UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549


 
FORM N-Q
 
 
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
 


Investment Company Act file number:
 811-23226
 
Listed Funds Trust
(Exact name of registrant as specified in charter)
 
615 East Michigan Street
Milwaukee, WI 53202
(Address of principal executive offices) (Zip code)


Kent Barnes
U.S. Bank Global Fund Services
615 East Michigan Street
Milwaukee, WI 53202
(Name and address of agent for service)
 
Registrant's telephone number, including area code: (414) 765-6511


Copies to:
 
Laura E. Flores
John McGuire
Morgan Lewis & Bockius LLP
1111 Pennsylvania Avenue, NW
Washington, D.C. 20004-2541
 
 
Date of fiscal year end: November 30
 
Date of reporting period: February 29, 2020
Item 1. Schedule of Investments.

Source Dividend Opportunity ETF
           
Schedule of Investments
           
February 29, 2020 (Unaudited)
           
   
Shares
   
Value
 
COMMON STOCKS — 98.4%
           
Communications— 9.5%
           
Omnicom Group, Inc.
   
1,554
   
$
107,661
 
The Interpublic Group of Companies, Inc.
   
5,481
     
117,074
 
Verizon Communications, Inc.
   
2,373
     
128,522
 
             
353,257
 
Consumer Discretionary — 16.5%
               
Delta Air Lines, Inc.
   
2,121
     
97,842
 
Foot Locker, Inc.
   
3,122
     
113,173
 
General Motors Co.
   
3,444
     
105,042
 
Hanesbrands, Inc.
   
8,568
     
113,440
 
Six Flags Entertainment Corp.
   
2,716
     
68,661
 
Whirlpool Corp.
   
868
     
110,982
 
             
609,140
 
Consumer Staples — 16.2%
               
General Mills, Inc.
   
2,380
     
116,619
 
Philip Morris International, Inc.
   
1,456
     
119,203
 
The Coca-Cola Co.
   
2,653
     
141,909
 
The JM Smucker Co.
   
1,211
     
124,721
 
The Kraft Heinz Co.
   
3,941
     
97,619
 
             
600,071
 
Energy — 11.0%
               
Chevron Corp.
   
1,204
     
112,382
 
Exxon Mobil Corp.
   
2,072
     
106,584
 
Marathon Petroleum Corp.
   
2,065
     
97,922
 
Murphy Oil Corp.
   
4,746
     
89,462
 
             
406,350
 
Health Care — 9.9%
               
AbbVie, Inc.
   
1,400
     
119,994
 
Merck & Co., Inc.
   
1,582
     
121,118
 
Pfizer, Inc.
   
3,696
     
123,520
 
             
364,632
 
Industrials — 11.6%
               
Caterpillar, Inc.
   
980
     
121,755
 
Cummins, Inc.
   
693
     
104,844
 
Emerson Electric Co.
   
1,652
     
105,910
 
United Parcel Service, Inc. - Class B
   
1,064
     
96,281
 
             
428,790
 
Materials — 8.5%
               
3M Co.
   
819
     
122,227
 
LyondellBasell Industries NV - Class A
   
1,330
     
95,042
 
Westrock Co.
   
2,947
     
97,988
 
             
315,257
 
Technology — 15.2%
               
Cisco Systems, Inc.
   
3,038
     
121,307
 
Hewlett Packard Enterprise Co.
   
7,917
     
101,258
 
International Business Machines Corp.
   
1,071
     
139,391
 
NetApp, Inc.
   
2,002
     
93,534
 
Xerox Holdings Corp.
   
3,367
     
108,417
 
             
563,907
 
TOTAL COMMON STOCKS (Cost $4,339,346)
           
3,641,404
 
                 
MONEY MARKET FUNDS — 1.1%
               
First American Treasury Obligations Fund - Class X, 1.49%(a)
   
39,493
     
39,493
 
TOTAL MONEY MARKET FUNDS (Cost $39,493)
           
39,493
 
                 
TOTAL INVESTMENTS (Cost $4,378,839) — 99.5%
           
3,680,897
 
Other assets and liabilities, net — 0.5%
           
18,286
 
NET ASSETS — 100.0%
         
$
3,699,183
 

(a)
The rate shown is the annualized seven-day yield at period end.
       
           
Percentages are stated as a percent of net assets.
       
Fair Value Measurements
             
Various inputs are used in determining the value of the Fund's investments. These inputs are summarized in three broad levels.
Level 1 includes quoted prices in active markets for identical securities. Level 2 includes other significant observable inputs
(including quoted prices for similar securities, interest rates, prepayment speeds and credit risk). Level 3 includes significant
unobservable inputs (including the Fund's own assumptions in determining the fair value of investments). The level assigned to the
securities valuations may not be an indication of the risk or liquidity associated with investing in those securities.
                   
The Fund did not hold any investments during the period with significant unobservable inputs which would be classified as Level 3.
                   
The following is a summary of the inputs used to value the Fund’s investments carried at fair value as of February 29, 2020:

   
Level 1
   
Level 2
   
Level 3
   
Total
 
Assets:
                       
Common Stocks*
 
$
3,641,404
   
$
-
   
$
-
   
$
3,641,404
 
Money Market Funds
   
39,493
     
-
     
-
     
39,493
 
Total Investments in Securities
 
$
3,680,897
   
$
-
   
$
-
   
$
3,680,897
 
                                 
* See the Schedule of Investments for industry classifications.
         
Item 2. Controls and Procedures.
 
(a)
The Registrant’s President and Treasurer have concluded that the Registrant's disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940 (the “1940 Act”)) (17 CFR 270.30a-3(c)) are effective as of a date within 90 days of the filing date of the report that includes the disclosure required by this paragraph, based on the evaluation of these controls and procedures required by Rule 30a-3(b) under the 1940 Act (17 CFR 270.30a-3(b)) and Rule 13a-15(b) or Rule 15d‑15(b) under the Securities Exchange Act of 1934, as amended (17 CFR 240.13a-15(b) or 240.15d-15(d)).

(b)
There were no changes in the Registrant's internal control over financial reporting (as defined in Rule 30a-3(d) under the 1940 Act) (17 CFR 270.30a-3(d)) that occurred during the Registrant's last fiscal quarter that have materially affected, or are reasonably likely to materially affect, the Registrant's internal control over financial reporting.
 
Item 3. Exhibits.
 
Separate certifications for each principal executive officer and principal financial officer of the Registrant as required by Rule 30a-2(a) under the 1940 Act (17 CFR 270.30a-2(a)).  Filed herewith.
SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.


(Registrant)
Listed Funds Trust
 
 
 
 
 
By (Signature and Title)*
/s/ Gregory Bakken
 
 
Gregory Bakken, President and Principal Executive Officer
   
 
Date
4/23/2020
 
 
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.
  
By (Signature and Title)*
/s/ Gregory Bakken
 
 
Gregory Bakken, President and Principal Executive Officer
   
 
Date
4/23/2020
 
 
 
 
 
By (Signature and Title)*
/s/Travis Babich
 
 
Travis Babich, Treasurer and Principal Financial Officer
 
 
 
 
Date
4/23/2020
 
 
 
*
Print the name and title of each signing officer under his or her signature.

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