SEC Info - Columbia ETF Trust - ‘NSAR-B’ for 10/31/15

Report

Registrant: Columbia ETF Trust — List all N-SARs

Annual Report for the 2nd-half period ended at fiscal year end: 10/31/15

Were there any Answer File errors in the Filing? None FoundNone Found by SEC InfoNot Checked by the FilerOne or more Found by SEC Info

Was the Answer File completed by the Registrant? Yes

Is this an Amendment to a previous Report? No

Is this a change to a previous Report? No

Registrant

1.

SEC CIK: 1415845

SEC File #: 811-22154

Telephone #: 617-385-9594

2.

Address: 225 Franklin Street

Boston, MA 02110

3.

Is this the first Form N-SAR filed by the Registrant? No

4.

Is this the final Form N-SAR filed by the Registrant? No

Funds/Series

↑Top of Form N-SAR

7.

Is the Registrant a Funds/Series (multiple portfolios) company? Yes

The number of separate Funds/Series (portfolios) at period end: 5

↓

Series 7: Columbia Core Bond ETF — S#27155 ⇒ GMTB

↓

Series 6: Columbia Intermediate Municipal Bond ETF — S#27156 ⇒ GMMB

↓

Series 2: Columbia Large Cap Growth ETF — S#26404

↓

Series 3: Columbia Select Large Cap Growth ETF — S#26405

↓

Series 1: Columbia Select Large Cap Value ETF — S#25230

Family of Investment Companies

19.

Is the Registrant/Series part of a “family” of investment companies? Yes

Total number of registered management investment companies, Series
and portfolios (excluding any Unit Investment Trusts) in the family: 199

The Identification Code of the family for Form N-SAR Filings: COLUMBIAFD

Investment Company Type

27.

Is the Registrant an “open-end” investment company? Yes, Open-End

Additional Disclosures

77.

Did the Registrant file any additional Exhibits with the filing of this
Report (listed here and filed either herewith — as one of the ‘EX-99.*’
↑Exhibits in this Filing — or separately and incorporated by reference)? Yes

EX-99.77B: Accountant’s Report re: Internal Controls? Yes

EX-99.77Q1: Other Disclosure? Yes

Subsidiaries

78.

Does the Registrant have any wholly-owned investment company
subsidiaries whose operating and financial data are consolidated with
that of the Registrant in this Report? No

All Series

↑List of 5 Funds/Series Reported Here

All:

Investment Adviser

8.1

Name: Columbia Management Investment Advisers, LLC

Role: Adviser

SEC File #: 801-25943

Location: Boston, MA

All:

Administrator

10.1

Name: The Bank of New York Mellon Corp.

SEC File #: 333-144261

Location: New York, NY

All:

Principal Underwriter

11.1

Name: Alps Distributors, Inc.

Location: Denver, CO

All:

Shareholder Servicing/Transfer Agent

12.1

Name: The Bank of New York Mellon Corp.

Location: New York, NY

All:

Independent Public Accountant

13.1

Name: Pricewaterhousecoopers LLP

Location: Boston, MA

All:

Affiliated Broker/Dealer

14.1

Name: Riversource Distributors, Inc.

SEC File #: 008-67196

14.2

Name: Ameriprise Financial Services, Inc.

SEC File #: 008-16791

14.3

Name: American Enterprise Investment Services, Inc.

SEC File #: 008-42582

14.4

Name: Columbia Mgmt Investment Distributors, Inc.

SEC File #: 008-25845

All:

Custodian

15.1

Name: The Bank of New York Mellon Corp.

Role: Custodian

Location: New York, NY

Type of custody: Section 17(f)(1) — Bank

18.

Does the Registrant’s/Series’ Custodian(s) maintain some or all of the
Registrant’s/Series’ securities in a central depository or book-entry
system pursuant to Rule 17f-4? Yes

All:

Brokerage Commissions Paid on Portfolio Transactions

20.

The brokers who received the largest amount of gross brokerage
commissions during the period:

20.1

Broker: Morgan Stanley & Co. Inc.

IRS #: 36-3145972

Commissions paid ($000s): 6

20.2

Broker: Deutchse Bank Securities Corp.

IRS #: 13-2730828

Commissions paid ($000s): 1

20.3

Broker: JP Morgan Chase & Co.

IRS #: 13-3224016

20.4

Broker: Barclays Capital, Inc.

IRS #: 06-1031656

21.

Total brokerage commissions paid by the Registrant during the period:
Aggregate paid ($000s): 7

All:

Portfolio Transactions with Entities Acting as Principals

22.

The entities acting as principals with whom the Registrant did the
largest amount of portfolio transactions, based on total value of
principal, during the period:

22.1

Entity: Merrill Lynch & Co., Inc.

Registrant’s purchases ($000s): 11,640

Registrant’s sales ($000s): 11,838

22.2

Entity: Direct

Registrant’s purchases ($000s): 10,571

Registrant’s sales ($000s): 9,449

22.3

Entity: JP Morgan Chase & Co.

IRS #: 13-3224016

Registrant’s purchases ($000s): 5,014

Registrant’s sales ($000s): 4,947

22.4

Entity: Morgan Stanley & Co. Inc.

IRS #: 36-3145972

Registrant’s purchases ($000s): 4,692

Registrant’s sales ($000s): 3,977

22.5

Entity: Wells Fargo Bank N.A.

IRS #: 94-1347393

Registrant’s purchases ($000s): 3,136

Registrant’s sales ($000s): 2,532

22.6

Entity: Citigroup, Inc.

IRS #: 52-1568099

Registrant’s purchases ($000s): 1,173

Registrant’s sales ($000s): 1,004

22.7

Entity: Deutchse Bank Securities Corp.

IRS #: 13-2730828

Registrant’s purchases ($000s): 438

Registrant’s sales ($000s): 229

22.8

Entity: Barclays Capital, Inc.

IRS #: 06-1031656

Registrant’s purchases ($000s): 490

22.9

Entity: BNP Paribas Securities Corp.

IRS #: 13-3235334

Registrant’s purchases ($000s): 457

Registrant’s sales ($000s): 21

22.10

Entity: TD Securities (USA) LLC

IRS #: 20-1177269

Registrant’s purchases ($000s): 288

Registrant’s sales ($000s): 172

23.

Total purchase/sale transactions by the Registrant during the period:
Aggregate purchases ($000s): 39,163

Aggregate sales ($000s): 35,120

All:

Considerations which Affected the Participation of Brokers or Dealers

26.

Considerations which affected the participation of brokers or dealers or
other entities in commissions or other compensation paid on portfolio
transactions of the Registrant:

Consideration?

Sales of the Registrant’s/Series’ shares ............................... No

Receipt of investment research and statistical info .................... Yes

Receipt of quotations for portfolio valuations ......................... No

Ability to execute portfolio transactions to obtain the best price
and execution ........................................................ Yes

Receipt of telephone line and wire services ............................ No

Broker or Dealer which is an affiliated person ......................... No

An arrangement to return or credit part or all of commissions or
profits thereon...
To an Investment Adviser or Principal Underwriter, or to an
affiliated person of either ...................................... No

To the Registrant .................................................. No

Other .................................................................. No

All:

Sales Load (Front-End or Deferred) and Fees (Redemption or Maintenance)

34.

Did the Registrant/Series impose a deferred or contingent deferred sales
load during the period? No

37.

Did the Registrant/Series impose a redemption fee other than a deferred
or contingent sales load during the period? No

39.

Were any account maintenance fees or other administrative fees imposed
directly on shareholders during the period? No

All:

Payment Plan for the Distribution of Fund Shares

40.

During the period, did the Registrant/Series have a plan of distribution
adopted pursuant to Rule 12b-1? Yes

41.

During the period, did the Registrant/Series use its assets directly to
make payments under the 12b-1 plan? No

44.

If an Investment Adviser or other affiliated person of the
Registrant/Series made unreimbursed payments pursuant to the 12b-1 plan,
the total amount of such payments ($000s): 0

All:

Advisory Fee

49.

Was the Registrant’s/Series’ advisory fee during the period based solely
on a percentage of its income? No

50.

Was the Registrant’s/Series’ advisory fee during the period based on
some combined percentage of its income and assets? No

51.

Was the Registrant’s/Series’ advisory fee during the period based in
whole or in part on its investment performance? No

52.

Was the Registrant’s/Series’ advisory fee during the period based in
whole or in part on the assets, income or performance of other
Registrants? No

53.

Were the expenses of the Registrant/Series limited or reduced at any
time during the period by some agreement or understanding other than by
Blue Sky Laws? Yes

Was the limitation that applied during the period based on...
Assets? Yes

Income? No

54.

Indicated below are whether services were supplied or paid for wholly or
in substantial part by Investment Adviser(s) or Administrator(s) in
connection with the advisory or administrative contract(s) but for which
the Adviser(s) or Administrator(s) are not reimbursed by the Registrant:

Provided to the Registrant?
Occupancy and office rental ............................................ Yes

Clerical and bookkeeping services ...................................... Yes

Accounting services .................................................... Yes

Services of independent auditors ....................................... No

Services of outside counsel ............................................ No

Registration and filing fees ........................................... No

Stationery, supplies and printing ...................................... Yes

Salaries & compensation of Registrant’s interested Directors ........... Yes

Salaries & compensation of Registrant’s disinterested Directors ........ No

Salaries & compensation of Registrant’s Officers who aren’t Directors .. Yes

Reports to current shareholders ........................................ No

Determination of offering and redemption prices ........................ Yes

Trading department ..................................................... Yes

Prospectus preparation and printing for current shareholders ........... No

Other .................................................................. Yes

All:

Fidelity Bond in Effect at Fiscal Year End

80.

Insurer: ICI Mutual Insurance Co.

2nd Insurer: N/A

Aggregate face amount of coverage for the Registrant/Series on all bonds
on which it is named as an insured ($000s): 50,000

81.

Is the bond part of a joint fidelity bond(s) shared with other
investment companies or other entities? Yes

How many other investment companies or other entities are covered by the
bond (counting each Fund/Series as a separate investment company): 120

82.

Does the mandatory coverage of the fidelity bond have a deductible? No

83.

Were any claims with respect to this Registrant/Series filed under the
bond during the period? No

84.

Were any losses incurred with respect to this Registrant/Series that
could have been filed as a claim under the fidelity bond but were not? No

85.

Are the Registrant’s/Series’ Officers and Directors covered as Officers
and Directors of the Registrant/Series under any errors and omissions
insurance policy owned by the Registrant/Series or anyone else? Yes

Were any claims filed under such policy during the period with respect
to the Registrant/Series? No

Series 1

↑Information Common to All Funds/Series ↑List of 5 Funds/Series

7.

Name: Columbia Select Large Cap Value ETF — S#25230

Is this the final Form N-SAR filed for this Fund/Series? No

S 1:

Holdings of Securities Issued by Registrant’s/Series’ Brokers or Dealers

24.

At period end, did the Registrant/Series hold any securities of the
Registrant’s/Series’ regular brokers or dealers, or of the parents of
such brokers or dealers, that derive more than 15% of gross revenue from
securities-related activities? Yes

25.

The brokers or dealers, or their parents (issuers):

25.1

Name: Citigroup, Inc.

IRS #: 52-1568099

Type of security owned: Equity

Value of securities owned at period end ($000s): 375

25.2

Name: JP Morgan Chase & Co.

IRS #: 13-3224016

Type of security owned: Equity

Value of securities owned at period end ($000s): 237

25.3

Name: Morgan Stanley & Co.

IRS #: 36-3145972

Type of security owned: Equity

Value of securities owned at period end ($000s): 177

25.4

Name: Wells Fargo Bank N.A.

IRS #: 94-1347393

Type of security owned: Equity

Value of securities owned at period end ($000s): 203

25.5

Name: Bank of America

IRS #: 13-4078651

Type of security owned: Equity

Value of securities owned at period end ($000s): 236

S 1:

Sales and Repurchases

28.

Monthly total Net Asset Value (NAV) of sales and repurchases of the
Registrant’s/Series’ shares:

1st Month of period: ($000s)
Total NAV of shares sold:
New sales (including exchanges) ............................

–

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

2nd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................

–

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

3rd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................

–

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

2,255

4th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................

–

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

5th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................

–

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

6th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................

–

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

Total of all months: ($000s)
Total NAV of shares sold:
New sales (including exchanges) ............................

–

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

2,255

Total NAV of the Registrant’s/Series’ share sales during the period
subject to a sales load ($000s): 0

S 1:

Sales Load (Front-End or Deferred) and Fees (Redemption or Maintenance)

29.

Was a front-end sales load deducted from any share sales during the
period? No

S 1:

Advisory Fee

45.

Did the Registrant/Series have an advisory contract during the period? Yes

46.

Did the Registrant/Series pay more than one Investment Adviser directly
for investment advice during the period? No

47.

Was the Registrant’s/Series’ advisory fee based solely on a percentage
of its assets? Yes

48.

Fee (single rate or step rates) applied to the Registrant’s/Series’
assets based on the advisory contract:
Single-fee rate: 0.0%

Step-fee rates:
For 1st $000s: 500,000

Annual rate: 0.77%

Of next $000s: 500,000

Annual rate: 0.72%

Of next $000s: 500,000

Annual rate: 0.67%

Of next $000s: 1,500,000

Annual rate: 0.62%

Of next $000s: 3,000,000

Annual rate: 0.6%

& Above $000s: 6,000,000

Annual rate: 0.58%

S 1:

Miscellaneous Info

55.

Did the Registrant/Series have any of the following outstanding at any
time during the period which exceeded 1% of aggregate net assets:

Overdrafts? Yes

Bank loans? No

56.

During the period, did the Registrant’s/Series’ Investment Adviser(s)
have advisory clients other than investment companies? Yes

57.

Did the Registrant/Series adjust the number of its shares outstanding by
means of a stock split or stock dividend? No

S 1:

Classification and Asset Allocation

58.

Is the Registrant/Series a Separate Account of an insurance company? No

59.

Is the Registrant/Series a management investment company? Yes

60.

Was the Registrant/Series a diversified investment company at any time
during the period? Yes

Was the Registrant/Series a diversified investment company at the end of
the period? Yes

61.

The lowest minimum initial investment required by the Registrant/Series
from an investor that is not an employee or otherwise affiliated with
the Registrant/Series, its Investment Adviser, Principal Underwriter or
other affiliated entity: $0

62.

Does the Registrant/Series invest primarily in debt securities,
including convertible debt securities, options & futures on debt
securities or indices of debt securities? No

66.

Is the Registrant/Series a Fund that usually invests in equity
securities, options & futures on equity securities, indices of equity
securities or securities convertible into equity securities? Yes

Which best describes its primary investment objective:

Aggressive capital appreciation? No

Capital appreciation? Yes

Growth? No

Growth and income? No

Income? No

Total return? No

67.

Is the Registrant/Series a “balanced” Fund? No

68.

Does the Registrant/Series have more than 50% of its net assets at
period end invested in the securities of issuers...
Engaged primarily in production or distribution of precious metals? No

Located primarily in countries other than the United States? No

69.

Is the Registrant/Series an index Fund? No

S 1:

Investment Practices

70.

Activities that are permitted by the Registrant’s/Series’ investment
policies, and which were engaged in during the period:

Activity Permitted Engaged In

Writing or investing in repurchase agreements? Yes No

Writing or investing in options on equities? Yes No

Writing or investing in options on debt securities? Yes No

Writing or investing in options on stock indices? Yes No

Writing or investing in interest rate futures? Yes No

Writing or investing in stock index futures? Yes No

Writing or investing in options on futures? Yes No

Writing or investing in options on stock index futures? Yes No

Writing or investing in other commodity futures? Yes No

Investments in restricted securities? Yes No

Investments in shares of other investment companies? Yes to both

Investments in securities of foreign issuers? Yes No

Currency exchange transactions? Yes No

Loaning portfolio securities? Yes No

Borrowing of money? Yes No

Purchases/sales by certain exempted affiliated persons? Yes No

Margin purchases? No –

Short selling? No –

S 1:

Portfolio Turnover

71.

Portfolio turnover rate for the period:

Purchases ($000s): 1,919

Sales ($000s): 2,016

Monthly average Value of portfolio ($000s): 8,271

Percent turnover (lesser of Purchases or Sales, divided by Value): 23%

S 1:

Financial Info — Income and Expenses

72.

The number of months covered by the values in Items 72 and 73: 12

Income ($000s)
Net interest income ..............................................

–

Net dividend income ..............................................

201

Account maintenance fees .........................................

–

Net other income .................................................

–

Expenses ($000s)
Advisory fees ....................................................

65

Administrator fees ...............................................

75

Salaries and other compensation ..................................

–

Shareholder Servicing Agent fees .................................

12

Custodian fees ...................................................

4

Postage ..........................................................

15

Printing expenses ................................................

–

Directors’ fees ..................................................

9

Registration fees ................................................

–

Taxes ............................................................

–

Interest .........................................................

–

Bookkeeping fees paid to anyone performing this service ..........

–

Auditing fees ....................................................

10

Legal fees .......................................................

2

Marketing/distribution payments, incl. Rule 12b-1 plan payments ..

–

Amortization of organization expenses ............................

–

Shareholder meeting expenses .....................................

–

Other expenses ...................................................

22

Total expenses ...................................................

214

Expense reimbursements ($000s): 150

Net investment income ($000s): 137

Realized capital gains ($000s): 698

Realized capital losses ($000s): 0

Net unrealized appreciation during the period ($000s): 0

Net unrealized depreciation during the period ($000s): 945

Total income dividends for which the record date passed during the
period ($000s): 101

Total capital gains distributions for which the record date passed
during the period ($000s): 150

73.

Distributions per share for which the record date passed during the
period, shown in fractions of a cent, if so declared:

Dividends from net investment income: $0.5027

Distribution of capital gains: $0.7517

Other distributions: $0.0000

S 1:

Financial Info — Condensed Balance Sheet Data

74.

Assets ($000s)

Cash .............................................................

–

Repurchase agreements ............................................

–

Short-term debt securities, other than repurchase agreements .....

–

Long-term debt securities, including convertible debt ............

–

Preferred, conv. preferred and adjustable-rate preferred stock ...

–

Common stock .....................................................

6,569

Options on equities ..............................................

–

Options on all futures ...........................................

–

Other investments ................................................

43

Receivables from portfolio instruments sold ......................

80

Receivables from affiliated persons ..............................

13

Other receivables ................................................

13

All other assets .................................................

4

Total assets .....................................................

6,722

Liabilities ($000s)
Payables for portfolio instruments purchased .....................

83

Amounts owed to affiliated persons ...............................

15

Senior long-term debt ............................................

–

Other liabilities:
Reverse repurchase agreements ..................................

–

Short sales ....................................................

–

Written options ................................................

–

All other liabilities ..........................................

38

Equity ($000s)
Senior equity ....................................................

–

Net assets of common shareholders ................................

6,586

Number of shares outstanding (000s): 150

Net Asset Value (NAV) per share (to nearest cent): $43.90

Total number of shareholder accounts: 431

Total value of assets in segregated accounts ($000s): 0

75.

Monthly average net assets during the period ($000s): 8,315

Series 2

↑Information Common to All Funds/Series ↑List of 5 Funds/Series

7.

Name: Columbia Large Cap Growth ETF — S#26404

Is this the final Form N-SAR filed for this Fund/Series? No

S 2:

Holdings of Securities Issued by Registrant’s/Series’ Brokers or Dealers

24.

At period end, did the Registrant/Series hold any securities of the
Registrant’s/Series’ regular brokers or dealers, or of the parents of
such brokers or dealers, that derive more than 15% of gross revenue from
securities-related activities? Yes

25.

The brokers or dealers, or their parents (issuers):

25.1

Name: Goldman Sachs & Co.

IRS #: 13-5108880

Type of security owned: Equity

Value of securities owned at period end ($000s): 102

25.2

Name: Wells Fargo Bank N.A.

IRS #: 94-1347393

Type of security owned: Equity

Value of securities owned at period end ($000s): 140

S 2:

Sales and Repurchases

28.

Monthly total Net Asset Value (NAV) of sales and repurchases of the
Registrant’s/Series’ shares:

1st Month of period: ($000s)
Total NAV of shares sold:
New sales (including exchanges) ............................

–

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

2nd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................

–

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

3rd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................

2,432

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

2,385

4th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................

2,211

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

5th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................

2,233

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

6th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................

–

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

Total of all months: ($000s)
Total NAV of shares sold:
New sales (including exchanges) ............................

6,876

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

2,385

Total NAV of the Registrant’s/Series’ share sales during the period
subject to a sales load ($000s): 0

S 2:

Sales Load (Front-End or Deferred) and Fees (Redemption or Maintenance)

29.

Was a front-end sales load deducted from any share sales during the
period? No

S 2:

Advisory Fee

45.

Did the Registrant/Series have an advisory contract during the period? Yes

46.

Did the Registrant/Series pay more than one Investment Adviser directly
for investment advice during the period? No

47.

Was the Registrant’s/Series’ advisory fee based solely on a percentage
of its assets? Yes

48.

Fee (single rate or step rates) applied to the Registrant’s/Series’
assets based on the advisory contract:
Single-fee rate: 0.0%

Step-fee rates:
For 1st $000s: 500,000

Annual rate: 0.77%

Of next $000s: 500,000

Annual rate: 0.72%

Of next $000s: 500,000

Annual rate: 0.67%

Of next $000s: 1,500,000

Annual rate: 0.62%

Of next $000s: 3,000,000

Annual rate: 0.6%

& Above $000s: 6,000,000

Annual rate: 0.58%

S 2:

Miscellaneous Info

55.

Did the Registrant/Series have any of the following outstanding at any
time during the period which exceeded 1% of aggregate net assets:

Overdrafts? Yes

Bank loans? No

56.

During the period, did the Registrant’s/Series’ Investment Adviser(s)
have advisory clients other than investment companies? Yes

57.

Did the Registrant/Series adjust the number of its shares outstanding by
means of a stock split or stock dividend? No

S 2:

Classification and Asset Allocation

58.

Is the Registrant/Series a Separate Account of an insurance company? No

59.

Is the Registrant/Series a management investment company? Yes

60.

Was the Registrant/Series a diversified investment company at any time
during the period? Yes

Was the Registrant/Series a diversified investment company at the end of
the period? Yes

61.

The lowest minimum initial investment required by the Registrant/Series
from an investor that is not an employee or otherwise affiliated with
the Registrant/Series, its Investment Adviser, Principal Underwriter or
other affiliated entity: $0

62.

Does the Registrant/Series invest primarily in debt securities,
including convertible debt securities, options & futures on debt
securities or indices of debt securities? No

66.

Is the Registrant/Series a Fund that usually invests in equity
securities, options & futures on equity securities, indices of equity
securities or securities convertible into equity securities? Yes

Which best describes its primary investment objective:

Aggressive capital appreciation? No

Capital appreciation? Yes

Growth? No

Growth and income? No

Income? No

Total return? No

67.

Is the Registrant/Series a “balanced” Fund? No

68.

Does the Registrant/Series have more than 50% of its net assets at
period end invested in the securities of issuers...
Engaged primarily in production or distribution of precious metals? No

Located primarily in countries other than the United States? No

69.

Is the Registrant/Series an index Fund? No

S 2:

Investment Practices

70.

Activities that are permitted by the Registrant’s/Series’ investment
policies, and which were engaged in during the period:

Activity Permitted Engaged In

Writing or investing in repurchase agreements? Yes No

Writing or investing in options on equities? Yes No

Writing or investing in options on debt securities? Yes No

Writing or investing in options on stock indices? Yes No

Writing or investing in interest rate futures? Yes No

Writing or investing in stock index futures? Yes No

Writing or investing in options on futures? Yes No

Writing or investing in options on stock index futures? Yes No

Writing or investing in other commodity futures? Yes No

Investments in restricted securities? Yes No

Investments in shares of other investment companies? Yes to both

Investments in securities of foreign issuers? Yes No

Currency exchange transactions? Yes No

Loaning portfolio securities? Yes No

Borrowing of money? Yes No

Purchases/sales by certain exempted affiliated persons? Yes No

Margin purchases? No –

Short selling? No –

S 2:

Portfolio Turnover

71.

Portfolio turnover rate for the period:

Purchases ($000s): 5,533

Sales ($000s): 5,854

Monthly average Value of portfolio ($000s): 8,836

Percent turnover (lesser of Purchases or Sales, divided by Value): 63%

S 2:

Financial Info — Income and Expenses

72.

The number of months covered by the values in Items 72 and 73: 12

Income ($000s)
Net interest income ..............................................

–

Net dividend income ..............................................

102

Account maintenance fees .........................................

–

Net other income .................................................

–

Expenses ($000s)
Advisory fees ....................................................

68

Administrator fees ...............................................

75

Salaries and other compensation ..................................

–

Shareholder Servicing Agent fees .................................

12

Custodian fees ...................................................

7

Postage ..........................................................

11

Printing expenses ................................................

–

Directors’ fees ..................................................

9

Registration fees ................................................

–

Taxes ............................................................

–

Interest .........................................................

–

Bookkeeping fees paid to anyone performing this service ..........

–

Auditing fees ....................................................

11

Legal fees .......................................................

1

Marketing/distribution payments, incl. Rule 12b-1 plan payments ..

–

Amortization of organization expenses ............................

–

Shareholder meeting expenses .....................................

–

Other expenses ...................................................

23

Total expenses ...................................................

217

Expense reimbursements ($000s): 144

Net investment income ($000s): 29

Realized capital gains ($000s): 762

Realized capital losses ($000s): 0

Net unrealized appreciation during the period ($000s): 238

Net unrealized depreciation during the period ($000s): 0

Total income dividends for which the record date passed during the
period ($000s): 28

Total capital gains distributions for which the record date passed
during the period ($000s): 308

73.

Distributions per share for which the record date passed during the
period, shown in fractions of a cent, if so declared:

Dividends from net investment income: $0.1878

Distribution of capital gains: $2.0540

Other distributions: $0.0000

S 2:

Financial Info — Condensed Balance Sheet Data

74.

Assets ($000s)

Cash .............................................................

–

Repurchase agreements ............................................

–

Short-term debt securities, other than repurchase agreements .....

–

Long-term debt securities, including convertible debt ............

–

Preferred, conv. preferred and adjustable-rate preferred stock ...

–

Common stock .....................................................

13,986

Options on equities ..............................................

–

Options on all futures ...........................................

–

Other investments ................................................

69

Receivables from portfolio instruments sold ......................

190

Receivables from affiliated persons ..............................

13

Other receivables ................................................

6

All other assets .................................................

5

Total assets .....................................................

14,269

Liabilities ($000s)
Payables for portfolio instruments purchased .....................

198

Amounts owed to affiliated persons ...............................

20

Senior long-term debt ............................................

–

Other liabilities:
Reverse repurchase agreements ..................................

–

Short sales ....................................................

–

Written options ................................................

–

All other liabilities ..........................................

42

Equity ($000s)
Senior equity ....................................................

–

Net assets of common shareholders ................................

14,009

Number of shares outstanding (000s): 300

Net Asset Value (NAV) per share (to nearest cent): $46.69

Total number of shareholder accounts: 856

Total value of assets in segregated accounts ($000s): 0

75.

Monthly average net assets during the period ($000s): 8,687

Series 3

↑Information Common to All Funds/Series ↑List of 5 Funds/Series

7.

Name: Columbia Select Large Cap Growth ETF — S#26405

Is this the final Form N-SAR filed for this Fund/Series? No

S 3:

Holdings of Securities Issued by Registrant’s/Series’ Brokers or Dealers

24.

At period end, did the Registrant/Series hold any securities of the
Registrant’s/Series’ regular brokers or dealers, or of the parents of
such brokers or dealers, that derive more than 15% of gross revenue from
securities-related activities? No

S 3:

Sales and Repurchases

28.

Monthly total Net Asset Value (NAV) of sales and repurchases of the
Registrant’s/Series’ shares:

1st Month of period: ($000s)
Total NAV of shares sold:
New sales (including exchanges) ............................

2,411

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

2nd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................

–

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

3rd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................

–

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

4,871

4th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................

–

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

5th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................

–

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

6th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................

–

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

Total of all months: ($000s)
Total NAV of shares sold:
New sales (including exchanges) ............................

2,411

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

4,871

Total NAV of the Registrant’s/Series’ share sales during the period
subject to a sales load ($000s): 0

S 3:

Sales Load (Front-End or Deferred) and Fees (Redemption or Maintenance)

29.

Was a front-end sales load deducted from any share sales during the
period? No

S 3:

Advisory Fee

45.

Did the Registrant/Series have an advisory contract during the period? Yes

46.

Did the Registrant/Series pay more than one Investment Adviser directly
for investment advice during the period? No

47.

Was the Registrant’s/Series’ advisory fee based solely on a percentage
of its assets? Yes

48.

Fee (single rate or step rates) applied to the Registrant’s/Series’
assets based on the advisory contract:
Single-fee rate: 0.0%

Step-fee rates:
For 1st $000s: 500,000

Annual rate: 0.77%

Of next $000s: 500,000

Annual rate: 0.72%

Of next $000s: 500,000

Annual rate: 0.67%

Of next $000s: 1,500,000

Annual rate: 0.62%

Of next $000s: 3,000,000

Annual rate: 0.6%

& Above $000s: 6,000,000

Annual rate: 0.58%

S 3:

Miscellaneous Info

55.

Did the Registrant/Series have any of the following outstanding at any
time during the period which exceeded 1% of aggregate net assets:

Overdrafts? Yes

Bank loans? No

56.

During the period, did the Registrant’s/Series’ Investment Adviser(s)
have advisory clients other than investment companies? Yes

57.

Did the Registrant/Series adjust the number of its shares outstanding by
means of a stock split or stock dividend? No

S 3:

Classification and Asset Allocation

58.

Is the Registrant/Series a Separate Account of an insurance company? No

59.

Is the Registrant/Series a management investment company? Yes

60.

Was the Registrant/Series a diversified investment company at any time
during the period? Yes

Was the Registrant/Series a diversified investment company at the end of
the period? Yes

61.

The lowest minimum initial investment required by the Registrant/Series
from an investor that is not an employee or otherwise affiliated with
the Registrant/Series, its Investment Adviser, Principal Underwriter or
other affiliated entity: $0

62.

Does the Registrant/Series invest primarily in debt securities,
including convertible debt securities, options & futures on debt
securities or indices of debt securities? No

66.

Is the Registrant/Series a Fund that usually invests in equity
securities, options & futures on equity securities, indices of equity
securities or securities convertible into equity securities? Yes

Which best describes its primary investment objective:

Aggressive capital appreciation? No

Capital appreciation? Yes

Growth? No

Growth and income? No

Income? No

Total return? No

67.

Is the Registrant/Series a “balanced” Fund? No

68.

Does the Registrant/Series have more than 50% of its net assets at
period end invested in the securities of issuers...
Engaged primarily in production or distribution of precious metals? No

Located primarily in countries other than the United States? No

69.

Is the Registrant/Series an index Fund? No

S 3:

Investment Practices

70.

Activities that are permitted by the Registrant’s/Series’ investment
policies, and which were engaged in during the period:

Activity Permitted Engaged In

Writing or investing in repurchase agreements? Yes No

Writing or investing in options on equities? Yes No

Writing or investing in options on debt securities? Yes No

Writing or investing in options on stock indices? Yes No

Writing or investing in interest rate futures? Yes No

Writing or investing in stock index futures? Yes No

Writing or investing in options on futures? Yes No

Writing or investing in options on stock index futures? Yes No

Writing or investing in other commodity futures? Yes No

Investments in restricted securities? Yes No

Investments in shares of other investment companies? Yes to both

Investments in securities of foreign issuers? Yes No

Currency exchange transactions? Yes No

Loaning portfolio securities? Yes No

Borrowing of money? Yes No

Purchases/sales by certain exempted affiliated persons? Yes No

Margin purchases? No –

Short selling? No –

S 3:

Portfolio Turnover

71.

Portfolio turnover rate for the period:

Purchases ($000s): 6,799

Sales ($000s): 7,536

Monthly average Value of portfolio ($000s): 9,300

Percent turnover (lesser of Purchases or Sales, divided by Value): 73%

S 3:

Financial Info — Income and Expenses

72.

The number of months covered by the values in Items 72 and 73: 12

Income ($000s)
Net interest income ..............................................

–

Net dividend income ..............................................

30

Account maintenance fees .........................................

–

Net other income .................................................

–

Expenses ($000s)
Advisory fees ....................................................

73

Administrator fees ...............................................

75

Salaries and other compensation ..................................

–

Shareholder Servicing Agent fees .................................

12

Custodian fees ...................................................

4

Postage ..........................................................

11

Printing expenses ................................................

–

Directors’ fees ..................................................

10

Registration fees ................................................

–

Taxes ............................................................

–

Interest .........................................................

–

Bookkeeping fees paid to anyone performing this service ..........

–

Auditing fees ....................................................

10

Legal fees .......................................................

2

Marketing/distribution payments, incl. Rule 12b-1 plan payments ..

–

Amortization of organization expenses ............................

–

Shareholder meeting expenses .....................................

–

Other expenses ...................................................

27

Total expenses ...................................................

224

Expense reimbursements ($000s): 147

Net investment income ($000s): -47

Realized capital gains ($000s): 1,711

Realized capital losses ($000s): 0

Net unrealized appreciation during the period ($000s): 0

Net unrealized depreciation during the period ($000s): 1,099

Total income dividends for which the record date passed during the
period ($000s): 0

Total capital gains distributions for which the record date passed
during the period ($000s): 704

73.

Distributions per share for which the record date passed during the
period, shown in fractions of a cent, if so declared:

Dividends from net investment income: $0.0000

Distribution of capital gains: $3.5185

Other distributions: $0.0000

S 3:

Financial Info — Condensed Balance Sheet Data

74.

Assets ($000s)

Cash .............................................................

–

Repurchase agreements ............................................

–

Short-term debt securities, other than repurchase agreements .....

–

Long-term debt securities, including convertible debt ............

–

Preferred, conv. preferred and adjustable-rate preferred stock ...

–

Common stock .....................................................

6,945

Options on equities ..............................................

–

Options on all futures ...........................................

–

Other investments ................................................

36

Receivables from portfolio instruments sold ......................

–

Receivables from affiliated persons ..............................

14

Other receivables ................................................

3

All other assets .................................................

7

Total assets .....................................................

7,005

Liabilities ($000s)
Payables for portfolio instruments purchased .....................

–

Amounts owed to affiliated persons ...............................

15

Senior long-term debt ............................................

–

Other liabilities:
Reverse repurchase agreements ..................................

–

Short sales ....................................................

–

Written options ................................................

–

All other liabilities ..........................................

44

Equity ($000s)
Senior equity ....................................................

–

Net assets of common shareholders ................................

6,946

Number of shares outstanding (000s): 150

Net Asset Value (NAV) per share (to nearest cent): $46.30

Total number of shareholder accounts: 377

Total value of assets in segregated accounts ($000s): 0

75.

Monthly average net assets during the period ($000s): 9,293

Series 6

↑Information Common to All Funds/Series ↑List of 5 Funds/Series

7.

Name: Columbia Intermediate Municipal Bond ETF — S#27156 ⇒ GMMB

Is this the final Form N-SAR filed for this Fund/Series? No

S 6:

Holdings of Securities Issued by Registrant’s/Series’ Brokers or Dealers

24.

At period end, did the Registrant/Series hold any securities of the
Registrant’s/Series’ regular brokers or dealers, or of the parents of
such brokers or dealers, that derive more than 15% of gross revenue from
securities-related activities? No

S 6:

Sales and Repurchases

28.

Monthly total Net Asset Value (NAV) of sales and repurchases of the
Registrant’s/Series’ shares:

1st Month of period: ($000s)
Total NAV of shares sold:
New sales (including exchanges) ............................

–

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

2nd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................

–

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

3rd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................

–

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

4th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................

–

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

5th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................

–

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

6th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................

–

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

Total of all months: ($000s)
Total NAV of shares sold:
New sales (including exchanges) ............................

–

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

Total NAV of the Registrant’s/Series’ share sales during the period
subject to a sales load ($000s): 0

S 6:

Sales Load (Front-End or Deferred) and Fees (Redemption or Maintenance)

29.

Was a front-end sales load deducted from any share sales during the
period? No

S 6:

Advisory Fee

45.

Did the Registrant/Series have an advisory contract during the period? Yes

46.

Did the Registrant/Series pay more than one Investment Adviser directly
for investment advice during the period? No

47.

Was the Registrant’s/Series’ advisory fee based solely on a percentage
of its assets? Yes

48.

Fee (single rate or step rates) applied to the Registrant’s/Series’
assets based on the advisory contract:
Single-fee rate: 0.0%

Step-fee rates:
For 1st $000s: 500,000

Annual rate: 0.48%

Of next $000s: 500,000

Annual rate: 0.475%

Of next $000s: 1,000,000

Annual rate: 0.445%

Of next $000s: 1,000,000

Annual rate: 0.42%

Of next $000s: 3,000,000

Annual rate: 0.385%

Of next $000s: 3,000,000

Annual rate: 0.36%

Of next $000s: 1,000,000

Annual rate: 0.35%

Of next $000s: 2,000,000

Annual rate: 0.34%

Of next $000s: 3,000,000

Annual rate: 0.33%

Of next $000s: 9,000,000

Annual rate: 0.32%

& Above $000s: 50,000,000

Annual rate: 0.29%

S 6:

Miscellaneous Info

55.

Did the Registrant/Series have any of the following outstanding at any
time during the period which exceeded 1% of aggregate net assets:

Overdrafts? No

Bank loans? No

56.

During the period, did the Registrant’s/Series’ Investment Adviser(s)
have advisory clients other than investment companies? Yes

57.

Did the Registrant/Series adjust the number of its shares outstanding by
means of a stock split or stock dividend? No

S 6:

Classification and Asset Allocation

58.

Is the Registrant/Series a Separate Account of an insurance company? No

59.

Is the Registrant/Series a management investment company? Yes

60.

Was the Registrant/Series a diversified investment company at any time
during the period? Yes

Was the Registrant/Series a diversified investment company at the end of
the period? Yes

61.

The lowest minimum initial investment required by the Registrant/Series
from an investor that is not an employee or otherwise affiliated with
the Registrant/Series, its Investment Adviser, Principal Underwriter or
other affiliated entity: $0

62.

Does the Registrant/Series invest primarily in debt securities,
including convertible debt securities, options & futures on debt
securities or indices of debt securities? Yes

The percentage of net assets in each type at period end:

Debt — Short-Term Maturities
U.S. Treasury ............................... 0.0%

U.S. Government Agency ...................... 0.0

Repurchase agreements ....................... 0.0

State and Municipal – tax-free .............. 0.0

Bank certificates of deposit – domestic ..... 0.0

Bank certificates of deposit – foreign ...... 0.0

Bankers acceptances ......................... 0.0

Commercial paper – taxable .................. 0.0

Time deposits ............................... 0.0

Options ..................................... 0.0

All other ................................... 0.0

Debt — Intermediate & Long-Term Maturities
U.S. Treasury ............................... 0.0%

U.S. Government Agency ...................... 0.0

State and Municipal – tax-free .............. 96.3

Corporate ................................... 0.0

All other ................................... 0.0

Non-Debt
Investments other than debt securities ...... 3.1%

63.

The dollar-weighted average portfolio maturity at period end in days or,
if longer than one year, in years (to one decimal place):
Days: 0

Years: 4.9

64.

Is the timely payment of principal and interest on any of the
instruments listed in Item 62 insured or guaranteed by an entity other
than the issuer? No

Is the issuer of any instrument covered in Item 62 delinquent or in
default as to payment of principal or interest at period end? No

66.

Is the Registrant/Series a Fund that usually invests in equity
securities, options & futures on equity securities, indices of equity
securities or securities convertible into equity securities? No

67.

Is the Registrant/Series a “balanced” Fund? No

68.

Does the Registrant/Series have more than 50% of its net assets at
period end invested in the securities of issuers...
Engaged primarily in production or distribution of precious metals? No

Located primarily in countries other than the United States? No

69.

Is the Registrant/Series an index Fund? No

S 6:

Investment Practices

70.

Activities that are permitted by the Registrant’s/Series’ investment
policies, and which were engaged in during the period:

Activity Permitted Engaged In

Writing or investing in repurchase agreements? Yes No

Writing or investing in options on equities? Yes No

Writing or investing in options on debt securities? Yes No

Writing or investing in options on stock indices? Yes No

Writing or investing in interest rate futures? Yes No

Writing or investing in stock index futures? Yes No

Writing or investing in options on futures? Yes No

Writing or investing in options on stock index futures? Yes No

Writing or investing in other commodity futures? Yes No

Investments in restricted securities? Yes No

Investments in shares of other investment companies? Yes to both

Investments in securities of foreign issuers? No –

Currency exchange transactions? No –

Loaning portfolio securities? Yes No

Borrowing of money? Yes No

Purchases/sales by certain exempted affiliated persons? Yes No

Margin purchases? No –

Short selling? No –

S 6:

Portfolio Turnover

71.

Portfolio turnover rate for the period:

Purchases ($000s): 686

Sales ($000s): 739

Monthly average Value of portfolio ($000s): 5,219

Percent turnover (lesser of Purchases or Sales, divided by Value): 13%

S 6:

Financial Info — Income and Expenses

72.

The number of months covered by the values in Items 72 and 73: 12

Income ($000s)
Net interest income ..............................................

178

Net dividend income ..............................................

–

Account maintenance fees .........................................

–

Net other income .................................................

–

Expenses ($000s)
Advisory fees ....................................................

26

Administrator fees ...............................................

75

Salaries and other compensation ..................................

–

Shareholder Servicing Agent fees .................................

12

Custodian fees ...................................................

3

Postage ..........................................................

8

Printing expenses ................................................

–

Directors’ fees ..................................................

9

Registration fees ................................................

–

Taxes ............................................................

–

Interest .........................................................

–

Bookkeeping fees paid to anyone performing this service ..........

–

Auditing fees ....................................................

12

Legal fees .......................................................

1

Marketing/distribution payments, incl. Rule 12b-1 plan payments ..

–

Amortization of organization expenses ............................

–

Shareholder meeting expenses .....................................

–

Other expenses ...................................................

42

Total expenses ...................................................

188

Expense reimbursements ($000s): 165

Net investment income ($000s): 155

Realized capital gains ($000s): 12

Realized capital losses ($000s): 0

Net unrealized appreciation during the period ($000s): 0

Net unrealized depreciation during the period ($000s): 69

Total income dividends for which the record date passed during the
period ($000s): 152

Total capital gains distributions for which the record date passed
during the period ($000s): 0

73.

Distributions per share for which the record date passed during the
period, shown in fractions of a cent, if so declared:

Dividends from net investment income: $1.5244

Distribution of capital gains: $0.0000

Other distributions: $0.0000

S 6:

Financial Info — Condensed Balance Sheet Data

74.

Assets ($000s)

Cash .............................................................

–

Repurchase agreements ............................................

–

Short-term debt securities, other than repurchase agreements .....

–

Long-term debt securities, including convertible debt ............

5,133

Preferred, conv. preferred and adjustable-rate preferred stock ...

–

Common stock .....................................................

–

Options on equities ..............................................

–

Options on all futures ...........................................

–

Other investments ................................................

165

Receivables from portfolio instruments sold ......................

–

Receivables from affiliated persons ..............................

14

Other receivables ................................................

69

All other assets .................................................

4

Total assets .....................................................

5,385

Liabilities ($000s)
Payables for portfolio instruments purchased .....................

–

Amounts owed to affiliated persons ...............................

13

Senior long-term debt ............................................

–

Other liabilities:
Reverse repurchase agreements ..................................

–

Short sales ....................................................

–

Written options ................................................

–

All other liabilities ..........................................

40

Equity ($000s)
Senior equity ....................................................

–

Net assets of common shareholders ................................

5,332

Number of shares outstanding (000s): 100

Net Asset Value (NAV) per share (to nearest cent): $53.31

Total number of shareholder accounts: 104

Total value of assets in segregated accounts ($000s): 0

75.

Monthly average net assets during the period ($000s): 5,351

Series 7

↑Information Common to All Funds/Series ↑List of 5 Funds/Series

7.

Name: Columbia Core Bond ETF — S#27155 ⇒ GMTB

Is this the final Form N-SAR filed for this Fund/Series? No

S 7:

Holdings of Securities Issued by Registrant’s/Series’ Brokers or Dealers

24.

At period end, did the Registrant/Series hold any securities of the
Registrant’s/Series’ regular brokers or dealers, or of the parents of
such brokers or dealers, that derive more than 15% of gross revenue from
securities-related activities? Yes

25.

The brokers or dealers, or their parents (issuers):

25.1

Name: Goldman Sachs & Co.

IRS #: 13-5108880

Type of security owned: Debt

Value of securities owned at period end ($000s): 46

25.2

Name: Citigroup, Inc.

IRS #: 52-1568099

Type of security owned: Debt

Value of securities owned at period end ($000s): 38

25.3

Name: JP Morgan Chase & Co.

IRS #: 13-3224016

Type of security owned: Debt

Value of securities owned at period end ($000s): 32

25.4

Name: Morgan Stanley & Co.

IRS #: 13-2655998

Type of security owned: Debt

Value of securities owned at period end ($000s): 10

25.5

Name: Bank of America

IRS #: 13-4078651

Type of security owned: Debt

Value of securities owned at period end ($000s): 53

25.6

Name: Deutchse Bank Securities Corp.

IRS #: 13-2730828

Type of security owned: Debt

Value of securities owned at period end ($000s): 50

S 7:

Sales and Repurchases

28.

Monthly total Net Asset Value (NAV) of sales and repurchases of the
Registrant’s/Series’ shares:

1st Month of period: ($000s)
Total NAV of shares sold:
New sales (including exchanges) ............................

–

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

2nd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................

–

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

3rd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................

2,579

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

4th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................

–

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

5th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................

–

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

6th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................

–

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

Total of all months: ($000s)
Total NAV of shares sold:
New sales (including exchanges) ............................

2,579

Reinvestment of dividends and distributions ................

–

Other ......................................................

–

Total NAV of shares redeemed & repurchased (inc. exchanges) ..

–

Total NAV of the Registrant’s/Series’ share sales during the period
subject to a sales load ($000s): 0

S 7:

Sales Load (Front-End or Deferred) and Fees (Redemption or Maintenance)

29.

Was a front-end sales load deducted from any share sales during the
period? No

S 7:

Advisory Fee

45.

Did the Registrant/Series have an advisory contract during the period? Yes

46.

Did the Registrant/Series pay more than one Investment Adviser directly
for investment advice during the period? No

47.

Was the Registrant’s/Series’ advisory fee based solely on a percentage
of its assets? Yes

48.

Fee (single rate or step rates) applied to the Registrant’s/Series’
assets based on the advisory contract:
Single-fee rate: 0.0%

Step-fee rates:
For 1st $000s: 500,000

Annual rate: 0.5%

Of next $000s: 500,000

Annual rate: 0.495%

Of next $000s: 1,000,000

Annual rate: 0.48%

Of next $000s: 1,000,000

Annual rate: 0.46%

Of next $000s: 3,000,000

Annual rate: 0.45%

Of next $000s: 1,500,000

Annual rate: 0.43%

Of next $000s: 1,500,000

Annual rate: 0.415%

Of next $000s: 1,000,000

Annual rate: 0.41%

Of next $000s: 2,000,000

Annual rate: 0.4%

Of next $000s: 8,000,000

Annual rate: 0.39%

& Above $000s: 50,000,000

Annual rate: 0.34%

S 7:

Miscellaneous Info

55.

Did the Registrant/Series have any of the following outstanding at any
time during the period which exceeded 1% of aggregate net assets:

Overdrafts? No

Bank loans? No

56.

During the period, did the Registrant’s/Series’ Investment Adviser(s)
have advisory clients other than investment companies? Yes

57.

Did the Registrant/Series adjust the number of its shares outstanding by
means of a stock split or stock dividend? No

S 7:

Classification and Asset Allocation

58.

Is the Registrant/Series a Separate Account of an insurance company? No

59.

Is the Registrant/Series a management investment company? Yes

60.

Was the Registrant/Series a diversified investment company at any time
during the period? Yes

Was the Registrant/Series a diversified investment company at the end of
the period? Yes

61.

The lowest minimum initial investment required by the Registrant/Series
from an investor that is not an employee or otherwise affiliated with
the Registrant/Series, its Investment Adviser, Principal Underwriter or
other affiliated entity: $0

62.

Does the Registrant/Series invest primarily in debt securities,
including convertible debt securities, options & futures on debt
securities or indices of debt securities? Yes

The percentage of net assets in each type at period end:

Debt — Short-Term Maturities
U.S. Treasury ............................... 0.0%

U.S. Government Agency ...................... 0.0

Repurchase agreements ....................... 0.0

State and Municipal – tax-free .............. 0.0

Bank certificates of deposit – domestic ..... 0.0

Bank certificates of deposit – foreign ...... 0.0

Bankers acceptances ......................... 0.0

Commercial paper – taxable .................. 0.0

Time deposits ............................... 0.0

Options ..................................... 0.0

All other ................................... 0.0

Debt — Intermediate & Long-Term Maturities
U.S. Treasury ............................... 26.9%

U.S. Government Agency ...................... 31.3

State and Municipal – tax-free .............. 1.3

Corporate ................................... 36.8

All other ................................... 0.5

Non-Debt
Investments other than debt securities ...... 24.7%

63.

The dollar-weighted average portfolio maturity at period end in days or,
if longer than one year, in years (to one decimal place):
Days: 0

Years: 18.0

64.

Is the timely payment of principal and interest on any of the
instruments listed in Item 62 insured or guaranteed by an entity other
than the issuer? No

Is the issuer of any instrument covered in Item 62 delinquent or in
default as to payment of principal or interest at period end? No

66.

Is the Registrant/Series a Fund that usually invests in equity
securities, options & futures on equity securities, indices of equity
securities or securities convertible into equity securities? No

67.

Is the Registrant/Series a “balanced” Fund? No

68.

Does the Registrant/Series have more than 50% of its net assets at
period end invested in the securities of issuers...
Engaged primarily in production or distribution of precious metals? No

Located primarily in countries other than the United States? No

69.

Is the Registrant/Series an index Fund? No

S 7:

Investment Practices

70.

Activities that are permitted by the Registrant’s/Series’ investment
policies, and which were engaged in during the period:

Activity Permitted Engaged In

Writing or investing in repurchase agreements? Yes No

Writing or investing in options on equities? Yes No

Writing or investing in options on debt securities? Yes No

Writing or investing in options on stock indices? Yes No

Writing or investing in interest rate futures? Yes No

Writing or investing in stock index futures? Yes No

Writing or investing in options on futures? Yes No

Writing or investing in options on stock index futures? Yes No

Writing or investing in other commodity futures? Yes No

Investments in restricted securities? Yes No

Investments in shares of other investment companies? Yes to both

Investments in securities of foreign issuers? No –

Currency exchange transactions? No –

Loaning portfolio securities? Yes No

Borrowing of money? Yes No

Purchases/sales by certain exempted affiliated persons? Yes No

Margin purchases? No –

Short selling? No –

S 7:

Portfolio Turnover

71.

Portfolio turnover rate for the period:

Purchases ($000s): 16,106

Sales ($000s): 13,700

Monthly average Value of portfolio ($000s): 5,861

Percent turnover (lesser of Purchases or Sales, divided by Value): 234%

S 7:

Financial Info — Income and Expenses

72.

The number of months covered by the values in Items 72 and 73: 12

Income ($000s)
Net interest income ..............................................

145

Net dividend income ..............................................

–

Account maintenance fees .........................................

–

Net other income .................................................

–

Expenses ($000s)
Advisory fees ....................................................

30

Administrator fees ...............................................

75

Salaries and other compensation ..................................

–

Shareholder Servicing Agent fees .................................

12

Custodian fees ...................................................

9

Postage ..........................................................

9

Printing expenses ................................................

–

Directors’ fees ..................................................

9

Registration fees ................................................

–

Taxes ............................................................

–

Interest .........................................................

–

Bookkeeping fees paid to anyone performing this service ..........

–

Auditing fees ....................................................

13

Legal fees .......................................................

1

Marketing/distribution payments, incl. Rule 12b-1 plan payments ..

–

Amortization of organization expenses ............................

–

Shareholder meeting expenses .....................................

–

Other expenses ...................................................

61

Total expenses ...................................................

219

Expense reimbursements ($000s): 189

Net investment income ($000s): 115

Realized capital gains ($000s): 56

Realized capital losses ($000s): 0

Net unrealized appreciation during the period ($000s): 0

Net unrealized depreciation during the period ($000s): 130

Total income dividends for which the record date passed during the
period ($000s): 127

Total capital gains distributions for which the record date passed
during the period ($000s): 0

73.

Distributions per share for which the record date passed during the
period, shown in fractions of a cent, if so declared:

Dividends from net investment income: $1.1288

Distribution of capital gains: $0.0000

Other distributions: $0.0000

S 7:

Financial Info — Condensed Balance Sheet Data

74.

Assets ($000s)

Cash .............................................................

–

Repurchase agreements ............................................

–

Short-term debt securities, other than repurchase agreements .....

–

Long-term debt securities, including convertible debt ............

7,468

Preferred, conv. preferred and adjustable-rate preferred stock ...

–

Common stock .....................................................

–

Options on equities ..............................................

–

Options on all futures ...........................................

–

Other investments ................................................

1,903

Receivables from portfolio instruments sold ......................

–

Receivables from affiliated persons ..............................

17

Other receivables ................................................

49

All other assets .................................................

4

Total assets .....................................................

9,441

Liabilities ($000s)
Payables for portfolio instruments purchased .....................

1,663

Amounts owed to affiliated persons ...............................

14

Senior long-term debt ............................................

–

Other liabilities:
Reverse repurchase agreements ..................................

–

Short sales ....................................................

–

Written options ................................................

–

All other liabilities ..........................................

48

Equity ($000s)
Senior equity ....................................................

–

Net assets of common shareholders ................................

7,716

Number of shares outstanding (000s): 150

Net Asset Value (NAV) per share (to nearest cent): $51.43

Total number of shareholder accounts: 207

Total value of assets in segregated accounts ($000s): 0

75.

Monthly average net assets during the period ($000s): 6,003

Signature

↑Top of Form N-SAR

Columbia ETF Trust – ‘NSAR-B’ for 10/31/15

On: Wednesday, 12/23/15, at 2:24pm ET · Effective: 12/23/15 · For: 10/31/15 · Accession #: 940400-15-833 · File #: 811-22154

Previous ‘NSAR-B’: ‘NSAR-B’ on 12/23/14 for 10/31/14 · Next: ‘NSAR-B’ on 12/30/16 for 10/31/16 · Latest: ‘NSAR-B’ on 9/26/17 for 7/28/17

Annual Report by an Investment Company — Form N-SAR — ICA’40
Filing Table of Contents

‘NSAR-B’ — Annual Report by an Investment Company

Columbia ETF Trust – ‘NSAR-B’ for 10/31/15

On: Wednesday, 12/23/15, at 2:24pm ET · Effective: 12/23/15 · For: 10/31/15 · Accession #: 940400-15-833 · File #: 811-22154

Previous ‘NSAR-B’: ‘NSAR-B’ on 12/23/14 for 10/31/14 · Next: ‘NSAR-B’ on 12/30/16 for 10/31/16 · Latest: ‘NSAR-B’ on 9/26/17 for 7/28/17

Annual Report by an Investment Company — Form N-SAR — ICA’40Filing Table of Contents

‘NSAR-B’ — Annual Report by an Investment Company

Annual Report by an Investment Company — Form N-SAR — ICA’40
Filing Table of Contents