collateral manager | Identifying number(s) | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | — | — | — | — | — |
|---|
| e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ☐
i. Revenue sharing split
☐ ii. Non-revenue sharing split (other than administrative fee) ☐ iii. Administrative fee ☐ iv. Cash collateral reinvestment fee ☐ v. Indemnification fee ☐ vi. Other ☒ N/A |
| f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | N/A |
| g. Provide the net income from securities lending activities | N/A |
| a. Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) | ☐
a. Rule 10f-3 (17 CFR 270.10f-3)
☐ b. Rule 12d1-1 (17 CFR 270.12d1-1) ☐ c. Rule 15a-4 (17 CFR 270.15a-4) ☐ d. Rule 17a-6 (17 CFR 270.17a-6) ☒ e. Rule 17a-7 (17 CFR 270.17a-7) ☐ f. Rule 17a-8 (17 CFR 270.17a-8) ☐ g. Rule 17e-1 (17 CFR 270.17e-1) ☐ h. Rule 22d-1 (17 CFR 270.22d-1) ☐ i. Rule 23c-1 (17 CFR 270.23c-1) ☒ j. Rule 32a-4 (17 CFR 270.32a-4) ☒ k. Rule 6c-11 (17 CFR 270.6c-11) ☒ l. Rule 12d1-4 (17 CFR 270.12d1-4) ☐ m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) ☐ n. Rule 18f-4 (17 CFR 270.18f-4) ☐
i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4)
program requirement and limit on fund leverage risk under
rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))?
☐
N/A
☐ ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? ☐ iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? ☐ iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? ☐ v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? ☐ vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? |
| Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
| a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ☐ Yes ☒ No |
| b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ☐ Yes ☒ No |
| c. Are the fees waived subject to recoupment? | ☐ Yes ☒ No |
| d. Were any expenses previously waived recouped during the period? | ☐ Yes ☒ No |
| a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
| Investment Advisers Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Was the investment adviser hired during the reporting period? |
|---|---|---|---|---|---|---|---|
| #1 | Van Eck Associates Corporation | 801-21340 | 000105080 | LEI: 549300R5E0DJJN8D4E32 | NEW YORK | UNITED STATES OF AMERICA | No |
| b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
| Investment Advisers Terminated Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — | — |
|---|
| c. For each sub-adviser to the Fund, provide the information requested: |
| Sub-Advisors Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | Was the sub-adviser hired during the reporting period? | — | — | — | — | — | — | — | — | — |
|---|
| d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
| Sub-Advisors Terminated Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — | — |
|---|
| a. Provide the following information about each person providing transfer agency services to the Fund: |
| Transfer Agents Record | Full name |
SEC file number ( e.g., 801- ) | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | Is the transfer agent a sub-transfer agent? |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | 85-05003 | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a transfer agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
| Pricing Services Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
|---|---|---|---|---|---|
| #1 | PricingDirect Inc. | LEI: 549300WIC0TOJ7N7GD54 | NEW YORK | UNITED STATES OF AMERICA | No |
| #2 | S&P Global Inc. | LEI: Y6X4K52KMJMZE7I7MY94 | NEW YORK | UNITED STATES OF AMERICA | No |
| #3 | ICE Data Services, Inc. | LEI: 13-3668779 | GEORGIA | UNITED STATES OF AMERICA | No |
| #4 | Bloomberg L.P. | LEI: 549300B56MD0ZC402L06 | NEW YORK | UNITED STATES OF AMERICA | No |
| #5 | London Stock Exchange Group PLC | LEI: 213800QAUUUP6I445N30 | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND | No |
| b. Was a pricing service hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
| Custodians Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the custodian an affiliated person of the Fund or its investment adviser(s)? | Is the custodian a sub-custodian? |
Type of custody (describe if "Other") |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No | Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) |
| b. Has a custodian been hired or terminated during the reporting period?* | ☐ Yes ☒ No |
| a. Provide the following information about each shareholder servicing agent of the Fund: |
| Shareholder Servicing Agents Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | Is the shareholder servicing agent a sub-shareholder servicing agent? |
|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each administrator of the Fund: |
| Administrators Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the administrator an affiliated person of the Fund or its investment adviser(s)? | Is the administrator a sub-administrator? |
|---|---|---|---|---|---|---|
| #1 | Van Eck Associates Corporation | LEI: 549300R5E0DJJN8D4E32 | NEW YORK | UNITED STATES OF AMERICA | Yes | No |
| b. Has a third-party administrator been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each affiliated broker-dealer: |
| Broker-Dealers Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Total commissions paid to the affiliated broker-dealer for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | Van Eck Securities Corporation | 8-4618 | 000002269 | LEI: N/A | NEW YORK | UNITED STATES OF AMERICA | 0.00000000 |
| Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
| a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
| Brokers Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Gross commissions paid by the Fund for the reporting period | — | — | — | — | — | — | — | — |
|---|
| b. Aggregate brokerage commissions paid by Fund during the reporting period: | 0.00000000 |
| a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
| Principal Transactions Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Total value of purchases and sales (excluding maturing securities) with Fund |
|---|---|---|---|---|---|---|---|
| #1 | Barclays Capital Inc. | 8-41342 | 000019714 | LEI: AC28XWWI3WIBK2824319 | NEW YORK | UNITED STATES OF AMERICA | 5,229,805.00000000 |
| #2 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | LEI: FOR8UP27PHTHYVLBNG30 | NEW YORK | UNITED STATES OF AMERICA | 15,933,653.62000000 |
| #3 | BNY Capital Markets, LLC | 8-35255 | 000017454 | LEI: VJW2DOOHGDT6PR0ZRO63 | NEW YORK | UNITED STATES OF AMERICA | 25,181,828.65000000 |
| #4 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | LEI: 9R7GPTSO7KV3UQJZQ078 | NEW YORK | UNITED STATES OF AMERICA | 23,607,415.45000000 |
| #5 | BofA Securities, Inc. | 8-69787 | 000283942 | LEI: 549300HN4UKV1E2R3U73 | NEW YORK | UNITED STATES OF AMERICA | 10,560,041.82000000 |
| #6 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | LEI: VYVVCKR63DVZZN70PB21 | NORTH CAROLINA | UNITED STATES OF AMERICA | 7,356,936.55000000 |
| #7 | RBC Capital Markets, LLC | 8-45411 | 000031194 | LEI: 549300LCO2FLSSVFFR64 | NEW YORK | UNITED STATES OF AMERICA | 13,110,378.40000000 |
| #8 | Stifel, Nicolaus & Company, Incorporated | 8-1447 | 000000793 | LEI: 5WUVMA08EYG4KEUPW589 | MISSOURI | UNITED STATES OF AMERICA | 5,177,355.00000000 |
| #9 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | NEW YORK | UNITED STATES OF AMERICA | 12,046,479.60000000 |
| #10 | Truist Securities, Inc. | 8-17212 | 000006271 | LEI: CSVTK36R0PNGXEM7NS14 | GEORGIA | UNITED STATES OF AMERICA | 7,318,473.65000000 |
| b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 143,809,611.20000000 |
| a. During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ☐ Yes ☒ No |
| a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 317,462,535.15384615 |
| b. Provide the money market fund's daily average net assets during the reporting period |
| For open-end management investment companies, respond to the following: |
| a. Does the Fund have available a line of credit? | ☒ Yes ☐ No |
| i. If yes, for each line of credit, provide the information requested below: |
| Line of Credit Details Record: 1 |
| i. Is the line of credit a committed or uncommitted line of credit? | ☒ Committed ☐ Uncommitted |
| ii. What size is the line of credit? | 200,000,000.00000000 |
| iii. With which institution(s) is the line of credit? |
|
| iv. Is the line of credit just for the Fund, or is it shared among multiple funds? | ☐ Sole ☒ Shared |
| 1. If shared, list the names of other funds that may use the line of credit. |
| Shared Credit Users Record | Name of fund | SEC File number(e.g., 811-) |
|---|---|---|
| #1 | VanEck HIP Sustainable Muni ETF | 811-10325 |
| #2 | VanEck BDC Income ETF | 811-10325 |
| #3 | VanEck Morningstar Global Wide Moat ETF | 811-10325 |
| #4 | VanEck Environmental Services ETF | 811-10325 |
| #5 | VanEck Uranium and Nuclear ETF | 811-10325 |
| #6 | VanEck Oil Services ETF | 811-10325 |
| #7 | VanEck Green Bond ETF | 811-10325 |
| #8 | VanEck Morningstar International Moat ETF | 811-10325 |
| #9 | VanEck Agribusiness ETF | 811-10325 |
| #10 | VanEck Oil Refiners ETF | 811-10325 |
| #11 | VanEck Brazil Small-Cap ETF | 811-10325 |
| #12 | VanEck CLO ETF | 811-10325 |
| #13 | VanEck Morningstar Wide Moat ETF | 811-10325 |
| #14 | VanEck Digital India ETF | 811-10325 |
| #15 | VanEck Israel ETF | 811-10325 |
| #16 | VanEck Digital Transformation ETF | 811-10325 |
| #17 | VanEck Natural Resources ETF | 811-10325 |
| #18 | VanEck Africa Index ETF | 811-10325 |
| #19 | VanEck ChiNext ETF | 811-10325 |
| #20 | VanEck Fabless Semiconductor ETF | 811-10325 |
| #21 | VanEck International High Yield Bond ETF | 811-10325 |
| #22 | VanEck Emerging Markets High Yield Bond ETF | 811-10325 |
| #23 | VanEck J.P. Morgan EM Local Currency Bond ETF | 811-10325 |
| #24 | VanEck Green Metals ETF | 811-10325 |
| #25 | VanEck India Growth Leaders ETF | 811-10325 |
| #26 | VanEck IG Floating Rate ETF | 811-10325 |
| #27 | VanEck Biotech ETF | 811-10325 |
| #28 | VanEck Rare Earth and Strategic Metals ETF | 811-10325 |
| #29 | VanEck Energy Income ETF | 811-10325 |
| #30 | VanEck Morningstar SMID Moat ETF | 811-10325 |
| #31 | VanEck CMCI Commodity Strategy ETF | 811-10325 |
| #32 | VanEck AA-BB CLO ETF | 811-10325 |
| #33 | VanEck Durable High Dividend ETF | 811-10325 |
| #34 | VanEck Fallen Angel High Yield Bond ETF | 811-10325 |
| #35 | VanEck Commodity Strategy ETF | 811-10325 |
| #36 | VanEck Pharmaceutical ETF | 811-10325 |
| #37 | VanEck Social Sentiment ETF | 811-10325 |
| #38 | VanEck High Yield Muni ETF | 811-10325 |
| #39 | VanEck Preferred Securities ex Financials ETF | 811-10325 |
| #40 | VanEck Morningstar Wide Moat Growth ETF | 811-10325 |
| #41 | VanEck Green Infrastructure ETF | 811-10325 |
| #42 | VanEck CEF Muni Income ETF | 811-10325 |
| #43 | VanEck Gold Miners ETF | 811-10325 |
| #44 | VanEck Robotics ETF | 811-10325 |
| #45 | VanEck Long Muni ETF | 811-10325 |
| #46 | VanEck Long/Flat Trend ETF | 811-10325 |
| #47 | VanEck Mortgage REIT Income ETF | 811-10325 |
| #48 | VanEck Short Muni ETF | 811-10325 |
| #49 | VanEck Junior Gold Miners ETF | 811-10325 |
| #50 | VanEck Intermediate Muni ETF | 811-10325 |
| #51 | VanEck Morningstar Wide Moat Value ETF | 811-10325 |
| #52 | VanEck Vietnam ETF | 811-10325 |
| #53 | VanEck Gaming ETF | 811-10325 |
| #54 | VanEck Indonesia Index ETF | 811-10325 |
| #55 | VanEck Steel ETF | 811-10325 |
| #56 | VanEck Video Gaming and eSports ETF | 811-10325 |
| #57 | VanEck Office and Commercial REIT ETF | 811-10325 |
| #58 | VanEck Retail ETF | 811-10325 |
| #59 | VanEck Moody's Analytics BBB Corporate Bond ETF | 811-10325 |
| #60 | VanEck Moody's Analytics IG Corporate Bond ETF | 811-10325 |
| #61 | VanEck Morningstar ESG Moat ETF | 811-10325 |
| #62 | VanEck Semiconductor ETF | 811-10325 |
| #63 | VanEck Low Carbon Energy ETF | 811-10325 |
| #64 | VanEck China Bond ETF | 811-10325 |
| #65 | VanEck Real Assets ETF | 811-10325 |
| v. Did the Fund draw on the line of credit this period? | ☒ Yes ☐ No |
| vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use? | 2,150,560.00000000 |
| vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use? | 30 |
| b. Did the Fund engage in interfund lending? | ☐ Yes ☒ No |
| c. Did the Fund engage in interfund borrowing? | ☐ Yes ☒ No |
| For open-end management investment companies, respond to the following: |
| a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ☐ Yes ☐ No |
| For open-end management investment companies subject to rule 22e-4 (17 CFR 270.22e-4), respond to the following: |
| a. Provide the following information about each person that provided liquidity classification services to the Fund during the reporting period: |
| Liquidity Classification Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the liquidity classification service an affiliated person of the Fund or its investment adviser(s)? | Asset class(es) for which liquidity classification services were provided to the Fund | — | — | — | — | — | — | — |
|---|
| b. Was a liquidity classification service hired or terminated during the reporting period? | ☐ Yes ☐ No |
| Management Investment Record: 13 |
| a. Full Name of the Fund | VanEck Short Muni ETF |
| b. Series identication number, if any | S000019192 |
| c. LEI | 5493007TRTQNFVE3A788 |
| d. Is this the first filing on this form by the Fund? | ☐ Yes ☒ No |
| a. How many Classes of shares of the Fund (if any) are authorized? | 0 |
| b. How many new Classes of shares of the Fund were added during the reporting period? | 0 |
| c. How many Classes of shares of the Fund were terminated during the reporting period? | 0 |
| d. For each Class with shares outstanding, provide the information requested below: |
| Shares Outstanding Record | Full name of Class | Class identification number, if any | Ticker symbol, if any |
|---|---|---|---|
| #1 | VanEck Short Muni ETF | C000053009 | SMB |
| Instructions: 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
| a. Indicate if the Fund is any one of the types listed. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or
offers a Class that itself is an Exchange-Traded Fund or
Exchange-Traded Managed Fund
☒ i. Exchange-Traded Fund ☐ ii. Exchange-Traded Managed Fund ☒ b. Index Fund ☐ c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark ☐ d. Interval Fund ☐ e. Fund of Funds ☐ f. Master-Feeder Fund ☐ g. Money Market Fund ☐ h. Target Date Fund ☐ i. Underlying fund to a variable annuity or variable life insurance contract ☐ N/A |
| i. Is the index whose performance the Fund tracks, constructed: | |
| 1. By an affiliated person of the fund? | ☐ Yes ☒ No |
| 2. Exclusively for the fund? | ☐ Yes ☒ No |
| ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return): | |
| 1. Before Fund fees and expenses: | 0.77200000 |
| 2. After Fund fees and expenses (i.e., net asset value): | 0.04900000 |
| iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period: | |
| 1. Before Fund fees and expenses: | 0.09300000 |
| 2. After Fund fees and expenses (i.e., net asset value): | 0.09300000 |
| a. Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ☐ Yes ☒ No |
| Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
| a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ☐ Yes ☒ No |
| Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
| a. Is the Fund authorized to engage in securities lending transactions? | ☐ Yes ☒ No |
| b. Did the Fund lend any of its securities during the reporting period? | ☐ Yes ☒ No |
| c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
| Securities Lending Record | Full name of securities lending agent | Identifying number(s) | Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? | — | — | — | — | — |
|---|
| d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
| Collateral Managers Record | Full name of cash collateral manager | Identifying number(s) | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? | — | — | — | — | — |
|---|
| e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ☐
i. Revenue sharing split
☐ ii. Non-revenue sharing split (other than administrative fee) ☐ iii. Administrative fee ☐ iv. Cash collateral reinvestment fee ☐ v. Indemnification fee ☐ vi. Other ☒ N/A |
| f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | N/A |
| g. Provide the net income from securities lending activities | N/A |
| a. Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply) | ☐
a. Rule 10f-3 (17 CFR 270.10f-3)
☐ b. Rule 12d1-1 (17 CFR 270.12d1-1) ☐ c. Rule 15a-4 (17 CFR 270.15a-4) ☐ d. Rule 17a-6 (17 CFR 270.17a-6) ☒ e. Rule 17a-7 (17 CFR 270.17a-7) ☐ f. Rule 17a-8 (17 CFR 270.17a-8) ☐ g. Rule 17e-1 (17 CFR 270.17e-1) ☐ h. Rule 22d-1 (17 CFR 270.22d-1) ☐ i. Rule 23c-1 (17 CFR 270.23c-1) ☒ j. Rule 32a-4 (17 CFR 270.32a-4) ☒ k. Rule 6c-11 (17 CFR 270.6c-11) ☒ l. Rule 12d1-4 (17 CFR 270.12d1-4) ☐ m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) ☐ n. Rule 18f-4 (17 CFR 270.18f-4) ☐
i. Is the Fund excepted from the rule 18f-4 (17 CFR 270.18f-4)
program requirement and limit on fund leverage risk under
rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))?
☐
N/A
☐ ii. Is the Fund a leveraged/inverse fund that, under rule 18f-4(c)(5) (17 CFR 270.18f-4(c)(5)), is excepted from the requirement to comply with the limit on fund leverage risk described in rule 18f-4(c)(2) (17 CFR 270.18f-4(c)(2))? ☐ iii. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))? ☐ iv. Did the Fund enter into any reverse repurchase agreements or similar financing transactions under rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii))? ☐ v. Did the Fund enter into any unfunded commitment agreements under rule 18f-4(e) (17 CFR 270.18f-4(e))? ☐ vi. Did the Fund invest in a security on a when-issued or forward-settling basis, or with a non-standard settlement cycle, in reliance on rule 18f-4(f) (17 CFR 270.18f-4(f))? |
| Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
| a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ☐ Yes ☒ No |
| b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ☐ Yes ☒ No |
| c. Are the fees waived subject to recoupment? | ☐ Yes ☒ No |
| d. Were any expenses previously waived recouped during the period? | ☐ Yes ☒ No |
| a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
| Investment Advisers Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Was the investment adviser hired during the reporting period? |
|---|---|---|---|---|---|---|---|
| #1 | Van Eck Associates Corporation | 801-21340 | 000105080 | LEI: 549300R5E0DJJN8D4E32 | NEW YORK | UNITED STATES OF AMERICA | No |
| b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
| Investment Advisers Terminated Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — | — |
|---|
| c. For each sub-adviser to the Fund, provide the information requested: |
| Sub-Advisors Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | Was the sub-adviser hired during the reporting period? | — | — | — | — | — | — | — | — | — |
|---|
| d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
| Sub-Advisors Terminated Record | Full name |
SEC file number ( e.g., 801- ) | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — | — |
|---|
| a. Provide the following information about each person providing transfer agency services to the Fund: |
| Transfer Agents Record | Full name |
SEC file number ( e.g., 801- ) | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | Is the transfer agent a sub-transfer agent? |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | 85-05003 | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a transfer agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
| Pricing Services Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
|---|---|---|---|---|---|
| #1 | PricingDirect Inc. | LEI: 549300WIC0TOJ7N7GD54 | NEW YORK | UNITED STATES OF AMERICA | No |
| #2 | S&P Global Inc. | LEI: Y6X4K52KMJMZE7I7MY94 | NEW YORK | UNITED STATES OF AMERICA | No |
| #3 | London Stock Exchange Group PLC | LEI: 213800QAUUUP6I445N30 | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND | No | |
| #4 | ICE Data Services, Inc. | LEI: 13-3668779 | GEORGIA | UNITED STATES OF AMERICA | No |
| #5 | Bloomberg L.P. | LEI: 549300B56MD0ZC402L06 | NEW YORK | UNITED STATES OF AMERICA | No |
| b. Was a pricing service hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
| Custodians Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the custodian an affiliated person of the Fund or its investment adviser(s)? | Is the custodian a sub-custodian? |
Type of custody (describe if "Other") |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No | Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) |
| b. Has a custodian been hired or terminated during the reporting period?* | ☐ Yes ☒ No |
| a. Provide the following information about each shareholder servicing agent of the Fund: |
| Shareholder Servicing Agents Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | Is the shareholder servicing agent a sub-shareholder servicing agent? |
|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | LEI: 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each administrator of the Fund: |
| Administrators Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the administrator an affiliated person of the Fund or its investment adviser(s)? | Is the administrator a sub-administrator? |
|---|---|---|---|---|---|---|
| #1 | Van Eck Associates Corporation | LEI: 549300R5E0DJJN8D4E32 | NEW YORK | UNITED STATES OF AMERICA | Yes | No |
| b. Has a third-party administrator been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each affiliated broker-dealer: |
| Broker-Dealers Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Total commissions paid to the affiliated broker-dealer for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | Van Eck Securities Corporation | 8-4618 | 000002269 | LEI: N/A | NEW YORK | UNITED STATES OF AMERICA | 0.00000000 |
| Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
| a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
| Brokers Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Gross commissions paid by the Fund for the reporting period | — | — | — | — | — | — | — | — |
|---|
| b. Aggregate brokerage commissions paid by Fund during the reporting period: | 0.00000000 |
| a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
| Principal Transactions Record | Full name | SEC file number | CRD number | Identifying number(s) | State, if applicable | Foreign country, if applicable | Total value of purchases and sales (excluding maturing securities) with Fund |
|---|---|---|---|---|---|---|---|
| #1 | National Financial Services LLC | 8-26740 | 000013041 | LEI: 549300JRHF1MHHWUAW04 | MASSACHUSETTS | UNITED STATES OF AMERICA | 1,817,310.00000000 |
| #2 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | LEI: FOR8UP27PHTHYVLBNG30 | NEW YORK | UNITED STATES OF AMERICA | 18,585,287.63000000 |
| #3 | BNY Capital Markets, LLC | 8-35255 | 000017454 | LEI: VJW2DOOHGDT6PR0ZRO63 | NEW YORK | UNITED STATES OF AMERICA | 2,067,380.00000000 |
| #4 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | NEW YORK | UNITED STATES OF AMERICA | 2,089,270.00000000 |
| #5 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | LEI: VYVVCKR63DVZZN70PB21 | NORTH CAROLINA | UNITED STATES OF AMERICA | 5,302,482.10000000 |
| #6 | BofA Securities, Inc. | 8-69787 | 000283942 | LEI: 549300HN4UKV1E2R3U73 | NEW YORK | UNITED STATES OF AMERICA | 2,309,919.50000000 |
| #7 | Truist Securities, Inc. | 8-17212 | 000006271 | LEI: CSVTK36R0PNGXEM7NS14 | GEORGIA | UNITED STATES OF AMERICA | 1,016,905.00000000 |
| #8 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | LEI: 9R7GPTSO7KV3UQJZQ078 | NEW YORK | UNITED STATES OF AMERICA | 3,188,804.55000000 |
| #9 | Barclays Capital Inc. | 8-41342 | 000019714 | LEI: AC28XWWI3WIBK2824319 | NEW YORK | UNITED STATES OF AMERICA | 1,515,340.00000000 |
| #10 | RBC Capital Markets, LLC | 8-45411 | 000031194 | LEI: 549300LCO2FLSSVFFR64 | NEW YORK | UNITED STATES OF AMERICA | 1,074,810.00000000 |
| b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 40,434,738.78000000 |
| a. During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ☐ Yes ☒ No |
| a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 264,406,821.51000000 |
| b. Provide the money market fund's daily average net assets during the reporting period |
| For open-end management investment companies, respond to the following: |
| a. Does the Fund have available a line of credit? | ☒ Yes ☐ No |
| i. If yes, for each line of credit, provide the information requested below: |
| Line of Credit Details Record: 1 |
| i. Is the line of credit a committed or uncommitted line of credit? | ☒ Committed ☐ Uncommitted |
| ii. What size is the line of credit? | 200,000,000.00000000 |
| iii. With which institution(s) is the line of credit? |
|
| iv. Is the line of credit just for the Fund, or is it shared among multiple funds? | ☐ Sole ☒ Shared |
| 1. If shared, list the names of other funds that may use the line of credit. |
| Shared Credit Users Record | Name of fund | SEC File number(e.g., 811-) |
|---|---|---|
| #1 | VanEck Steel ETF | 811-10325 |
| #2 | VanEck Fallen Angel High Yield Bond ETF | 811-10325 |
| #3 | VanEck Oil Services ETF | 811-10325 |
| #4 | VanEck Preferred Securities ex Financials ETF | 811-10325 |
| #5 | VanEck CMCI Commodity Strategy ETF | 811-10325 |
| #6 | VanEck Moody's Analytics BBB Corporate Bond ETF | 811-10325 |
| #7 | VanEck Natural Resources ETF | 811-10325 |
| #8 | VanEck Oil Refiners ETF | 811-10325 |
| #9 | VanEck Morningstar Wide Moat Value ETF | 811-10325 |
| #10 | VanEck CLO ETF | 811-10325 |
| #11 | VanEck Digital India ETF | 811-10325 |
| #12 | VanEck India Growth Leaders ETF | 811-10325 |
| #13 | VanEck CEF Muni Income ETF | 811-10325 |
| #14 | VanEck Long Muni ETF | 811-10325 |
| #15 | VanEck Uranium and Nuclear ETF | 811-10325 |
| #16 | VanEck Green Infrastructure ETF | 811-10325 |
| #17 | VanEck Pharmaceutical ETF | 811-10325 |
| #18 | VanEck Indonesia Index ETF | 811-10325 |
| #19 | VanEck Mortgage REIT Income ETF | 811-10325 |
| #20 | VanEck Semiconductor ETF | 811-10325 |
| #21 | VanEck Durable High Dividend ETF | 811-10325 |
| #22 | VanEck Morningstar SMID Moat ETF | 811-10325 |
| #23 | VanEck Gold Miners ETF | 811-10325 |
| #24 | VanEck Low Carbon Energy ETF | 811-10325 |
| #25 | VanEck Africa Index ETF | 811-10325 |
| #26 | VanEck Environmental Services ETF | 811-10325 |
| #27 | VanEck Green Bond ETF | 811-10325 |
| #28 | VanEck International High Yield Bond ETF | 811-10325 |
| #29 | VanEck Rare Earth and Strategic Metals ETF | 811-10325 |
| #30 | VanEck Green Metals ETF | 811-10325 |
| #31 | VanEck Morningstar Wide Moat Growth ETF | 811-10325 |
| #32 | VanEck Emerging Markets High Yield Bond ETF | 811-10325 |
| #33 | VanEck Commodity Strategy ETF | 811-10325 |
| #34 | VanEck ChiNext ETF | 811-10325 |
| #35 | VanEck Morningstar International Moat ETF | 811-10325 |
| #36 | VanEck Vietnam ETF | 811-10325 |
| #37 | VanEck Video Gaming and eSports ETF | 811-10325 |
| #38 | VanEck BDC Income ETF | 811-10325 |
| #39 | VanEck Agribusiness ETF | 811-10325 |
| #40 | VanEck Morningstar Global Wide Moat ETF | 811-10325 |
| #41 | VanEck HIP Sustainable Muni ETF | 811-10325 |
| #42 | VanEck AA-BB CLO ETF | 811-10325 |
| #43 | VanEck Morningstar Wide Moat ETF | 811-10325 |
| #44 | VanEck J.P. Morgan EM Local Currency Bond ETF | 811-10325 |
| #45 | VanEck China Bond ETF | 811-10325 |
| #46 | VanEck Robotics ETF | 811-10325 |
| #47 | VanEck Short High Yield Muni ETF | 811-10325 |
| #48 | VanEck Brazil Small-Cap ETF | 811-10325 |
| #49 | VanEck Social Sentiment ETF | 811-10325 |
| #50 | VanEck Moody's Analytics IG Corporate Bond ETF | 811-10325 |
| #51 | VanEck Retail ETF | 811-10325 |
| #52 | VanEck Office and Commercial REIT ETF | 811-10325 |
| #53 | VanEck Energy Income ETF | 811-10325 |
| #54 | VanEck Digital Transformation ETF | 811-10325 |
| #55 | VanEck High Yield Muni ETF | 811-10325 |
| #56 | VanEck Fabless Semiconductor ETF | 811-10325 |
| #57 | VanEck Intermediate Muni ETF | 811-10325 |
| #58 | VanEck Biotech ETF | 811-10325 |
| #59 | VanEck Real Assets ETF | 811-10325 |
| #60 | VanEck Long/Flat Trend ETF | 811-10325 |
| #61 | VanEck Junior Gold Miners ETF | 811-10325 |
| #62 | VanEck Israel ETF | 811-10325 |
| #63 | VanEck IG Floating Rate ETF | 811-10325 |
| #64 | VanEck Gaming ETF | 811-10325 |
| #65 | VanEck Morningstar ESG Moat ETF | 811-10325 |
| v. Did the Fund draw on the line of credit this period? | ☒ Yes ☐ No |
| vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use? | 104,396.00000000 |
| vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use? | 7 |
| b. Did the Fund engage in interfund lending? | ☐ Yes ☒ No |
| c. Did the Fund engage in interfund borrowing? | ☐ Yes ☒ No |
| For open-end management investment companies, respond to the following: |
| a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ☐ Yes ☐ No |
| For open-end management investment companies subject to rule 22e-4 (17 CFR 270.22e-4), respond to the following: |
| a. Provide the following information about each person that provided liquidity classification services to the Fund during the reporting period: |
| Liquidity Classification Record | Full name | Identifying number(s) | State, if applicable | Foreign country, if applicable | Is the liquidity classification service an affiliated person of the Fund or its investment adviser(s)? | Asset class(es) for which liquidity classification services were provided to the Fund | — | — | — | — | — | — | — |
|---|
| b. Was a liquidity classification service hired or terminated during the reporting period? | ☐ Yes ☐ No |
| Exchange Record: 1 |
| Fund Name | VanEck Long Muni ETF |
| Security Exchange Record | Provide the name of the national securities exchange on which the Fund’s shares are listed | Provide the Fund's ticker symbol |
|---|---|---|
| #1 | CBOE STOCK EXCHANGE | MLN |
| Instructions. The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
| a. For each authorized participant of the Fund, provide the following information: |
| Authorized Participants Record | Full Name | SEC file number | CRD number | Identifying number(s) | The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period | The dollar value of the Fund shares the authorized participant redeemed during the reporting period |
|---|---|---|---|---|---|---|
| #1 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | LEI: MBNUM2BPBDO7JBLYG310 | 0.00000000 | 0.00000000 |
| #2 | BMO Capital Markets Corp. | 8-34344 | 000016686 | LEI: RUC0QBLBRPRCU4W1NE59 | 0.00000000 | 0.00000000 |
| #3 | Interactive Brokers LLC | 8-47257 | 000036418 | LEI: 50OBSE5T5521O6SMZR28 | 0.00000000 | 0.00000000 |
| #4 | Virtu Financial BD LLC | 8-68015 | 000148390 | LEI: 54930088MP91YZQJT494 | 0.00000000 | 0.00000000 |
| #5 | BNP Paribas Prime Brokerage, Inc. | 8-40490 | 000024962 | LEI: 7VHWWWW4UJS7NUM3PT30 | 0.00000000 | 0.00000000 |
| #6 | Natixis Securities Americas LLC | 8-719 | 000001101 | LEI: 549300L8G1E7ZHVEOG75 | 0.00000000 | 0.00000000 |
| #7 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | LEI: FOR8UP27PHTHYVLBNG30 | 21,497,275.00000000 | 17,082,169.00000000 |
| #8 | BofA Securities, Inc. | 8-69787 | 000283942 | LEI: 549300HN4UKV1E2R3U73 | 0.00000000 | 0.00000000 |
| #9 | Merrill Lynch Professional Clearing Corp. | 8-33359 | 000016139 | LEI: 549300PMHS66E71I2D34 | 28,812,776.50000000 | 0.00000000 |
| #10 | Cowen Execution Services LLC | 8-46838 | 000035693 | LEI: 5493005RJDJD18OPUP27 | 0.00000000 | 0.00000000 |
| #11 | Macquarie Capital (USA) Inc. | 8-47198 | 000036368 | LEI: 549300670K07JRB5UQ40 | 892,870.00000000 | 0.00000000 |
| #12 | HSBC Securities (USA) Inc. | 8-41562 | 000019585 | LEI: CYYGQCGNHMHPSMRL3R97 | 0.00000000 | 0.00000000 |
| #13 | Cantor Fitzgerald & Co. | 8-201 | 000000134 | LEI: 5493004J7H4GCPG6OB62 | 0.00000000 | 0.00000000 |
| #14 | Pershing LLC | 8-17574 | 000007560 | LEI: ZI8Q1A8EI8LQFJNM0D94 | 4,419,521.00000000 | 0.00000000 |
| #15 | Deutsche Bank Securities Inc. | 8-17822 | 000002525 | LEI: 9J6MBOOO7BECTDTUZW19 | 0.00000000 | 0.00000000 |
| #16 | Credit Suisse Securities (Europe) Limited | 8-000 | N/A | LEI: DL6FFRRLF74S01HE2M14 | 0.00000000 | 0.00000000 |
| #17 | Barclays Capital Inc. | 8-41342 | 000019714 | LEI: AC28XWWI3WIBK2824319 | 0.00000000 | 0.00000000 |
| #18 | Citadel Securities LLC | 8-53574 | 000116797 | LEI: 12UUJYTN7D3SW8KCSG25 | 0.00000000 | 0.00000000 |
| #19 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | 0.00000000 | 0.00000000 |
| #20 | HRT Financial LP | 8-68430 | 000152144 | LEI: 21380037YFKONTT23854 | 0.00000000 | 0.00000000 |
| #21 | Credit Suisse Securities (USA) LLC | 8-422 | 000000816 | LEI: 1V8Y6QCX6YMJ2OELII46 | 0.00000000 | 0.00000000 |
| #22 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | LEI: 9R7GPTSO7KV3UQJZQ078 | 0.00000000 | 0.00000000 |
| #23 | J.P. Morgan Securities LLC/JPMC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | 1,767,043.00000000 | 0.00000000 |
| #24 | BNP Paribas Securities Corp. | 8-32682 | 000015794 | LEI: RCNB6OTYUAMMP879YW96 | 0.00000000 | 0.00000000 |
| #25 | Marex Capital Markets Inc. | 8-69039 | 000161014 | LEI: 5493006BWPDUCYG6EQ34 | 0.00000000 | 0.00000000 |
| #26 | UBS Securities LLC | 8-22651 | 000007654 | LEI: T6FIZBDPKLYJKFCRVK44 | 0.00000000 | 0.00000000 |
| #27 | MUFG Securities Americas Inc. | 8-43026 | 000019685 | LEI: K5HU16E3LMSVCCJJJ255 | 0.00000000 | 0.00000000 |
| #28 | Wedbush Securities Inc. | 8-12987 | 000000877 | LEI: 549300CSX55MXZ47EI78 | 0.00000000 | 5,435,592.00000000 |
| #29 | ABN AMRO Clearing USA LLC | 8-34354 | 000014020 | LEI: 549300U16G4LU3V6C598 | 0.00000000 | 0.00000000 |
| #30 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | LEI: VYVVCKR63DVZZN70PB21 | 0.00000000 | 0.00000000 |
| #31 | Nomura Securities International, Inc. | 8-15255 | 000004297 | LEI: OXTKY6Q8X53C9ILVV871 | 0.00000000 | 0.00000000 |
| #32 | SG Americas Securities, LLC | 8-66125 | 000128351 | LEI: 549300F35UE0BOM1WJ55 | 0.00000000 | 0.00000000 |
| #33 | Jefferies LLC | 8-15074 | 000002347 | LEI: 58PU97L1C0WSRCWADL48 | 0.00000000 | 0.00000000 |
| #34 | RBC Capital Markets, LLC | 8-45411 | 000031194 | LEI: 549300LCO2FLSSVFFR64 | 913,178.50000000 | 0.00000000 |
| #35 | Mizuho Securities USA LLC | 8-37710 | 000019647 | LEI: 7TK5RJIZDFROZCA6XF66 | 0.00000000 | 0.00000000 |
| #36 | Virtu Americas LLC | 8-68193 | 000149823 | LEI: 549300RA02N3BNSWBV74 | 13,581,614.00000000 | 0.00000000 |
| #37 | Jane Street Capital, LLC | 8-52275 | 000103782 | LEI: 549300ZM16HMPEPNV857 | 60,757,232.50000000 | 0.00000000 |
| #38 | ING Financial Markets LLC | 8-43978 | 000028872 | LEI: KBVRJ5K57JZ3E2AVWX40 | 0.00000000 | 0.00000000 |
| b. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ☒ Yes ☐ No |
| Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
| a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | |
| (for purchases) | 50,000.00000000 |
| (for redemptions, if different) |
| b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 100.00000000
%
|
| ii. The standard deviation of the percentage of value composed of cash: | 0.00000000
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000
%
|
| c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | -2.15000000
%
|
| ii. The standard deviation of the percentage of that value composed of cash: | 5.65614488
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 102.15000000
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 5.65614488
%
|
| d. For creation units purchased by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 100.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.17592601
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 100.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.17592601
%
|
| e. For creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 250.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 250.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| a. Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ☒ Yes ☐ No |
| Exchange Record: 2 |
| Fund Name | VanEck Moody's Analytics BBB Corporate Bond ETF |
| Security Exchange Record | Provide the name of the national securities exchange on which the Fund’s shares are listed | Provide the Fund's ticker symbol |
|---|---|---|
| #1 | CBOE STOCK EXCHANGE | MBBB |
| Instructions. The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
| a. For each authorized participant of the Fund, provide the following information: |
| Authorized Participants Record | Full Name | SEC file number | CRD number | Identifying number(s) | The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period | The dollar value of the Fund shares the authorized participant redeemed during the reporting period |
|---|---|---|---|---|---|---|
| #1 | Deutsche Bank Securities Inc. | 8-17822 | 000002525 | LEI: 9J6MBOOO7BECTDTUZW19 | 0.00000000 | 0.00000000 |
| #2 | Jane Street Capital, LLC | 8-52275 | 000103782 | LEI: 549300ZM16HMPEPNV857 | 0.00000000 | 1,079,029.00000000 |
| #3 | Wedbush Securities Inc. | 8-12987 | 000000877 | LEI: 549300CSX55MXZ47EI78 | 0.00000000 | 0.00000000 |
| #4 | Jefferies LLC | 8-15074 | 000002347 | LEI: 58PU97L1C0WSRCWADL48 | 0.00000000 | 0.00000000 |
| #5 | ING Financial Markets LLC | 8-43978 | 000028872 | LEI: KBVRJ5K57JZ3E2AVWX40 | 0.00000000 | 0.00000000 |
| #6 | Cantor Fitzgerald & Co. | 8-201 | 000000134 | LEI: 5493004J7H4GCPG6OB62 | 0.00000000 | 0.00000000 |
| #7 | Credit Suisse Securities (USA) LLC | 8-422 | 000000816 | LEI: 1V8Y6QCX6YMJ2OELII46 | 0.00000000 | 0.00000000 |
| #8 | MUFG Securities Americas Inc. | 8-43026 | 000019685 | LEI: K5HU16E3LMSVCCJJJ255 | 0.00000000 | 0.00000000 |
| #9 | Barclays Capital Inc. | 8-41342 | 000019714 | LEI: AC28XWWI3WIBK2824319 | 0.00000000 | 0.00000000 |
| #10 | Virtu Americas LLC | 8-68193 | 000149823 | LEI: 549300RA02N3BNSWBV74 | 0.00000000 | 0.00000000 |
| #11 | RBC Capital Markets, LLC | 8-45411 | 000031194 | LEI: 549300LCO2FLSSVFFR64 | 0.00000000 | 0.00000000 |
| #12 | HSBC Securities (USA) Inc. | 8-41562 | 000019585 | LEI: CYYGQCGNHMHPSMRL3R97 | 0.00000000 | 0.00000000 |
| #13 | UBS Securities LLC | 8-22651 | 000007654 | LEI: T6FIZBDPKLYJKFCRVK44 | 0.00000000 | 0.00000000 |
| #14 | Marex Capital Markets Inc. | 8-69039 | 000161014 | LEI: 5493006BWPDUCYG6EQ34 | 0.00000000 | 0.00000000 |
| #15 | Credit Suisse Securities (Europe) Limited | 8-000 | N/A | LEI: DL6FFRRLF74S01HE2M14 | 0.00000000 | 0.00000000 |
| #16 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | LEI: VYVVCKR63DVZZN70PB21 | 0.00000000 | 0.00000000 |
| #17 | BMO Capital Markets Corp. | 8-34344 | 000016686 | LEI: RUC0QBLBRPRCU4W1NE59 | 0.00000000 | 0.00000000 |
| #18 | Natixis Securities Americas LLC | 8-719 | 000001101 | LEI: 549300L8G1E7ZHVEOG75 | 0.00000000 | 0.00000000 |
| #19 | Mizuho Securities USA LLC | 8-37710 | 000019647 | LEI: 7TK5RJIZDFROZCA6XF66 | 0.00000000 | 0.00000000 |
| #20 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | LEI: FOR8UP27PHTHYVLBNG30 | 0.00000000 | 0.00000000 |
| #21 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | LEI: MBNUM2BPBDO7JBLYG310 | 0.00000000 | 0.00000000 |
| #22 | Merrill Lynch Professional Clearing Corp. | 8-33359 | 000016139 | LEI: 549300PMHS66E71I2D34 | 0.00000000 | 0.00000000 |
| #23 | J.P. Morgan Securities LLC/JPMC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | 1,089,022.00000000 | 0.00000000 |
| #24 | Cowen Execution Services LLC | 8-46838 | 000035693 | LEI: 5493005RJDJD18OPUP27 | 0.00000000 | 0.00000000 |
| #25 | Interactive Brokers LLC | 8-47257 | 000036418 | LEI: 50OBSE5T5521O6SMZR28 | 0.00000000 | 0.00000000 |
| #26 | SG Americas Securities, LLC | 8-66125 | 000128351 | LEI: 549300F35UE0BOM1WJ55 | 0.00000000 | 0.00000000 |
| #27 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | LEI: 9R7GPTSO7KV3UQJZQ078 | 0.00000000 | 0.00000000 |
| #28 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | 0.00000000 | 0.00000000 |
| #29 | BNP Paribas Securities Corp. | 8-32682 | 000015794 | LEI: RCNB6OTYUAMMP879YW96 | 0.00000000 | 0.00000000 |
| #30 | BNP Paribas Prime Brokerage, Inc. | 8-40490 | 000024962 | LEI: 7VHWWWW4UJS7NUM3PT30 | 0.00000000 | 0.00000000 |
| #31 | Nomura Securities International, Inc. | 8-15255 | 000004297 | LEI: OXTKY6Q8X53C9ILVV871 | 0.00000000 | 0.00000000 |
| #32 | Pershing LLC | 8-17574 | 000007560 | LEI: ZI8Q1A8EI8LQFJNM0D94 | 0.00000000 | 0.00000000 |
| #33 | Citadel Securities LLC | 8-53574 | 000116797 | LEI: 12UUJYTN7D3SW8KCSG25 | 0.00000000 | 0.00000000 |
| #34 | BofA Securities, Inc. | 8-69787 | 000283942 | LEI: 549300HN4UKV1E2R3U73 | 0.00000000 | 0.00000000 |
| #35 | Macquarie Capital (USA) Inc. | 8-47198 | 000036368 | LEI: 549300670K07JRB5UQ40 | 0.00000000 | 0.00000000 |
| #36 | Virtu Financial BD LLC | 8-68015 | 000148390 | LEI: 54930088MP91YZQJT494 | 0.00000000 | 0.00000000 |
| #37 | HRT Financial LP | 8-68430 | 000152144 | LEI: 21380037YFKONTT23854 | 0.00000000 | 0.00000000 |
| #38 | ABN AMRO Clearing USA LLC | 8-34354 | 000014020 | LEI: 549300U16G4LU3V6C598 | 0.00000000 | 0.00000000 |
| b. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ☒ Yes ☐ No |
| Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
| a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | |
| (for purchases) | 25,000.00000000 |
| (for redemptions, if different) |
| b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 0.06000000
%
|
| ii. The standard deviation of the percentage of value composed of cash: | 0.00000000
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.94000000
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000
%
|
| c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | -3.69000000
%
|
| ii. The standard deviation of the percentage of that value composed of cash: | 0.00000000
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 103.69000000
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000
%
|
| d. For creation units purchased by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 250.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 250.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| e. For creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 250.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 0.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| a. Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ☒ Yes ☐ No |
| Exchange Record: 3 |
| Fund Name | VanEck CEF Muni Income ETF |
| Security Exchange Record | Provide the name of the national securities exchange on which the Fund’s shares are listed | Provide the Fund's ticker symbol |
|---|---|---|
| #1 | CBOE STOCK EXCHANGE | XMPT |
| Instructions. The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
| a. For each authorized participant of the Fund, provide the following information: |
| Authorized Participants Record | Full Name | SEC file number | CRD number | Identifying number(s) | The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period | The dollar value of the Fund shares the authorized participant redeemed during the reporting period |
|---|---|---|---|---|---|---|
| #1 | Jane Street Capital, LLC | 8-52275 | 000103782 | LEI: 549300ZM16HMPEPNV857 | 2,218,296.75000000 | 7,227,972.25000000 |
| #2 | Virtu Americas LLC | 8-68193 | 000149823 | LEI: 549300RA02N3BNSWBV74 | 20,867,468.75000000 | 29,090,259.00000000 |
| #3 | Wedbush Securities Inc. | 8-12987 | 000000877 | LEI: 549300CSX55MXZ47EI78 | 0.00000000 | 0.00000000 |
| #4 | SG Americas Securities, LLC | 8-66125 | 000128351 | LEI: 549300F35UE0BOM1WJ55 | 0.00000000 | 0.00000000 |
| #5 | ING Financial Markets LLC | 8-43978 | 000028872 | LEI: KBVRJ5K57JZ3E2AVWX40 | 0.00000000 | 0.00000000 |
| #6 | Macquarie Capital (USA) Inc. | 8-47198 | 000036368 | LEI: 549300670K07JRB5UQ40 | 0.00000000 | 0.00000000 |
| #7 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | LEI: VYVVCKR63DVZZN70PB21 | 0.00000000 | 0.00000000 |
| #8 | Cantor Fitzgerald & Co. | 8-201 | 000000134 | LEI: 5493004J7H4GCPG6OB62 | 0.00000000 | 0.00000000 |
| #9 | Marex Capital Markets Inc. | 8-69039 | 000161014 | LEI: 5493006BWPDUCYG6EQ34 | 0.00000000 | 0.00000000 |
| #10 | BNP Paribas Securities Corp. | 8-32682 | 000015794 | LEI: RCNB6OTYUAMMP879YW96 | 0.00000000 | 0.00000000 |
| #11 | Jefferies LLC | 8-15074 | 000002347 | LEI: 58PU97L1C0WSRCWADL48 | 0.00000000 | 0.00000000 |
| #12 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | 0.00000000 | 0.00000000 |
| #13 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | LEI: MBNUM2BPBDO7JBLYG310 | 0.00000000 | 0.00000000 |
| #14 | Credit Suisse Securities (USA) LLC | 8-422 | 000000816 | LEI: 1V8Y6QCX6YMJ2OELII46 | 0.00000000 | 0.00000000 |
| #15 | MUFG Securities Americas Inc. | 8-43026 | 000019685 | LEI: K5HU16E3LMSVCCJJJ255 | 0.00000000 | 0.00000000 |
| #16 | Natixis Securities Americas LLC | 8-719 | 000001101 | LEI: 549300L8G1E7ZHVEOG75 | 0.00000000 | 0.00000000 |
| #17 | UBS Securities LLC | 8-22651 | 000007654 | LEI: T6FIZBDPKLYJKFCRVK44 | 0.00000000 | 0.00000000 |
| #18 | Credit Suisse Securities (Europe) Limited | 8-000 | N/A | LEI: DL6FFRRLF74S01HE2M14 | 0.00000000 | 0.00000000 |
| #19 | Cowen Execution Services LLC | 8-46838 | 000035693 | LEI: 5493005RJDJD18OPUP27 | 0.00000000 | 0.00000000 |
| #20 | RBC Capital Markets, LLC | 8-45411 | 000031194 | LEI: 549300LCO2FLSSVFFR64 | 0.00000000 | 0.00000000 |
| #21 | Mizuho Securities USA LLC | 8-37710 | 000019647 | LEI: 7TK5RJIZDFROZCA6XF66 | 0.00000000 | 0.00000000 |
| #22 | Citadel Securities LLC | 8-53574 | 000116797 | LEI: 12UUJYTN7D3SW8KCSG25 | 2,184,737.50000000 | 11,290,972.00000000 |
| #23 | Pershing LLC | 8-17574 | 000007560 | LEI: ZI8Q1A8EI8LQFJNM0D94 | 0.00000000 | 0.00000000 |
| #24 | Barclays Capital Inc. | 8-41342 | 000019714 | LEI: AC28XWWI3WIBK2824319 | 0.00000000 | 0.00000000 |
| #25 | Virtu Financial BD LLC | 8-68015 | 000148390 | LEI: 54930088MP91YZQJT494 | 0.00000000 | 0.00000000 |
| #26 | Deutsche Bank Securities Inc. | 8-17822 | 000002525 | LEI: 9J6MBOOO7BECTDTUZW19 | 0.00000000 | 0.00000000 |
| #27 | J.P. Morgan Securities LLC/JPMC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | 2,840,817.50000000 | 4,183,204.00000000 |
| #28 | BofA Securities, Inc. | 8-69787 | 000283942 | LEI: 549300HN4UKV1E2R3U73 | 0.00000000 | 0.00000000 |
| #29 | BMO Capital Markets Corp. | 8-34344 | 000016686 | LEI: RUC0QBLBRPRCU4W1NE59 | 0.00000000 | 0.00000000 |
| #30 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | LEI: 9R7GPTSO7KV3UQJZQ078 | 0.00000000 | 0.00000000 |
| #31 | BNP Paribas Prime Brokerage, Inc. | 8-40490 | 000024962 | LEI: 7VHWWWW4UJS7NUM3PT30 | 0.00000000 | 0.00000000 |
| #32 | Interactive Brokers LLC | 8-47257 | 000036418 | LEI: 50OBSE5T5521O6SMZR28 | 0.00000000 | 0.00000000 |
| #33 | HSBC Securities (USA) Inc. | 8-41562 | 000019585 | LEI: CYYGQCGNHMHPSMRL3R97 | 0.00000000 | 0.00000000 |
| #34 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | LEI: FOR8UP27PHTHYVLBNG30 | 0.00000000 | 0.00000000 |
| #35 | ABN AMRO Clearing USA LLC | 8-34354 | 000014020 | LEI: 549300U16G4LU3V6C598 | 0.00000000 | 0.00000000 |
| #36 | Merrill Lynch Professional Clearing Corp. | 8-33359 | 000016139 | LEI: 549300PMHS66E71I2D34 | 22,526,703.00000000 | 55,523,868.25000000 |
| #37 | HRT Financial LP | 8-68430 | 000152144 | LEI: 21380037YFKONTT23854 | 0.00000000 | 0.00000000 |
| #38 | Nomura Securities International, Inc. | 8-15255 | 000004297 | LEI: OXTKY6Q8X53C9ILVV871 | 0.00000000 | 0.00000000 |
| b. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ☐ Yes ☒ No |
| Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
| a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | |
| (for purchases) | 25,000.00000000 |
| (for redemptions, if different) |
| b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | -0.03789473
%
|
| ii. The standard deviation of the percentage of value composed of cash: | 0.16141085
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 100.03789473
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.16141085
%
|
| c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 0.04425000
%
|
| ii. The standard deviation of the percentage of that value composed of cash: | 0.27909574
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.95575000
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.27909574
%
|
| d. For creation units purchased by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 250.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 250.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| e. For creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 250.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 250.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| a. Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ☒ Yes ☐ No |
| Exchange Record: 4 |
| Fund Name | VanEck Intermediate Muni ETF |
| Security Exchange Record | Provide the name of the national securities exchange on which the Fund’s shares are listed | Provide the Fund's ticker symbol |
|---|---|---|
| #1 | CBOE STOCK EXCHANGE | ITM |
| Instructions. The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
| a. For each authorized participant of the Fund, provide the following information: |
| Authorized Participants Record | Full Name | SEC file number | CRD number | Identifying number(s) | The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period | The dollar value of the Fund shares the authorized participant redeemed during the reporting period |
|---|---|---|---|---|---|---|
| #1 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | LEI: MBNUM2BPBDO7JBLYG310 | 0.00000000 | 0.00000000 |
| #2 | Jane Street Capital, LLC | 8-52275 | 000103782 | LEI: 549300ZM16HMPEPNV857 | 138,253,287.50000000 | 0.00000000 |
| #3 | Barclays Capital Inc. | 8-41342 | 000019714 | LEI: AC28XWWI3WIBK2824319 | 0.00000000 | 0.00000000 |
| #4 | MUFG Securities Americas Inc. | 8-43026 | 000019685 | LEI: K5HU16E3LMSVCCJJJ255 | 0.00000000 | 0.00000000 |
| #5 | Macquarie Capital (USA) Inc. | 8-47198 | 000036368 | LEI: 549300670K07JRB5UQ40 | 9,024,999.00000000 | 0.00000000 |
| #6 | Virtu Americas LLC | 8-68193 | 000149823 | LEI: 549300RA02N3BNSWBV74 | 0.00000000 | 0.00000000 |
| #7 | Merrill Lynch Professional Clearing Corp. | 8-33359 | 000016139 | LEI: 549300PMHS66E71I2D34 | 75,233,132.00000000 | 0.00000000 |
| #8 | Deutsche Bank Securities Inc. | 8-17822 | 000002525 | LEI: 9J6MBOOO7BECTDTUZW19 | 0.00000000 | 0.00000000 |
| #9 | Virtu Financial BD LLC | 8-68015 | 000148390 | LEI: 54930088MP91YZQJT494 | 0.00000000 | 0.00000000 |
| #10 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | LEI: VYVVCKR63DVZZN70PB21 | 0.00000000 | 0.00000000 |
| #11 | RBC Capital Markets, LLC | 8-45411 | 000031194 | LEI: 549300LCO2FLSSVFFR64 | 2,339,144.50000000 | 0.00000000 |
| #12 | Jefferies LLC | 8-15074 | 000002347 | LEI: 58PU97L1C0WSRCWADL48 | 0.00000000 | 0.00000000 |
| #13 | Citadel Securities LLC | 8-53574 | 000116797 | LEI: 12UUJYTN7D3SW8KCSG25 | 0.00000000 | 0.00000000 |
| #14 | Credit Suisse Securities (Europe) Limited | 8-000 | N/A | LEI: DL6FFRRLF74S01HE2M14 | 0.00000000 | 0.00000000 |
| #15 | BofA Securities, Inc. | 8-69787 | 000283942 | LEI: 549300HN4UKV1E2R3U73 | 0.00000000 | 0.00000000 |
| #16 | BNP Paribas Securities Corp. | 8-32682 | 000015794 | LEI: RCNB6OTYUAMMP879YW96 | 0.00000000 | 0.00000000 |
| #17 | Nomura Securities International, Inc. | 8-15255 | 000004297 | LEI: OXTKY6Q8X53C9ILVV871 | 0.00000000 | 0.00000000 |
| #18 | Pershing LLC | 8-17574 | 000007560 | LEI: ZI8Q1A8EI8LQFJNM0D94 | 0.00000000 | 0.00000000 |
| #19 | Interactive Brokers LLC | 8-47257 | 000036418 | LEI: 50OBSE5T5521O6SMZR28 | 0.00000000 | 0.00000000 |
| #20 | HRT Financial LP | 8-68430 | 000152144 | LEI: 21380037YFKONTT23854 | 0.00000000 | 0.00000000 |
| #21 | BMO Capital Markets Corp. | 8-34344 | 000016686 | LEI: RUC0QBLBRPRCU4W1NE59 | 0.00000000 | 0.00000000 |
| #22 | Wedbush Securities Inc. | 8-12987 | 000000877 | LEI: 549300CSX55MXZ47EI78 | 2,298,707.50000000 | 29,877,840.50000000 |
| #23 | Cowen Execution Services LLC | 8-46838 | 000035693 | LEI: 5493005RJDJD18OPUP27 | 0.00000000 | 0.00000000 |
| #24 | BNP Paribas Prime Brokerage, Inc. | 8-40490 | 000024962 | LEI: 7VHWWWW4UJS7NUM3PT30 | 0.00000000 | 0.00000000 |
| #25 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | 11,489,475.00000000 | 0.00000000 |
| #26 | Cantor Fitzgerald & Co. | 8-201 | 000000134 | LEI: 5493004J7H4GCPG6OB62 | 0.00000000 | 0.00000000 |
| #27 | UBS Securities LLC | 8-22651 | 000007654 | LEI: T6FIZBDPKLYJKFCRVK44 | 0.00000000 | 0.00000000 |
| #28 | Natixis Securities Americas LLC | 8-719 | 000001101 | LEI: 549300L8G1E7ZHVEOG75 | 0.00000000 | 0.00000000 |
| #29 | Credit Suisse Securities (USA) LLC | 8-422 | 000000816 | LEI: 1V8Y6QCX6YMJ2OELII46 | 0.00000000 | 0.00000000 |
| #30 | J.P. Morgan Securities LLC/JPMC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | 60,520,499.00000000 | 37,960,252.00000000 |
| #31 | Mizuho Securities USA LLC | 8-37710 | 000019647 | LEI: 7TK5RJIZDFROZCA6XF66 | 0.00000000 | 0.00000000 |
| #32 | ABN AMRO Clearing USA LLC | 8-34354 | 000014020 | LEI: 549300U16G4LU3V6C598 | 0.00000000 | 0.00000000 |
| #33 | ING Financial Markets LLC | 8-43978 | 000028872 | LEI: KBVRJ5K57JZ3E2AVWX40 | 0.00000000 | 0.00000000 |
| #34 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | LEI: 9R7GPTSO7KV3UQJZQ078 | 0.00000000 | 0.00000000 |
| #35 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | LEI: FOR8UP27PHTHYVLBNG30 | 32,273,163.50000000 | 91,961,767.50000000 |
| #36 | SG Americas Securities, LLC | 8-66125 | 000128351 | LEI: 549300F35UE0BOM1WJ55 | 0.00000000 | 0.00000000 |
| #37 | HSBC Securities (USA) Inc. | 8-41562 | 000019585 | LEI: CYYGQCGNHMHPSMRL3R97 | 0.00000000 | 0.00000000 |
| #38 | Marex Capital Markets Inc. | 8-69039 | 000161014 | LEI: 5493006BWPDUCYG6EQ34 | 0.00000000 | 0.00000000 |
| b. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ☒ Yes ☐ No |
| Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
| a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | |
| (for purchases) | 50,000.00000000 |
| (for redemptions, if different) |
| b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 83.61428571
%
|
| ii. The standard deviation of the percentage of value composed of cash: | 41.20065152
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 16.38571428
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 41.20065152
%
|
| c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | -3.19222222
%
|
| ii. The standard deviation of the percentage of that value composed of cash: | 4.46326183
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 103.19222222
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 4.46326183
%
|
| d. For creation units purchased by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 121.42857142 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.18085863
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 111.53846153 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 1.19095504
%
|
| e. For creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 250.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 250.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| a. Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ☐ Yes ☒ No |
| Exchange Record: 5 |
| Fund Name | VanEck Fallen Angel High Yield Bond ETF |
| Security Exchange Record | Provide the name of the national securities exchange on which the Fund’s shares are listed | Provide the Fund's ticker symbol |
|---|---|---|
| #1 | NASDAQ - ALL MARKETS | ANGL |
| Instructions. The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
| a. For each authorized participant of the Fund, provide the following information: |
| Authorized Participants Record | Full Name | SEC file number | CRD number | Identifying number(s) | The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period | The dollar value of the Fund shares the authorized participant redeemed during the reporting period |
|---|---|---|---|---|---|---|
| #1 | Deutsche Bank Securities Inc. | 8-17822 | 000002525 | LEI: 9J6MBOOO7BECTDTUZW19 | 0.00000000 | 0.00000000 |
| #2 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | LEI: 9R7GPTSO7KV3UQJZQ078 | 0.00000000 | 0.00000000 |
| #3 | MUFG Securities Americas Inc. | 8-43026 | 000019685 | LEI: K5HU16E3LMSVCCJJJ255 | 0.00000000 | 0.00000000 |
| #4 | Mizuho Securities USA LLC | 8-37710 | 000019647 | LEI: 7TK5RJIZDFROZCA6XF66 | 0.00000000 | 0.00000000 |
| #5 | Jefferies LLC | 8-15074 | 000002347 | LEI: 58PU97L1C0WSRCWADL48 | 31,902,766.00000000 | 1,447,498.00000000 |
| #6 | Jane Street Capital, LLC | 8-52275 | 000103782 | LEI: 549300ZM16HMPEPNV857 | 44,556,646.00000000 | 51,378,637.50000000 |
| #7 | Merrill Lynch Professional Clearing Corp. | 8-33359 | 000016139 | LEI: 549300PMHS66E71I2D34 | 0.00000000 | 0.00000000 |
| #8 | SG Americas Securities, LLC | 8-66125 | 000128351 | LEI: 549300F35UE0BOM1WJ55 | 0.00000000 | 0.00000000 |
| #9 | ING Financial Markets LLC | 8-43978 | 000028872 | LEI: KBVRJ5K57JZ3E2AVWX40 | 0.00000000 | 0.00000000 |
| #10 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | LEI: FOR8UP27PHTHYVLBNG30 | 274,844,669.00000000 | 186,030,069.00000000 |
| #11 | Credit Suisse Securities (USA) LLC | 8-422 | 000000816 | LEI: 1V8Y6QCX6YMJ2OELII46 | 0.00000000 | 0.00000000 |
| #12 | BMO Capital Markets Corp. | 8-34344 | 000016686 | LEI: RUC0QBLBRPRCU4W1NE59 | 0.00000000 | 0.00000000 |
| #13 | Credit Suisse Securities (Europe) Limited | 8-000 | N/A | LEI: DL6FFRRLF74S01HE2M14 | 0.00000000 | 0.00000000 |
| #14 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | LEI: MBNUM2BPBDO7JBLYG310 | 0.00000000 | 0.00000000 |
| #15 | Citadel Securities LLC | 8-53574 | 000116797 | LEI: 12UUJYTN7D3SW8KCSG25 | 0.00000000 | 0.00000000 |
| #16 | Pershing LLC | 8-17574 | 000007560 | LEI: ZI8Q1A8EI8LQFJNM0D94 | 0.00000000 | 0.00000000 |
| #17 | Wedbush Securities Inc. | 8-12987 | 000000877 | LEI: 549300CSX55MXZ47EI78 | 0.00000000 | 0.00000000 |
| #18 | J.P. Morgan Securities LLC/JPMC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | 435,277,463.50000000 | 652,585,437.50000000 |
| #19 | Macquarie Capital (USA) Inc. | 8-47198 | 000036368 | LEI: 549300670K07JRB5UQ40 | 0.00000000 | 0.00000000 |
| #20 | RBC Capital Markets, LLC | 8-45411 | 000031194 | LEI: 549300LCO2FLSSVFFR64 | 0.00000000 | 0.00000000 |
| #21 | BNP Paribas Securities Corp. | 8-32682 | 000015794 | LEI: RCNB6OTYUAMMP879YW96 | 0.00000000 | 0.00000000 |
| #22 | Cowen Execution Services LLC | 8-46838 | 000035693 | LEI: 5493005RJDJD18OPUP27 | 0.00000000 | 0.00000000 |
| #23 | HRT Financial LP | 8-68430 | 000152144 | LEI: 21380037YFKONTT23854 | 0.00000000 | 0.00000000 |
| #24 | UBS Securities LLC | 8-22651 | 000007654 | LEI: T6FIZBDPKLYJKFCRVK44 | 0.00000000 | 0.00000000 |
| #25 | Natixis Securities Americas LLC | 8-719 | 000001101 | LEI: 549300L8G1E7ZHVEOG75 | 0.00000000 | 0.00000000 |
| #26 | Nomura Securities International, Inc. | 8-15255 | 000004297 | LEI: OXTKY6Q8X53C9ILVV871 | 0.00000000 | 0.00000000 |
| #27 | Marex Capital Markets Inc. | 8-69039 | 000161014 | LEI: 5493006BWPDUCYG6EQ34 | 0.00000000 | 0.00000000 |
| #28 | Barclays Capital Inc. | 8-41342 | 000019714 | LEI: AC28XWWI3WIBK2824319 | 0.00000000 | 0.00000000 |
| #29 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | 0.00000000 | 0.00000000 |
| #30 | HSBC Securities (USA) Inc. | 8-41562 | 000019585 | LEI: CYYGQCGNHMHPSMRL3R97 | 0.00000000 | 0.00000000 |
| #31 | BofA Securities, Inc. | 8-69787 | 000283942 | LEI: 549300HN4UKV1E2R3U73 | 0.00000000 | 0.00000000 |
| #32 | Interactive Brokers LLC | 8-47257 | 000036418 | LEI: 50OBSE5T5521O6SMZR28 | 0.00000000 | 0.00000000 |
| #33 | Virtu Americas LLC | 8-68193 | 000149823 | LEI: 549300RA02N3BNSWBV74 | 0.00000000 | 0.00000000 |
| #34 | Virtu Financial BD LLC | 8-68015 | 000148390 | LEI: 54930088MP91YZQJT494 | 0.00000000 | 0.00000000 |
| #35 | Cantor Fitzgerald & Co. | 8-201 | 000000134 | LEI: 5493004J7H4GCPG6OB62 | 0.00000000 | 0.00000000 |
| #36 | ABN AMRO Clearing USA LLC | 8-34354 | 000014020 | LEI: 549300U16G4LU3V6C598 | 0.00000000 | 0.00000000 |
| #37 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | LEI: VYVVCKR63DVZZN70PB21 | 0.00000000 | 0.00000000 |
| #38 | BNP Paribas Prime Brokerage, Inc. | 8-40490 | 000024962 | LEI: 7VHWWWW4UJS7NUM3PT30 | 0.00000000 | 0.00000000 |
| b. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ☒ Yes ☐ No |
| Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
| a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | |
| (for purchases) | 50,000.00000000 |
| (for redemptions, if different) |
| b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 20.20642857
%
|
| ii. The standard deviation of the percentage of value composed of cash: | 39.49687298
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 79.79357142
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 39.49687298
%
|
| c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 3.54111111
%
|
| ii. The standard deviation of the percentage of that value composed of cash: | 6.15956247
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 96.45888888
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 6.15956247
%
|
| d. For creation units purchased by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 383.33333333 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 328.26086956 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| e. For creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 450.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 450.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| a. Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ☒ Yes ☐ No |
| Exchange Record: 6 |
| Fund Name | VanEck Emerging Markets High Yield Bond ETF |
| Security Exchange Record | Provide the name of the national securities exchange on which the Fund’s shares are listed | Provide the Fund's ticker symbol |
|---|---|---|
| #1 | NYSE ARCA | HYEM |
| Instructions. The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
| a. For each authorized participant of the Fund, provide the following information: |
| Authorized Participants Record | Full Name | SEC file number | CRD number | Identifying number(s) | The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period | The dollar value of the Fund shares the authorized participant redeemed during the reporting period |
|---|---|---|---|---|---|---|
| #1 | Jane Street Capital, LLC | 8-52275 | 000103782 | LEI: 549300ZM16HMPEPNV857 | 21,228,164.00000000 | 7,889,920.00000000 |
| #2 | BofA Securities, Inc. | 8-69787 | 000283942 | LEI: 549300HN4UKV1E2R3U73 | 0.00000000 | 0.00000000 |
| #3 | SG Americas Securities, LLC | 8-66125 | 000128351 | LEI: 549300F35UE0BOM1WJ55 | 0.00000000 | 0.00000000 |
| #4 | Interactive Brokers LLC | 8-47257 | 000036418 | LEI: 50OBSE5T5521O6SMZR28 | 0.00000000 | 0.00000000 |
| #5 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | LEI: VYVVCKR63DVZZN70PB21 | 0.00000000 | 0.00000000 |
| #6 | Natixis Securities Americas LLC | 8-719 | 000001101 | LEI: 549300L8G1E7ZHVEOG75 | 0.00000000 | 0.00000000 |
| #7 | Merrill Lynch Professional Clearing Corp. | 8-33359 | 000016139 | LEI: 549300PMHS66E71I2D34 | 0.00000000 | 0.00000000 |
| #8 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | 0.00000000 | 0.00000000 |
| #9 | BMO Capital Markets Corp. | 8-34344 | 000016686 | LEI: RUC0QBLBRPRCU4W1NE59 | 0.00000000 | 0.00000000 |
| #10 | Pershing LLC | 8-17574 | 000007560 | LEI: ZI8Q1A8EI8LQFJNM0D94 | 0.00000000 | 0.00000000 |
| #11 | Citadel Securities LLC | 8-53574 | 000116797 | LEI: 12UUJYTN7D3SW8KCSG25 | 0.00000000 | 0.00000000 |
| #12 | MUFG Securities Americas Inc. | 8-43026 | 000019685 | LEI: K5HU16E3LMSVCCJJJ255 | 0.00000000 | 0.00000000 |
| #13 | HSBC Securities (USA) Inc. | 8-41562 | 000019585 | LEI: CYYGQCGNHMHPSMRL3R97 | 0.00000000 | 0.00000000 |
| #14 | Jefferies LLC | 8-15074 | 000002347 | LEI: 58PU97L1C0WSRCWADL48 | 0.00000000 | 0.00000000 |
| #15 | BNP Paribas Securities Corp. | 8-32682 | 000015794 | LEI: RCNB6OTYUAMMP879YW96 | 0.00000000 | 0.00000000 |
| #16 | Credit Suisse Securities (USA) LLC | 8-422 | 000000816 | LEI: 1V8Y6QCX6YMJ2OELII46 | 0.00000000 | 0.00000000 |
| #17 | Wedbush Securities Inc. | 8-12987 | 000000877 | LEI: 549300CSX55MXZ47EI78 | 0.00000000 | 0.00000000 |
| #18 | Virtu Americas LLC | 8-68193 | 000149823 | LEI: 549300RA02N3BNSWBV74 | 0.00000000 | 0.00000000 |
| #19 | BNP Paribas Prime Brokerage, Inc. | 8-40490 | 000024962 | LEI: 7VHWWWW4UJS7NUM3PT30 | 0.00000000 | 0.00000000 |
| #20 | Virtu Financial BD LLC | 8-68015 | 000148390 | LEI: 54930088MP91YZQJT494 | 0.00000000 | 0.00000000 |
| #21 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | LEI: 9R7GPTSO7KV3UQJZQ078 | 0.00000000 | 0.00000000 |
| #22 | J.P. Morgan Securities LLC/JPMC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | 17,714,860.00000000 | 36,578,179.00000000 |
| #23 | Nomura Securities International, Inc. | 8-15255 | 000004297 | LEI: OXTKY6Q8X53C9ILVV871 | 0.00000000 | 0.00000000 |
| #24 | Marex Capital Markets Inc. | 8-69039 | 000161014 | LEI: 5493006BWPDUCYG6EQ34 | 0.00000000 | 0.00000000 |
| #25 | ING Financial Markets LLC | 8-43978 | 000028872 | LEI: KBVRJ5K57JZ3E2AVWX40 | 0.00000000 | 0.00000000 |
| #26 | Cowen Execution Services LLC | 8-46838 | 000035693 | LEI: 5493005RJDJD18OPUP27 | 0.00000000 | 0.00000000 |
| #27 | ABN AMRO Clearing USA LLC | 8-34354 | 000014020 | LEI: 549300U16G4LU3V6C598 | 0.00000000 | 0.00000000 |
| #28 | Macquarie Capital (USA) Inc. | 8-47198 | 000036368 | LEI: 549300670K07JRB5UQ40 | 0.00000000 | 0.00000000 |
| #29 | Barclays Capital Inc. | 8-41342 | 000019714 | LEI: AC28XWWI3WIBK2824319 | 0.00000000 | 0.00000000 |
| #30 | Credit Suisse Securities (Europe) Limited | 8-000 | N/A | LEI: DL6FFRRLF74S01HE2M14 | 0.00000000 | 0.00000000 |
| #31 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | LEI: FOR8UP27PHTHYVLBNG30 | 13,686,684.00000000 | 0.00000000 |
| #32 | RBC Capital Markets, LLC | 8-45411 | 000031194 | LEI: 549300LCO2FLSSVFFR64 | 0.00000000 | 0.00000000 |
| #33 | UBS Securities LLC | 8-22651 | 000007654 | LEI: T6FIZBDPKLYJKFCRVK44 | 0.00000000 | 0.00000000 |
| #34 | Mizuho Securities USA LLC | 8-37710 | 000019647 | LEI: 7TK5RJIZDFROZCA6XF66 | 0.00000000 | 0.00000000 |
| #35 | Cantor Fitzgerald & Co. | 8-201 | 000000134 | LEI: 5493004J7H4GCPG6OB62 | 0.00000000 | 0.00000000 |
| #36 | Deutsche Bank Securities Inc. | 8-17822 | 000002525 | LEI: 9J6MBOOO7BECTDTUZW19 | 0.00000000 | 0.00000000 |
| #37 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | LEI: MBNUM2BPBDO7JBLYG310 | 0.00000000 | 0.00000000 |
| #38 | HRT Financial LP | 8-68430 | 000152144 | LEI: 21380037YFKONTT23854 | 0.00000000 | 0.00000000 |
| b. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ☒ Yes ☐ No |
| Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
| a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | |
| (for purchases) | 100,000.00000000 |
| (for redemptions, if different) |
| b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 0.00800000
%
|
| ii. The standard deviation of the percentage of value composed of cash: | 2.20275191
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.99200000
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 2.20275191
%
|
| c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 7.55400000
%
|
| ii. The standard deviation of the percentage of that value composed of cash: | 5.15947904
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 92.44600000
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 5.15947904
%
|
| d. For creation units purchased by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 800.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 800.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| e. For creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 800.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 800.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| a. Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ☐ Yes ☒ No |
| Exchange Record: 7 |
| Fund Name | VanEck High Yield Muni ETF |
| Security Exchange Record | Provide the name of the national securities exchange on which the Fund’s shares are listed | Provide the Fund's ticker symbol |
|---|---|---|
| #1 | CBOE STOCK EXCHANGE | HYD |
| Instructions. The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
| a. For each authorized participant of the Fund, provide the following information: |
| Authorized Participants Record | Full Name | SEC file number | CRD number | Identifying number(s) | The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period | The dollar value of the Fund shares the authorized participant redeemed during the reporting period |
|---|---|---|---|---|---|---|
| #1 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | LEI: MBNUM2BPBDO7JBLYG310 | 0.00000000 | 0.00000000 |
| #2 | Nomura Securities International, Inc. | 8-15255 | 000004297 | LEI: OXTKY6Q8X53C9ILVV871 | 0.00000000 | 0.00000000 |
| #3 | BNP Paribas Prime Brokerage, Inc. | 8-40490 | 000024962 | LEI: 7VHWWWW4UJS7NUM3PT30 | 0.00000000 | 0.00000000 |
| #4 | Credit Suisse Securities (Europe) Limited | 8-000 | N/A | LEI: DL6FFRRLF74S01HE2M14 | 0.00000000 | 0.00000000 |
| #5 | Merrill Lynch Professional Clearing Corp. | 8-33359 | 000016139 | LEI: 549300PMHS66E71I2D34 | 460,642,293.50000000 | 129,275,442.50000000 |
| #6 | ABN AMRO Clearing USA LLC | 8-34354 | 000014020 | LEI: 549300U16G4LU3V6C598 | 0.00000000 | 0.00000000 |
| #7 | HRT Financial LP | 8-68430 | 000152144 | LEI: 21380037YFKONTT23854 | 0.00000000 | 0.00000000 |
| #8 | Credit Suisse Securities (USA) LLC | 8-422 | 000000816 | LEI: 1V8Y6QCX6YMJ2OELII46 | 0.00000000 | 0.00000000 |
| #9 | J.P. Morgan Securities LLC/JPMC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | 0.00000000 | 0.00000000 |
| #10 | Deutsche Bank Securities Inc. | 8-17822 | 000002525 | LEI: 9J6MBOOO7BECTDTUZW19 | 0.00000000 | 0.00000000 |
| #11 | RBC Capital Markets, LLC | 8-45411 | 000031194 | LEI: 549300LCO2FLSSVFFR64 | 22,861,094.00000000 | 0.00000000 |
| #12 | Barclays Capital Inc. | 8-41342 | 000019714 | LEI: AC28XWWI3WIBK2824319 | 0.00000000 | 35,789,583.00000000 |
| #13 | MUFG Securities Americas Inc. | 8-43026 | 000019685 | LEI: K5HU16E3LMSVCCJJJ255 | 0.00000000 | 0.00000000 |
| #14 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | LEI: FOR8UP27PHTHYVLBNG30 | 88,253,429.00000000 | 184,046,029.00000000 |
| #15 | Jane Street Capital, LLC | 8-52275 | 000103782 | LEI: 549300ZM16HMPEPNV857 | 247,806,044.00000000 | 32,697,039.50000000 |
| #16 | BofA Securities, Inc. | 8-69787 | 000283942 | LEI: 549300HN4UKV1E2R3U73 | 0.00000000 | 0.00000000 |
| #17 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | LEI: 9R7GPTSO7KV3UQJZQ078 | 0.00000000 | 0.00000000 |
| #18 | Wedbush Securities Inc. | 8-12987 | 000000877 | LEI: 549300CSX55MXZ47EI78 | 7,788,147.50000000 | 20,668,832.00000000 |
| #19 | Macquarie Capital (USA) Inc. | 8-47198 | 000036368 | LEI: 549300670K07JRB5UQ40 | 32,514,230.50000000 | 12,790,713.50000000 |
| #20 | HSBC Securities (USA) Inc. | 8-41562 | 000019585 | LEI: CYYGQCGNHMHPSMRL3R97 | 0.00000000 | 0.00000000 |
| #21 | Virtu Americas LLC | 8-68193 | 000149823 | LEI: 549300RA02N3BNSWBV74 | 28,320,802.50000000 | 0.00000000 |
| #22 | BMO Capital Markets Corp. | 8-34344 | 000016686 | LEI: RUC0QBLBRPRCU4W1NE59 | 0.00000000 | 0.00000000 |
| #23 | Interactive Brokers LLC | 8-47257 | 000036418 | LEI: 50OBSE5T5521O6SMZR28 | 0.00000000 | 0.00000000 |
| #24 | UBS Securities LLC | 8-22651 | 000007654 | LEI: T6FIZBDPKLYJKFCRVK44 | 0.00000000 | 0.00000000 |
| #25 | Citadel Securities LLC | 8-53574 | 000116797 | LEI: 12UUJYTN7D3SW8KCSG25 | 0.00000000 | 0.00000000 |
| #26 | Cowen Execution Services LLC | 8-46838 | 000035693 | LEI: 5493005RJDJD18OPUP27 | 0.00000000 | 0.00000000 |
| #27 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | 0.00000000 | 0.00000000 |
| #28 | Jefferies LLC | 8-15074 | 000002347 | LEI: 58PU97L1C0WSRCWADL48 | 0.00000000 | 0.00000000 |
| #29 | BNP Paribas Securities Corp. | 8-32682 | 000015794 | LEI: RCNB6OTYUAMMP879YW96 | 0.00000000 | 0.00000000 |
| #30 | Cantor Fitzgerald & Co. | 8-201 | 000000134 | LEI: 5493004J7H4GCPG6OB62 | 0.00000000 | 0.00000000 |
| #31 | Marex Capital Markets Inc. | 8-69039 | 000161014 | LEI: 5493006BWPDUCYG6EQ34 | 0.00000000 | 0.00000000 |
| #32 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | LEI: VYVVCKR63DVZZN70PB21 | 0.00000000 | 0.00000000 |
| #33 | Pershing LLC | 8-17574 | 000007560 | LEI: ZI8Q1A8EI8LQFJNM0D94 | 81,080,370.50000000 | 15,406,064.00000000 |
| #34 | Natixis Securities Americas LLC | 8-719 | 000001101 | LEI: 549300L8G1E7ZHVEOG75 | 0.00000000 | 0.00000000 |
| #35 | Mizuho Securities USA LLC | 8-37710 | 000019647 | LEI: 7TK5RJIZDFROZCA6XF66 | 0.00000000 | 0.00000000 |
| #36 | SG Americas Securities, LLC | 8-66125 | 000128351 | LEI: 549300F35UE0BOM1WJ55 | 0.00000000 | 0.00000000 |
| #37 | ING Financial Markets LLC | 8-43978 | 000028872 | LEI: KBVRJ5K57JZ3E2AVWX40 | 0.00000000 | 0.00000000 |
| #38 | Virtu Financial BD LLC | 8-68015 | 000148390 | LEI: 54930088MP91YZQJT494 | 0.00000000 | 0.00000000 |
| b. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ☒ Yes ☐ No |
| Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
| a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | |
| (for purchases) | 50,000.00000000 |
| (for redemptions, if different) |
| b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 95.86945652
%
|
| ii. The standard deviation of the percentage of value composed of cash: | 19.48770467
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 4.13054347
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 19.48770467
%
|
| c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 40.11064516
%
|
| ii. The standard deviation of the percentage of that value composed of cash: | 50.94799542
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 59.88935483
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 50.94799542
%
|
| d. For creation units purchased by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 106.52173913 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.29923913
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 103.33333333 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.46261903
%
|
| e. For creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 187.09677419 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.21290323
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 128.12500000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.41250002
%
|
| a. Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ☐ Yes ☒ No |
| Exchange Record: 8 |
| Fund Name | VanEck Moody's Analytics IG Corporate Bond ETF |
| Security Exchange Record | Provide the name of the national securities exchange on which the Fund’s shares are listed | Provide the Fund's ticker symbol |
|---|---|---|
| #1 | CBOE STOCK EXCHANGE | MIG |
| Instructions. The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
| a. For each authorized participant of the Fund, provide the following information: |
| Authorized Participants Record | Full Name | SEC file number | CRD number | Identifying number(s) | The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period | The dollar value of the Fund shares the authorized participant redeemed during the reporting period |
|---|---|---|---|---|---|---|
| #1 | Marex Capital Markets Inc. | 8-69039 | 000161014 | LEI: 5493006BWPDUCYG6EQ34 | 0.00000000 | 0.00000000 |
| #2 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | 0.00000000 | 0.00000000 |
| #3 | Interactive Brokers LLC | 8-47257 | 000036418 | LEI: 50OBSE5T5521O6SMZR28 | 0.00000000 | 0.00000000 |
| #4 | UBS Securities LLC | 8-22651 | 000007654 | LEI: T6FIZBDPKLYJKFCRVK44 | 0.00000000 | 0.00000000 |
| #5 | J.P. Morgan Securities LLC/JPMC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | 0.00000000 | 0.00000000 |
| #6 | Credit Suisse Securities (USA) LLC | 8-422 | 000000816 | LEI: 1V8Y6QCX6YMJ2OELII46 | 0.00000000 | 0.00000000 |
| #7 | Virtu Americas LLC | 8-68193 | 000149823 | LEI: 549300RA02N3BNSWBV74 | 0.00000000 | 0.00000000 |
| #8 | Pershing LLC | 8-17574 | 000007560 | LEI: ZI8Q1A8EI8LQFJNM0D94 | 0.00000000 | 0.00000000 |
| #9 | SG Americas Securities, LLC | 8-66125 | 000128351 | LEI: 549300F35UE0BOM1WJ55 | 0.00000000 | 0.00000000 |
| #10 | Mizuho Securities USA LLC | 8-37710 | 000019647 | LEI: 7TK5RJIZDFROZCA6XF66 | 0.00000000 | 0.00000000 |
| #11 | Natixis Securities Americas LLC | 8-719 | 000001101 | LEI: 549300L8G1E7ZHVEOG75 | 0.00000000 | 0.00000000 |
| #12 | HSBC Securities (USA) Inc. | 8-41562 | 000019585 | LEI: CYYGQCGNHMHPSMRL3R97 | 0.00000000 | 0.00000000 |
| #13 | Credit Suisse Securities (Europe) Limited | 8-000 | N/A | LEI: DL6FFRRLF74S01HE2M14 | 0.00000000 | 0.00000000 |
| #14 | Wedbush Securities Inc. | 8-12987 | 000000877 | LEI: 549300CSX55MXZ47EI78 | 0.00000000 | 0.00000000 |
| #15 | Nomura Securities International, Inc. | 8-15255 | 000004297 | LEI: OXTKY6Q8X53C9ILVV871 | 0.00000000 | 0.00000000 |
| #16 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | LEI: 9R7GPTSO7KV3UQJZQ078 | 0.00000000 | 0.00000000 |
| #17 | HRT Financial LP | 8-68430 | 000152144 | LEI: 21380037YFKONTT23854 | 0.00000000 | 0.00000000 |
| #18 | Cantor Fitzgerald & Co. | 8-201 | 000000134 | LEI: 5493004J7H4GCPG6OB62 | 0.00000000 | 0.00000000 |
| #19 | Cowen Execution Services LLC | 8-46838 | 000035693 | LEI: 5493005RJDJD18OPUP27 | 0.00000000 | 0.00000000 |
| #20 | BofA Securities, Inc. | 8-69787 | 000283942 | LEI: 549300HN4UKV1E2R3U73 | 0.00000000 | 0.00000000 |
| #21 | ABN AMRO Clearing USA LLC | 8-34354 | 000014020 | LEI: 549300U16G4LU3V6C598 | 0.00000000 | 0.00000000 |
| #22 | MUFG Securities Americas Inc. | 8-43026 | 000019685 | LEI: K5HU16E3LMSVCCJJJ255 | 0.00000000 | 0.00000000 |
| #23 | ING Financial Markets LLC | 8-43978 | 000028872 | LEI: KBVRJ5K57JZ3E2AVWX40 | 0.00000000 | 0.00000000 |
| #24 | Merrill Lynch Professional Clearing Corp. | 8-33359 | 000016139 | LEI: 549300PMHS66E71I2D34 | 2,718,043.25000000 | 0.00000000 |
| #25 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | LEI: FOR8UP27PHTHYVLBNG30 | 5,330,145.00000000 | 0.00000000 |
| #26 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | LEI: VYVVCKR63DVZZN70PB21 | 0.00000000 | 0.00000000 |
| #27 | Jane Street Capital, LLC | 8-52275 | 000103782 | LEI: 549300ZM16HMPEPNV857 | 2,693,497.50000000 | 2,120,683.00000000 |
| #28 | Macquarie Capital (USA) Inc. | 8-47198 | 000036368 | LEI: 549300670K07JRB5UQ40 | 0.00000000 | 0.00000000 |
| #29 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | LEI: MBNUM2BPBDO7JBLYG310 | 0.00000000 | 0.00000000 |
| #30 | BNP Paribas Prime Brokerage, Inc. | 8-40490 | 000024962 | LEI: 7VHWWWW4UJS7NUM3PT30 | 0.00000000 | 0.00000000 |
| #31 | Jefferies LLC | 8-15074 | 000002347 | LEI: 58PU97L1C0WSRCWADL48 | 0.00000000 | 0.00000000 |
| #32 | BMO Capital Markets Corp. | 8-34344 | 000016686 | LEI: RUC0QBLBRPRCU4W1NE59 | 0.00000000 | 0.00000000 |
| #33 | RBC Capital Markets, LLC | 8-45411 | 000031194 | LEI: 549300LCO2FLSSVFFR64 | 0.00000000 | 0.00000000 |
| #34 | Virtu Financial BD LLC | 8-68015 | 000148390 | LEI: 54930088MP91YZQJT494 | 0.00000000 | 0.00000000 |
| #35 | BNP Paribas Securities Corp. | 8-32682 | 000015794 | LEI: RCNB6OTYUAMMP879YW96 | 0.00000000 | 0.00000000 |
| #36 | Deutsche Bank Securities Inc. | 8-17822 | 000002525 | LEI: 9J6MBOOO7BECTDTUZW19 | 0.00000000 | 0.00000000 |
| #37 | Citadel Securities LLC | 8-53574 | 000116797 | LEI: 12UUJYTN7D3SW8KCSG25 | 0.00000000 | 0.00000000 |
| #38 | Barclays Capital Inc. | 8-41342 | 000019714 | LEI: AC28XWWI3WIBK2824319 | 0.00000000 | 0.00000000 |
| b. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ☒ Yes ☐ No |
| Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
| a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | |
| (for purchases) | 25,000.00000000 |
| (for redemptions, if different) |
| b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 0.21333333
%
|
| ii. The standard deviation of the percentage of value composed of cash: | 1.59836027
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.78666666
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 1.59836027
%
|
| c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 2.55500000
%
|
| ii. The standard deviation of the percentage of that value composed of cash: | 3.74500000
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 97.44500000
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 3.74500000
%
|
| d. For creation units purchased by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 250.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 250.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| e. For creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 250.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 250.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| a. Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ☒ Yes ☐ No |
| Exchange Record: 9 |
| Fund Name | VanEck HIP Sustainable Muni ETF |
| Security Exchange Record | Provide the name of the national securities exchange on which the Fund’s shares are listed | Provide the Fund's ticker symbol |
|---|---|---|
| #1 | CBOE STOCK EXCHANGE | SMI |
| Instructions. The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
| a. For each authorized participant of the Fund, provide the following information: |
| Authorized Participants Record | Full Name | SEC file number | CRD number | Identifying number(s) | The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period | The dollar value of the Fund shares the authorized participant redeemed during the reporting period |
|---|---|---|---|---|---|---|
| #1 | SG Americas Securities, LLC | 8-66125 | 000128351 | LEI: 549300F35UE0BOM1WJ55 | 0.00000000 | 0.00000000 |
| #2 | Interactive Brokers LLC | 8-47257 | 000036418 | LEI: 50OBSE5T5521O6SMZR28 | 0.00000000 | 0.00000000 |
| #3 | ING Financial Markets LLC | 8-43978 | 000028872 | LEI: KBVRJ5K57JZ3E2AVWX40 | 0.00000000 | 0.00000000 |
| #4 | Pershing LLC | 8-17574 | 000007560 | LEI: ZI8Q1A8EI8LQFJNM0D94 | 0.00000000 | 0.00000000 |
| #5 | BNP Paribas Prime Brokerage, Inc. | 8-40490 | 000024962 | LEI: 7VHWWWW4UJS7NUM3PT30 | 0.00000000 | 0.00000000 |
| #6 | UBS Securities LLC | 8-22651 | 000007654 | LEI: T6FIZBDPKLYJKFCRVK44 | 0.00000000 | 0.00000000 |
| #7 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | LEI: MBNUM2BPBDO7JBLYG310 | 0.00000000 | 0.00000000 |
| #8 | Barclays Capital Inc. | 8-41342 | 000019714 | LEI: AC28XWWI3WIBK2824319 | 0.00000000 | 0.00000000 |
| #9 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | LEI: 9R7GPTSO7KV3UQJZQ078 | 0.00000000 | 0.00000000 |
| #10 | Merrill Lynch Professional Clearing Corp. | 8-33359 | 000016139 | LEI: 549300PMHS66E71I2D34 | 0.00000000 | 0.00000000 |
| #11 | HSBC Securities (USA) Inc. | 8-41562 | 000019585 | LEI: CYYGQCGNHMHPSMRL3R97 | 0.00000000 | 0.00000000 |
| #12 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | LEI: FOR8UP27PHTHYVLBNG30 | 0.00000000 | 0.00000000 |
| #13 | HRT Financial LP | 8-68430 | 000152144 | LEI: 21380037YFKONTT23854 | 0.00000000 | 0.00000000 |
| #14 | BofA Securities, Inc. | 8-69787 | 000283942 | LEI: 549300HN4UKV1E2R3U73 | 0.00000000 | 0.00000000 |
| #15 | Macquarie Capital (USA) Inc. | 8-47198 | 000036368 | LEI: 549300670K07JRB5UQ40 | 0.00000000 | 0.00000000 |
| #16 | BNP Paribas Securities Corp. | 8-32682 | 000015794 | LEI: RCNB6OTYUAMMP879YW96 | 0.00000000 | 0.00000000 |
| #17 | Deutsche Bank Securities Inc. | 8-17822 | 000002525 | LEI: 9J6MBOOO7BECTDTUZW19 | 0.00000000 | 0.00000000 |
| #18 | Cantor Fitzgerald & Co. | 8-201 | 000000134 | LEI: 5493004J7H4GCPG6OB62 | 0.00000000 | 0.00000000 |
| #19 | Nomura Securities International, Inc. | 8-15255 | 000004297 | LEI: OXTKY6Q8X53C9ILVV871 | 0.00000000 | 0.00000000 |
| #20 | Virtu Financial BD LLC | 8-68015 | 000148390 | LEI: 54930088MP91YZQJT494 | 0.00000000 | 0.00000000 |
| #21 | Wedbush Securities Inc. | 8-12987 | 000000877 | LEI: 549300CSX55MXZ47EI78 | 0.00000000 | 0.00000000 |
| #22 | Credit Suisse Securities (USA) LLC | 8-422 | 000000816 | LEI: 1V8Y6QCX6YMJ2OELII46 | 0.00000000 | 0.00000000 |
| #23 | Virtu Americas LLC | 8-68193 | 000149823 | LEI: 549300RA02N3BNSWBV74 | 0.00000000 | 0.00000000 |
| #24 | Jane Street Capital, LLC | 8-52275 | 000103782 | LEI: 549300ZM16HMPEPNV857 | 0.00000000 | 0.00000000 |
| #25 | Cowen Execution Services LLC | 8-46838 | 000035693 | LEI: 5493005RJDJD18OPUP27 | 0.00000000 | 0.00000000 |
| #26 | Natixis Securities Americas LLC | 8-719 | 000001101 | LEI: 549300L8G1E7ZHVEOG75 | 0.00000000 | 0.00000000 |
| #27 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | 0.00000000 | 0.00000000 |
| #28 | Marex Capital Markets Inc. | 8-69039 | 000161014 | LEI: 5493006BWPDUCYG6EQ34 | 0.00000000 | 0.00000000 |
| #29 | Mizuho Securities USA LLC | 8-37710 | 000019647 | LEI: 7TK5RJIZDFROZCA6XF66 | 0.00000000 | 0.00000000 |
| #30 | Jefferies LLC | 8-15074 | 000002347 | LEI: 58PU97L1C0WSRCWADL48 | 0.00000000 | 0.00000000 |
| #31 | BMO Capital Markets Corp. | 8-34344 | 000016686 | LEI: RUC0QBLBRPRCU4W1NE59 | 0.00000000 | 0.00000000 |
| #32 | J.P. Morgan Securities LLC/JPMC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | 0.00000000 | 6,904,446.00000000 |
| #33 | Citadel Securities LLC | 8-53574 | 000116797 | LEI: 12UUJYTN7D3SW8KCSG25 | 0.00000000 | 0.00000000 |
| #34 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | LEI: VYVVCKR63DVZZN70PB21 | 0.00000000 | 0.00000000 |
| #35 | MUFG Securities Americas Inc. | 8-43026 | 000019685 | LEI: K5HU16E3LMSVCCJJJ255 | 0.00000000 | 0.00000000 |
| #36 | ABN AMRO Clearing USA LLC | 8-34354 | 000014020 | LEI: 549300U16G4LU3V6C598 | 0.00000000 | 0.00000000 |
| #37 | Credit Suisse Securities (Europe) Limited | 8-000 | N/A | LEI: DL6FFRRLF74S01HE2M14 | 0.00000000 | 0.00000000 |
| #38 | RBC Capital Markets, LLC | 8-45411 | 000031194 | LEI: 549300LCO2FLSSVFFR64 | 0.00000000 | 0.00000000 |
| b. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ☐ Yes ☒ No |
| Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
| a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | |
| (for purchases) | 50,000.00000000 |
| (for redemptions, if different) |
| b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 0.00000000
%
|
| ii. The standard deviation of the percentage of value composed of cash: | 0.00000000
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000
%
|
| c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 100.00000000
%
|
| ii. The standard deviation of the percentage of that value composed of cash: | 0.00000000
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000
%
|
| d. For creation units purchased by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 0.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 0.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| e. For creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 0.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.10000005
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 0.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.10000005
%
|
| a. Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ☐ Yes ☒ No |
| Exchange Record: 10 |
| Fund Name | VanEck IG Floating Rate ETF |
| Security Exchange Record | Provide the name of the national securities exchange on which the Fund’s shares are listed | Provide the Fund's ticker symbol |
|---|---|---|
| #1 | NYSE ARCA | FLTR |
| Instructions. The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
| a. For each authorized participant of the Fund, provide the following information: |
| Authorized Participants Record | Full Name | SEC file number | CRD number | Identifying number(s) | The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period | The dollar value of the Fund shares the authorized participant redeemed during the reporting period |
|---|---|---|---|---|---|---|
| #1 | Macquarie Capital (USA) Inc. | 8-47198 | 000036368 | LEI: 549300670K07JRB5UQ40 | 0.00000000 | 0.00000000 |
| #2 | Jane Street Capital, LLC | 8-52275 | 000103782 | LEI: 549300ZM16HMPEPNV857 | 78,752,758.50000000 | 38,041,122.00000000 |
| #3 | BofA Securities, Inc. | 8-69787 | 000283942 | LEI: 549300HN4UKV1E2R3U73 | 0.00000000 | 0.00000000 |
| #4 | BMO Capital Markets Corp. | 8-34344 | 000016686 | LEI: RUC0QBLBRPRCU4W1NE59 | 0.00000000 | 0.00000000 |
| #5 | Cowen Execution Services LLC | 8-46838 | 000035693 | LEI: 5493005RJDJD18OPUP27 | 0.00000000 | 0.00000000 |
| #6 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | LEI: MBNUM2BPBDO7JBLYG310 | 0.00000000 | 0.00000000 |
| #7 | Deutsche Bank Securities Inc. | 8-17822 | 000002525 | LEI: 9J6MBOOO7BECTDTUZW19 | 0.00000000 | 0.00000000 |
| #8 | Marex Capital Markets Inc. | 8-69039 | 000161014 | LEI: 5493006BWPDUCYG6EQ34 | 0.00000000 | 0.00000000 |
| #9 | MUFG Securities Americas Inc. | 8-43026 | 000019685 | LEI: K5HU16E3LMSVCCJJJ255 | 0.00000000 | 0.00000000 |
| #10 | HSBC Securities (USA) Inc. | 8-41562 | 000019585 | LEI: CYYGQCGNHMHPSMRL3R97 | 0.00000000 | 0.00000000 |
| #11 | Nomura Securities International, Inc. | 8-15255 | 000004297 | LEI: OXTKY6Q8X53C9ILVV871 | 0.00000000 | 0.00000000 |
| #12 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | LEI: VYVVCKR63DVZZN70PB21 | 0.00000000 | 0.00000000 |
| #13 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | LEI: 9R7GPTSO7KV3UQJZQ078 | 0.00000000 | 0.00000000 |
| #14 | Virtu Americas LLC | 8-68193 | 000149823 | LEI: 549300RA02N3BNSWBV74 | 50,887,188.50000000 | 0.00000000 |
| #15 | Merrill Lynch Professional Clearing Corp. | 8-33359 | 000016139 | LEI: 549300PMHS66E71I2D34 | 5,085,024.00000000 | 0.00000000 |
| #16 | Pershing LLC | 8-17574 | 000007560 | LEI: ZI8Q1A8EI8LQFJNM0D94 | 1,270,178.00000000 | 0.00000000 |
| #17 | Natixis Securities Americas LLC | 8-719 | 000001101 | LEI: 549300L8G1E7ZHVEOG75 | 0.00000000 | 0.00000000 |
| #18 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | 0.00000000 | 0.00000000 |
| #19 | ING Financial Markets LLC | 8-43978 | 000028872 | LEI: KBVRJ5K57JZ3E2AVWX40 | 0.00000000 | 0.00000000 |
| #20 | UBS Securities LLC | 8-22651 | 000007654 | LEI: T6FIZBDPKLYJKFCRVK44 | 0.00000000 | 0.00000000 |
| #21 | HRT Financial LP | 8-68430 | 000152144 | LEI: 21380037YFKONTT23854 | 0.00000000 | 0.00000000 |
| #22 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | LEI: FOR8UP27PHTHYVLBNG30 | 129,695,377.00000000 | 13,928,793.50000000 |
| #23 | SG Americas Securities, LLC | 8-66125 | 000128351 | LEI: 549300F35UE0BOM1WJ55 | 0.00000000 | 0.00000000 |
| #24 | Credit Suisse Securities (Europe) Limited | 8-000 | N/A | LEI: DL6FFRRLF74S01HE2M14 | 0.00000000 | 0.00000000 |
| #25 | Interactive Brokers LLC | 8-47257 | 000036418 | LEI: 50OBSE5T5521O6SMZR28 | 0.00000000 | 0.00000000 |
| #26 | RBC Capital Markets, LLC | 8-45411 | 000031194 | LEI: 549300LCO2FLSSVFFR64 | 0.00000000 | 0.00000000 |
| #27 | Barclays Capital Inc. | 8-41342 | 000019714 | LEI: AC28XWWI3WIBK2824319 | 0.00000000 | 0.00000000 |
| #28 | Mizuho Securities USA LLC | 8-37710 | 000019647 | LEI: 7TK5RJIZDFROZCA6XF66 | 0.00000000 | 0.00000000 |
| #29 | Credit Suisse Securities (USA) LLC | 8-422 | 000000816 | LEI: 1V8Y6QCX6YMJ2OELII46 | 0.00000000 | 0.00000000 |
| #30 | Virtu Financial BD LLC | 8-68015 | 000148390 | LEI: 54930088MP91YZQJT494 | 0.00000000 | 0.00000000 |
| #31 | ABN AMRO Clearing USA LLC | 8-34354 | 000014020 | LEI: 549300U16G4LU3V6C598 | 0.00000000 | 0.00000000 |
| #32 | Jefferies LLC | 8-15074 | 000002347 | LEI: 58PU97L1C0WSRCWADL48 | 0.00000000 | 0.00000000 |
| #33 | Wedbush Securities Inc. | 8-12987 | 000000877 | LEI: 549300CSX55MXZ47EI78 | 0.00000000 | 0.00000000 |
| #34 | Cantor Fitzgerald & Co. | 8-201 | 000000134 | LEI: 5493004J7H4GCPG6OB62 | 0.00000000 | 0.00000000 |
| #35 | BNP Paribas Securities Corp. | 8-32682 | 000015794 | LEI: RCNB6OTYUAMMP879YW96 | 0.00000000 | 0.00000000 |
| #36 | J.P. Morgan Securities LLC/JPMC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | 852,101,007.00000000 | 253,637,465.50000000 |
| #37 | BNP Paribas Prime Brokerage, Inc. | 8-40490 | 000024962 | LEI: 7VHWWWW4UJS7NUM3PT30 | 0.00000000 | 0.00000000 |
| #38 | Citadel Securities LLC | 8-53574 | 000116797 | LEI: 12UUJYTN7D3SW8KCSG25 | 0.00000000 | 0.00000000 |
| b. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ☒ Yes ☐ No |
| Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
| a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | |
| (for purchases) | 50,000.00000000 |
| (for redemptions, if different) |
| b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 17.77790123
%
|
| ii. The standard deviation of the percentage of value composed of cash: | 38.93570926
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 82.22209876
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 38.93570926
%
|
| c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 3.60846153
%
|
| ii. The standard deviation of the percentage of that value composed of cash: | 5.62657683
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 96.39153846
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 5.62657683
%
|
| d. For creation units purchased by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 182.71604938 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 139.13043478 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| e. For creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 200.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 200.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| a. Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ☒ Yes ☐ No |
| Exchange Record: 11 |
| Fund Name | VanEck Green Bond ETF |
| Security Exchange Record | Provide the name of the national securities exchange on which the Fund’s shares are listed | Provide the Fund's ticker symbol |
|---|---|---|
| #1 | NYSE ARCA | GRNB |
| Instructions. The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
| a. For each authorized participant of the Fund, provide the following information: |
| Authorized Participants Record | Full Name | SEC file number | CRD number | Identifying number(s) | The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period | The dollar value of the Fund shares the authorized participant redeemed during the reporting period |
|---|---|---|---|---|---|---|
| #1 | Deutsche Bank Securities Inc. | 8-17822 | 000002525 | LEI: 9J6MBOOO7BECTDTUZW19 | 0.00000000 | 0.00000000 |
| #2 | BNP Paribas Securities Corp. | 8-32682 | 000015794 | LEI: RCNB6OTYUAMMP879YW96 | 0.00000000 | 0.00000000 |
| #3 | Mizuho Securities USA LLC | 8-37710 | 000019647 | LEI: 7TK5RJIZDFROZCA6XF66 | 0.00000000 | 0.00000000 |
| #4 | Credit Suisse Securities (USA) LLC | 8-422 | 000000816 | LEI: 1V8Y6QCX6YMJ2OELII46 | 0.00000000 | 0.00000000 |
| #5 | Macquarie Capital (USA) Inc. | 8-47198 | 000036368 | LEI: 549300670K07JRB5UQ40 | 0.00000000 | 0.00000000 |
| #6 | RBC Capital Markets, LLC | 8-45411 | 000031194 | LEI: 549300LCO2FLSSVFFR64 | 0.00000000 | 0.00000000 |
| #7 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | LEI: FOR8UP27PHTHYVLBNG30 | 0.00000000 | 0.00000000 |
| #8 | Credit Suisse Securities (Europe) Limited | 8-000 | N/A | LEI: DL6FFRRLF74S01HE2M14 | 0.00000000 | 0.00000000 |
| #9 | BofA Securities, Inc. | 8-69787 | 000283942 | LEI: 549300HN4UKV1E2R3U73 | 0.00000000 | 0.00000000 |
| #10 | BNP Paribas Prime Brokerage, Inc. | 8-40490 | 000024962 | LEI: 7VHWWWW4UJS7NUM3PT30 | 0.00000000 | 0.00000000 |
| #11 | ABN AMRO Clearing USA LLC | 8-34354 | 000014020 | LEI: 549300U16G4LU3V6C598 | 0.00000000 | 0.00000000 |
| #12 | HSBC Securities (USA) Inc. | 8-41562 | 000019585 | LEI: CYYGQCGNHMHPSMRL3R97 | 0.00000000 | 0.00000000 |
| #13 | Barclays Capital Inc. | 8-41342 | 000019714 | LEI: AC28XWWI3WIBK2824319 | 0.00000000 | 0.00000000 |
| #14 | Virtu Financial BD LLC | 8-68015 | 000148390 | LEI: 54930088MP91YZQJT494 | 0.00000000 | 0.00000000 |
| #15 | J.P. Morgan Securities LLC/JPMC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | 0.00000000 | 0.00000000 |
| #16 | Pershing LLC | 8-17574 | 000007560 | LEI: ZI8Q1A8EI8LQFJNM0D94 | 0.00000000 | 0.00000000 |
| #17 | MUFG Securities Americas Inc. | 8-43026 | 000019685 | LEI: K5HU16E3LMSVCCJJJ255 | 0.00000000 | 0.00000000 |
| #18 | HRT Financial LP | 8-68430 | 000152144 | LEI: 21380037YFKONTT23854 | 0.00000000 | 0.00000000 |
| #19 | Jane Street Capital, LLC | 8-52275 | 000103782 | LEI: 549300ZM16HMPEPNV857 | 28,717,614.00000000 | 0.00000000 |
| #20 | Cowen Execution Services LLC | 8-46838 | 000035693 | LEI: 5493005RJDJD18OPUP27 | 0.00000000 | 0.00000000 |
| #21 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | LEI: 9R7GPTSO7KV3UQJZQ078 | 0.00000000 | 0.00000000 |
| #22 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | 0.00000000 | 0.00000000 |
| #23 | Interactive Brokers LLC | 8-47257 | 000036418 | LEI: 50OBSE5T5521O6SMZR28 | 0.00000000 | 0.00000000 |
| #24 | Virtu Americas LLC | 8-68193 | 000149823 | LEI: 549300RA02N3BNSWBV74 | 0.00000000 | 0.00000000 |
| #25 | Wedbush Securities Inc. | 8-12987 | 000000877 | LEI: 549300CSX55MXZ47EI78 | 0.00000000 | 0.00000000 |
| #26 | UBS Securities LLC | 8-22651 | 000007654 | LEI: T6FIZBDPKLYJKFCRVK44 | 0.00000000 | 0.00000000 |
| #27 | ING Financial Markets LLC | 8-43978 | 000028872 | LEI: KBVRJ5K57JZ3E2AVWX40 | 0.00000000 | 0.00000000 |
| #28 | Citadel Securities LLC | 8-53574 | 000116797 | LEI: 12UUJYTN7D3SW8KCSG25 | 0.00000000 | 0.00000000 |
| #29 | Jefferies LLC | 8-15074 | 000002347 | LEI: 58PU97L1C0WSRCWADL48 | 0.00000000 | 0.00000000 |
| #30 | Cantor Fitzgerald & Co. | 8-201 | 000000134 | LEI: 5493004J7H4GCPG6OB62 | 0.00000000 | 0.00000000 |
| #31 | SG Americas Securities, LLC | 8-66125 | 000128351 | LEI: 549300F35UE0BOM1WJ55 | 0.00000000 | 0.00000000 |
| #32 | BMO Capital Markets Corp. | 8-34344 | 000016686 | LEI: RUC0QBLBRPRCU4W1NE59 | 0.00000000 | 0.00000000 |
| #33 | Natixis Securities Americas LLC | 8-719 | 000001101 | LEI: 549300L8G1E7ZHVEOG75 | 0.00000000 | 0.00000000 |
| #34 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | LEI: VYVVCKR63DVZZN70PB21 | 0.00000000 | 0.00000000 |
| #35 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | LEI: MBNUM2BPBDO7JBLYG310 | 0.00000000 | 0.00000000 |
| #36 | Nomura Securities International, Inc. | 8-15255 | 000004297 | LEI: OXTKY6Q8X53C9ILVV871 | 0.00000000 | 0.00000000 |
| #37 | Merrill Lynch Professional Clearing Corp. | 8-33359 | 000016139 | LEI: 549300PMHS66E71I2D34 | 2,420,551.00000000 | 0.00000000 |
| #38 | Marex Capital Markets Inc. | 8-69039 | 000161014 | LEI: 5493006BWPDUCYG6EQ34 | 0.00000000 | 0.00000000 |
| b. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ☒ Yes ☐ No |
| Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
| a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | |
| (for purchases) | 50,000.00000000 |
| (for redemptions, if different) |
| b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 7.30500000
%
|
| ii. The standard deviation of the percentage of value composed of cash: | 16.47427050
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 92.69500000
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 16.47427050
%
|
| c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 0.00000000
%
|
| ii. The standard deviation of the percentage of that value composed of cash: | 0.00000000
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000
%
|
| d. For creation units purchased by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 500.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 500.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| e. For creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 0.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 0.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| a. Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ☐ Yes ☒ No |
| Exchange Record: 12 |
| Fund Name | VanEck Short High Yield Muni ETF |
| Security Exchange Record | Provide the name of the national securities exchange on which the Fund’s shares are listed | Provide the Fund's ticker symbol |
|---|---|---|
| #1 | CBOE STOCK EXCHANGE | SHYD |
| Instructions. The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
| a. For each authorized participant of the Fund, provide the following information: |
| Authorized Participants Record | Full Name | SEC file number | CRD number | Identifying number(s) | The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period | The dollar value of the Fund shares the authorized participant redeemed during the reporting period |
|---|---|---|---|---|---|---|
| #1 | ING Financial Markets LLC | 8-43978 | 000028872 | LEI: KBVRJ5K57JZ3E2AVWX40 | 0.00000000 | 0.00000000 |
| #2 | BofA Securities, Inc. | 8-69787 | 000283942 | LEI: 549300HN4UKV1E2R3U73 | 0.00000000 | 0.00000000 |
| #3 | Nomura Securities International, Inc. | 8-15255 | 000004297 | LEI: OXTKY6Q8X53C9ILVV871 | 0.00000000 | 0.00000000 |
| #4 | Macquarie Capital (USA) Inc. | 8-47198 | 000036368 | LEI: 549300670K07JRB5UQ40 | 1,132,214.00000000 | 0.00000000 |
| #5 | HRT Financial LP | 8-68430 | 000152144 | LEI: 21380037YFKONTT23854 | 0.00000000 | 0.00000000 |
| #6 | BNP Paribas Prime Brokerage, Inc. | 8-40490 | 000024962 | LEI: 7VHWWWW4UJS7NUM3PT30 | 0.00000000 | 0.00000000 |
| #7 | Natixis Securities Americas LLC | 8-719 | 000001101 | LEI: 549300L8G1E7ZHVEOG75 | 0.00000000 | 0.00000000 |
| #8 | Jefferies LLC | 8-15074 | 000002347 | LEI: 58PU97L1C0WSRCWADL48 | 0.00000000 | 0.00000000 |
| #9 | Wedbush Securities Inc. | 8-12987 | 000000877 | LEI: 549300CSX55MXZ47EI78 | 0.00000000 | 0.00000000 |
| #10 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | LEI: FOR8UP27PHTHYVLBNG30 | 3,393,757.50000000 | 6,840,846.00000000 |
| #11 | Cowen Execution Services LLC | 8-46838 | 000035693 | LEI: 5493005RJDJD18OPUP27 | 0.00000000 | 0.00000000 |
| #12 | Credit Suisse Securities (USA) LLC | 8-422 | 000000816 | LEI: 1V8Y6QCX6YMJ2OELII46 | 0.00000000 | 0.00000000 |
| #13 | UBS Securities LLC | 8-22651 | 000007654 | LEI: T6FIZBDPKLYJKFCRVK44 | 0.00000000 | 0.00000000 |
| #14 | RBC Capital Markets, LLC | 8-45411 | 000031194 | LEI: 549300LCO2FLSSVFFR64 | 0.00000000 | 0.00000000 |
| #15 | Interactive Brokers LLC | 8-47257 | 000036418 | LEI: 50OBSE5T5521O6SMZR28 | 0.00000000 | 0.00000000 |
| #16 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | LEI: MBNUM2BPBDO7JBLYG310 | 0.00000000 | 0.00000000 |
| #17 | Jane Street Capital, LLC | 8-52275 | 000103782 | LEI: 549300ZM16HMPEPNV857 | 9,046,997.00000000 | 0.00000000 |
| #18 | Virtu Financial BD LLC | 8-68015 | 000148390 | LEI: 54930088MP91YZQJT494 | 0.00000000 | 0.00000000 |
| #19 | Citadel Securities LLC | 8-53574 | 000116797 | LEI: 12UUJYTN7D3SW8KCSG25 | 0.00000000 | 0.00000000 |
| #20 | ABN AMRO Clearing USA LLC | 8-34354 | 000014020 | LEI: 549300U16G4LU3V6C598 | 0.00000000 | 0.00000000 |
| #21 | Deutsche Bank Securities Inc. | 8-17822 | 000002525 | LEI: 9J6MBOOO7BECTDTUZW19 | 0.00000000 | 0.00000000 |
| #22 | HSBC Securities (USA) Inc. | 8-41562 | 000019585 | LEI: CYYGQCGNHMHPSMRL3R97 | 0.00000000 | 0.00000000 |
| #23 | Virtu Americas LLC | 8-68193 | 000149823 | LEI: 549300RA02N3BNSWBV74 | 0.00000000 | 0.00000000 |
| #24 | Marex Capital Markets Inc. | 8-69039 | 000161014 | LEI: 5493006BWPDUCYG6EQ34 | 0.00000000 | 0.00000000 |
| #25 | MUFG Securities Americas Inc. | 8-43026 | 000019685 | LEI: K5HU16E3LMSVCCJJJ255 | 0.00000000 | 0.00000000 |
| #26 | Merrill Lynch Professional Clearing Corp. | 8-33359 | 000016139 | LEI: 549300PMHS66E71I2D34 | 4,522,087.50000000 | 1,133,438.00000000 |
| #27 | Barclays Capital Inc. | 8-41342 | 000019714 | LEI: AC28XWWI3WIBK2824319 | 0.00000000 | 0.00000000 |
| #28 | Cantor Fitzgerald & Co. | 8-201 | 000000134 | LEI: 5493004J7H4GCPG6OB62 | 0.00000000 | 0.00000000 |
| #29 | BMO Capital Markets Corp. | 8-34344 | 000016686 | LEI: RUC0QBLBRPRCU4W1NE59 | 0.00000000 | 0.00000000 |
| #30 | SG Americas Securities, LLC | 8-66125 | 000128351 | LEI: 549300F35UE0BOM1WJ55 | 0.00000000 | 0.00000000 |
| #31 | BNP Paribas Securities Corp. | 8-32682 | 000015794 | LEI: RCNB6OTYUAMMP879YW96 | 0.00000000 | 0.00000000 |
| #32 | Credit Suisse Securities (Europe) Limited | 8-000 | N/A | LEI: DL6FFRRLF74S01HE2M14 | 0.00000000 | 0.00000000 |
| #33 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | LEI: 9R7GPTSO7KV3UQJZQ078 | 0.00000000 | 0.00000000 |
| #34 | J.P. Morgan Securities LLC/JPMC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | 0.00000000 | 0.00000000 |
| #35 | Mizuho Securities USA LLC | 8-37710 | 000019647 | LEI: 7TK5RJIZDFROZCA6XF66 | 0.00000000 | 0.00000000 |
| #36 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | 0.00000000 | 0.00000000 |
| #37 | Pershing LLC | 8-17574 | 000007560 | LEI: ZI8Q1A8EI8LQFJNM0D94 | 0.00000000 | 13,523,766.00000000 |
| #38 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | LEI: VYVVCKR63DVZZN70PB21 | 0.00000000 | 0.00000000 |
| b. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ☒ Yes ☐ No |
| Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
| a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | |
| (for purchases) | 50,000.00000000 |
| (for redemptions, if different) |
| b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 100.00000000
%
|
| ii. The standard deviation of the percentage of value composed of cash: | 0.00000000
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000
%
|
| c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 41.04400000
%
|
| ii. The standard deviation of the percentage of that value composed of cash: | 48.14402916
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 58.95600000
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 48.14402916
%
|
| d. For creation units purchased by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 100.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.26666659
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 100.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.26666659
%
|
| e. For creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 220.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.22000002
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 220.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.22000002
%
|
| a. Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ☐ Yes ☒ No |
| Exchange Record: 13 |
| Fund Name | VanEck Short Muni ETF |
| Security Exchange Record | Provide the name of the national securities exchange on which the Fund’s shares are listed | Provide the Fund's ticker symbol |
|---|---|---|
| #1 | CBOE STOCK EXCHANGE | SMB |
| Instructions. The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
| a. For each authorized participant of the Fund, provide the following information: |
| Authorized Participants Record | Full Name | SEC file number | CRD number | Identifying number(s) | The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period | The dollar value of the Fund shares the authorized participant redeemed during the reporting period |
|---|---|---|---|---|---|---|
| #1 | BNP Paribas Securities Corp. | 8-32682 | 000015794 | LEI: RCNB6OTYUAMMP879YW96 | 0.00000000 | 0.00000000 |
| #2 | UBS Securities LLC | 8-22651 | 000007654 | LEI: T6FIZBDPKLYJKFCRVK44 | 0.00000000 | 0.00000000 |
| #3 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | LEI: MBNUM2BPBDO7JBLYG310 | 0.00000000 | 0.00000000 |
| #4 | Mizuho Securities USA LLC | 8-37710 | 000019647 | LEI: 7TK5RJIZDFROZCA6XF66 | 0.00000000 | 0.00000000 |
| #5 | ING Financial Markets LLC | 8-43978 | 000028872 | LEI: KBVRJ5K57JZ3E2AVWX40 | 0.00000000 | 0.00000000 |
| #6 | Natixis Securities Americas LLC | 8-719 | 000001101 | LEI: 549300L8G1E7ZHVEOG75 | 0.00000000 | 0.00000000 |
| #7 | SG Americas Securities, LLC | 8-66125 | 000128351 | LEI: 549300F35UE0BOM1WJ55 | 0.00000000 | 0.00000000 |
| #8 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | LEI: VYVVCKR63DVZZN70PB21 | 0.00000000 | 0.00000000 |
| #9 | J.P. Morgan Securities LLC/JPMC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | 0.00000000 | 0.00000000 |
| #10 | Wedbush Securities Inc. | 8-12987 | 000000877 | LEI: 549300CSX55MXZ47EI78 | 0.00000000 | 0.00000000 |
| #11 | BMO Capital Markets Corp. | 8-34344 | 000016686 | LEI: RUC0QBLBRPRCU4W1NE59 | 0.00000000 | 0.00000000 |
| #12 | Pershing LLC | 8-17574 | 000007560 | LEI: ZI8Q1A8EI8LQFJNM0D94 | 0.00000000 | 0.00000000 |
| #13 | BofA Securities, Inc. | 8-69787 | 000283942 | LEI: 549300HN4UKV1E2R3U73 | 0.00000000 | 0.00000000 |
| #14 | Cantor Fitzgerald & Co. | 8-201 | 000000134 | LEI: 5493004J7H4GCPG6OB62 | 0.00000000 | 0.00000000 |
| #15 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | LEI: ZBUT11V806EZRVTWT807 | 0.00000000 | 0.00000000 |
| #16 | Virtu Financial BD LLC | 8-68015 | 000148390 | LEI: 54930088MP91YZQJT494 | 0.00000000 | 0.00000000 |
| #17 | Macquarie Capital (USA) Inc. | 8-47198 | 000036368 | LEI: 549300670K07JRB5UQ40 | 0.00000000 | 0.00000000 |
| #18 | BNP Paribas Prime Brokerage, Inc. | 8-40490 | 000024962 | LEI: 7VHWWWW4UJS7NUM3PT30 | 0.00000000 | 0.00000000 |
| #19 | Credit Suisse Securities (USA) LLC | 8-422 | 000000816 | LEI: 1V8Y6QCX6YMJ2OELII46 | 0.00000000 | 0.00000000 |
| #20 | RBC Capital Markets, LLC | 8-45411 | 000031194 | LEI: 549300LCO2FLSSVFFR64 | 0.00000000 | 0.00000000 |
| #21 | Jefferies LLC | 8-15074 | 000002347 | LEI: 58PU97L1C0WSRCWADL48 | 0.00000000 | 0.00000000 |
| #22 | Barclays Capital Inc. | 8-41342 | 000019714 | LEI: AC28XWWI3WIBK2824319 | 0.00000000 | 0.00000000 |
| #23 | Interactive Brokers LLC | 8-47257 | 000036418 | LEI: 50OBSE5T5521O6SMZR28 | 0.00000000 | 0.00000000 |
| #24 | Deutsche Bank Securities Inc. | 8-17822 | 000002525 | LEI: 9J6MBOOO7BECTDTUZW19 | 0.00000000 | 0.00000000 |
| #25 | Marex Capital Markets Inc. | 8-69039 | 000161014 | LEI: 5493006BWPDUCYG6EQ34 | 0.00000000 | 0.00000000 |
| #26 | MUFG Securities Americas Inc. | 8-43026 | 000019685 | LEI: K5HU16E3LMSVCCJJJ255 | 0.00000000 | 0.00000000 |
| #27 | Virtu Americas LLC | 8-68193 | 000149823 | LEI: 549300RA02N3BNSWBV74 | 1,707,836.00000000 | 0.00000000 |
| #28 | Merrill Lynch Professional Clearing Corp. | 8-33359 | 000016139 | LEI: 549300PMHS66E71I2D34 | 2,580,264.00000000 | 0.00000000 |
| #29 | Nomura Securities International, Inc. | 8-15255 | 000004297 | LEI: OXTKY6Q8X53C9ILVV871 | 0.00000000 | 0.00000000 |
| #30 | Citadel Securities LLC | 8-53574 | 000116797 | LEI: 12UUJYTN7D3SW8KCSG25 | 0.00000000 | 0.00000000 |
| #31 | Credit Suisse Securities (Europe) Limited | 8-000 | N/A | LEI: DL6FFRRLF74S01HE2M14 | 0.00000000 | 0.00000000 |
| #32 | Cowen Execution Services LLC | 8-46838 | 000035693 | LEI: 5493005RJDJD18OPUP27 | 0.00000000 | 0.00000000 |
| #33 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | LEI: 9R7GPTSO7KV3UQJZQ078 | 0.00000000 | 0.00000000 |
| #34 | HSBC Securities (USA) Inc. | 8-41562 | 000019585 | LEI: CYYGQCGNHMHPSMRL3R97 | 0.00000000 | 0.00000000 |
| #35 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | LEI: FOR8UP27PHTHYVLBNG30 | 1,715,348.00000000 | 18,042,693.50000000 |
| #36 | Jane Street Capital, LLC | 8-52275 | 000103782 | LEI: 549300ZM16HMPEPNV857 | 21,450,453.50000000 | 0.00000000 |
| #37 | HRT Financial LP | 8-68430 | 000152144 | LEI: 21380037YFKONTT23854 | 0.00000000 | 0.00000000 |
| #38 | ABN AMRO Clearing USA LLC | 8-34354 | 000014020 | LEI: 549300U16G4LU3V6C598 | 0.00000000 | 0.00000000 |
| b. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ☒ Yes ☐ No |
| Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
| a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | |
| (for purchases) | 50,000.00000000 |
| (for redemptions, if different) |
| b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 100.00000000
%
|
| ii. The standard deviation of the percentage of value composed of cash: | 0.00000000
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000
%
|
| c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | -6.55500000
%
|
| ii. The standard deviation of the percentage of that value composed of cash: | 3.55500000
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 106.55500000
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 3.55500000
%
|
| d. For creation units purchased by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 100.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.03541673
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 100.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.03541673
%
|
| e. For creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 250.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units redeemed on the same day, if charged on that basis: | 0.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| a. Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ☒ Yes ☐ No |
| a. 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 |
| Instructions. 1. Item G.1.a.i. Legal proceedings. (a) If the Registrant responded "YES" to Item B.11.a., provide a brief description of the proceedings. As part of the description, provide the case or docket number (if any), and the full names of the principal parties to the proceeding. (b) If the Registrant responded "YES" to Item B.11.b., identify the proceeding and give its date of termination. 2. Item G.1.a.ii. Provision of financial support. If the Registrant responded "YES" to Item B.14., provide the following information (unless the Registrant is a Money Market Fund): (a) Description of nature of support. (b) Person providing support. (c) Brief description of relationship between the person providing support and the Registrant. (d) Date support provided. (e) Amount of support. (f) Security supported (if applicable). Disclose the full name of the issuer, the title of the issue (including coupon or yield, if applicable) and at least two identifiers, if available (e.g., CIK, CUSIP, ISIN, LEI). (g) Value of security supported on date support was initiated (if applicable). (h) Brief description of reason for support. (i) Term of support. (j) Brief description of any contractual restrictions relating to support. 3. Item G.1.a.iii. Independent public accountant's report on internal control (management investment companies other than small business investment companies only). Each management investment company shall furnish a report of its independent public accountant on the company's system of internal accounting controls. The accountant's report shall be based on the review, study and evaluation of the accounting system, internal accounting controls, and procedures for safeguarding securities made during the audit of the financial statements for the reporting period. The report should disclose any material weaknesses in: (a) the accounting system; (b) system of internal accounting control; or (c) procedures for safeguarding securities which exist as of the end of the Registrant's fiscal year. The accountant's report shall be furnished as an exhibit to the form and shall: (1) be addressed to the Registrant's shareholders and board of directors; (2) be dated; (3) be signed manually; and (4) indicate the city and state where issued. Attachments that include a report that discloses a material weakness should include an indication by the Registrant of any corrective action taken or proposed. The fact that an accountant's report is attached to this form shall not be regarded as acknowledging any review of this form by the independent public accountant. 4. Item G.1.a.iv. Change in accounting principles and practices. If the Registrant responded "YES" to Item B.21, provide an attachment that describes the change in accounting principles or practices, or the change in the method of applying any such accounting principles or practices. State the date of the change and the reasons therefor. A letter from the Registrant's independent accountants, approving or otherwise commenting on the change, shall accompany the description. 5. Item G.1.a.v. Information required to be filed pursuant to exemptive orders. File as an attachment any information required to be reported on Form N-CEN or any predecessor form to Form N-CEN (e.g., Form N-SAR) pursuant to exemptive orders issued by the Commission and relied on by the Registrant. 6. Item G.1.a.vi. Other information required to be included as an attachment pursuant to Commission rules and regulations. File as an attachment any other information required to be included as an attachment pursuant to Commission rules and regulations. |
| Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. |
| Registrant | VanEck ETF Trust |
| Date | 2025-07-02 |
| Signature | James Parker |
| Title | Assistant Treasurer |
Report of Independent Registered Public Accounting Firm
To the Board of Trustees of VanEck ETF Trust and Shareholders of each of the funds listed in Appendix A
In planning and performing our audits of the financial statements of the funds listed in Appendix A (thirteen of the funds constituting VanEck ETF Trust, hereafter collectively referred to as the “Funds”) as of and for the year ended April 30, 2025, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), we considered the Funds’ internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Funds’ internal control over financial reporting. Accordingly, we do not express an opinion on the effectiveness of the Funds’ internal control over financial reporting.
The management of the Fund is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company’s internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A company’s internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a company’s assets that could have a material effect on the financial statements.
Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.
A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the company’s annual or interim financial statements will not be prevented or detected on a timely basis.
Our consideration of the Funds’ internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control over financial reporting that might be material weaknesses under standards established by the PCAOB. However, we noted no deficiencies in the Funds’ internal control over financial reporting and its
operation, including controls over safeguarding securities, that we consider to be a material weakness as defined above as of April 30, 2025.
This report is intended solely for the information and use of the Board of Trustees of VanEck ETF Trust and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.
/s/ PricewaterhouseCoopers LLP
New York, New York June 24, 2025
Appendix A
VanEck Emerging Markets High Yield Bond ETF
VanEck Fallen Angel High Yield Bond ETF
VanEck Green Bond ETF
VanEck IG Floating Rate ETF
VanEck Moody’s Analytics BBB Corporate Bond ETF
VanEck Moody’s Analytics IG Corporate Bond ETF
VanEck CEF Muni Income ETF
VanEck High Yield Muni ETF
VanEck HIP Sustainable Muni ETF
VanEck Intermediate Muni ETF
VanEck Long Muni ETF
VanEck Short High Yield Muni ETF
VanEck Short Muni ETF