SVO-Identified Bond ETF List - NAIC

SVO-Identified Bond ETF List

ETFs Eligible to be Reported as Bonds

December 31, 2020

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National Association of Insurance Commissioners

List of Approved ETFs for Reporting as Bonds as of December 31, 2020

NOTE:

An insurance company that purchases an ETF whose name was added by the SVO to:

? the SVO-Identified Bond ETF List or to

? the SVO-Identified Preferred Stock ETF List,

must file the ETF with the SVO if they wish to obtain a final NAIC Designation for reporting purposes. The Regulatory Treatment Analysis

Services (¡°RTAS¡±) process used to evaluate ETFs under ¡°The Regulatory Treatment Analysis Service ¨C Emerging Investment Vehicle¡± section in

Part Two and the ¡°NAIC Fund Lists¡± section in Part Three of the Purposes and Procedures Manual of the NAIC Investment Analysis Office (the

¡°Purposes and Procedures Manual) only results in the assignment of a preliminary NAIC Designations to the ETF.

Preliminary NAIC Designations are indications of the likely SVO response if the ETF were purchased by an insurer and filed with the SVO for

assignment of an NAIC Designation and are based on preliminary documentation and therefore cannot be used to report the ETF to the NAIC or

state insurance regulators.

Please refer to ¡°The Regulatory Treatment Analysis Service ¨C Emerging Investment Vehicle¡± section in Part Two of the Purposes and Procedures

Manual for text discussing the RTAS process and a detailed discussion of the preliminary status of NAIC Designations assigned under the RTAS

process.

Diversification Status refers to an ETF¡¯s classification under the Investment Company Act of 1940. The status displayed is as of the last review of

the ETF by the SVO (which may precede the date of this list). The status displayed is NOT necessarily current and should be confirmed directly

with the ETF itself.

ETF NAME

BNY Mellon Core Bond ETF

BNY Mellon Short Duration Corporate Bond ETF

BNY Mellon High Yield Beta ETF

Xtrackers High Beta High Yield Bond ETF

Xtrackers Low Beta High Yield Bond ETF

Xtrackers Short Duration High Yield Bond ETF

Deutsche X-trackers USD High Yield Corporate Bond ETF

Deutsche X-trackers Municipal Infrastructure Revenue Bond ETF

First Trust Senior Loan ETF

First Trust Enhanced Short Maturity ETF

FlexShares iBoxx 3-Year Target Duration TIPS Index Fund

FlexShares iBoxx 5-Year Target Duration TIPS Index Fund

FlexShares High Yield Value-Scored Bond Index Fund

FlexShares Ready Access Variable Income Fund

Franklin Short Duration U.S. Government ETF

Goldman Sachs Access Inflation Protected USD Bond ETF

Goldman Sachs Access High Yield Corporate Bond ETF

Goldman Sachs Access Investment Grade Corporate Bond ETF

Goldman Sachs Treasury Access 0-1 Year ETF

Highland/iBoxx Senior Loan ETF

IQ MacKay Shields Municipal Intermediate ETF

IQ MacKay Shields Municipal Insured ETF

Invesco Ultra Short Duration ETF

Invesco International Corporate Bond ETF

Invesco Fundamental High Yield? Corporate Bond ETF

Invesco Emerging Markets Sovereign Debt ETF

Invesco Senior Loan ETF

? 2021 National Association of Insurance Commissioners

CUSIP

09661T602

09661T701

09661T800

233051259

233051267

233051283

233051432

233051705

33738D309

33739Q408

33939L506

33939L605

33939L662

33939L886

353506108

381430362

381430453

381430479

381430529

430101774

45409F827

45409F843

46090A887

46138E636

46138E719

46138E784

46138G508

Page 1 of 4

DIVERSIFICATION STATUS

Diversified

Diversified

Diversified

Non-diversified

Non-diversified

Non-diversified

Diversified

Diversified

Diversified

Non-diversified

Non-diversified

Non-diversified

Diversified

Non-diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Non-diversified

Diversified

Diversified

Non-diversified

Diversified

Diversified

Diversified

Diversified

ETF NAME

Invesco Taxable Municipal Bond ETF

Invesco Treasury Collateral ETF

iShares US & International High Yield Corp Bond ETF

iShares International High Yield Bond ETF

iShares JP Morgan EM Corporate Bond ETF

iShares J.P. Morgan EM High Yield Bond ETF

iShares JP Morgan EM Local Currency Bond ETF

iShares TIPS Bond ETF

iShares Core U.S. Aggregate Bond ETF

iShares iBoxx $ Investment Grade Corporate Bond ETF

iShares 20+ Year Treasury Bond ETF

iShares 7-10 Year Treasury Bond ETF

iShares 1-3 Year Treasury Bond ETF

iShares International Treasury Bond ETF

iShares 1-3 Year International Treasury Bond ETF

iShares Short-Term National Muni Bond ETF

iShares Agency Bond ETF

iShares J.P. Morgan USD Emerging Markets Bond ETF

iShares New York Muni Bond ETF

iShares California Muni Bond ETF

iShares National Muni Bond ETF

iShares iBoxx $ High Yield Corporate Bond ETF

iShares MBS ETF

iShares Government/Credit Bond ETF

iShares Intermediate Government/Credit Bond ETF

iShares Broad USD Investment Grade Corporate Bond ETF

iShares 5-10 Year Investment Grade Corporate Bond ETF

iShares 1-5 Year Investment Grade Corporate Bond ETF

iShares 10-20 Year Treasury Bond ETF

iShares 3-7 Year Treasury Bond ETF

iShares Short Treasury Bond ETF

iShares Core 10+ Year USD Bond ETF

iShares 10+ Year Investment Grade Corporate Bond ETF

iShares Core U.S. Treasury Bond ETF

iShares Aaa - A Rated Corporate Bond ETF

iShares Core GNMA Bond ETF

iShares CMBS ETF

iShares Floating Rate Bond ETF

iShares 0-5 Year TIPS Bond ETF

BlackRock Short Maturity Bond ETF

iShares Core Short-Term USD Bond ETF

iShares iBonds Mar 2020 Term Corporate ex-Financials ETF

iShares iBonds Mar 2023 Term Corporate ex-Financials ETF

iShares iBonds Mar 2023 Term Corporate ETF

iShares iBonds Mar 2020 Term Corporate ETF

iShares 0-5 Year Investment Grade Corporate Bond ETF

iShares 0-5 Year High Yield Corporate Bond ETF

iShares iBonds Sep 2020 Term Muni Bond ETF

iShares Core Total USD Bond Market ETF

iShares Yield Optimized Bond ETF

iShares Treasury Floating Rate Bond ETF

BlackRock Ultra Short-Term Bond ETF

iShares iBonds Dec 2020 Term Corporate ETF

? 2021 National Association of Insurance Commissioners

CUSIP

46138G805

46138G888

464286178

464286210

464286251

464286285

464286517

464287176

464287226

464287242

464287432

464287440

464287457

464288117

464288125

464288158

464288166

464288281

464288323

464288356

464288414

464288513

464288588

464288596

464288612

464288620

464288638

464288646

464288653

464288661

464288679

464289479

464289511

46429B267

46429B291

46429B333

46429B366

46429B655

46429B747

46431W507

46432F859

46432FAK3

46432FAN7

46432FAZ0

46432FBC0

46434V100

46434V407

46434V571

46434V613

46434V787

46434V860

46434V878

46434VAQ3

Page 2 of 4

DIVERSIFICATION STATUS

Diversified

Diversified

Diversified

Diversified

Diversified

Non-diversified

Non-diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Non-diversified

Non-diversified

Diversified

Diversified

Diversified

Non-diversified

Non-diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

ETF NAME

iShares iBonds Dec 2023 Term Corporate ETF

iShares iBonds Dec 2022 Term Corporate ETF

iShares iBonds Dec 2025 Term Corporate ETF

iShares iBonds Dec 2024 Term Corporate ETF

iShares iBonds Dec 2021 Term Corporate ETF

iShares ESG Aware USD Corporate Bond ETF

iShares Investment Grade Bond Factor ETF

iShares ESG Aware 1-5 Year USD Corporate Bond ETF

iShares High Yield Bond Factor ETF

iShares iBoxx $ High Yield ex Oil & Gas Corporate Bond ETF

iShares Fallen Angels USD Bond ETF

iShares iBonds Dec 2022 Term Muni Bond ETF

iShares iBonds Dec 2021 Term Muni Bond ETF

iShares iBonds Dec 2026 Term Corporate ETF

iShares iBonds Dec 2025 Term Muni Bond ETF

iShares BB Rated Corporate Bond ETF

iShares iBonds Dec 2028 Term Corporate ETF

iShares ESG Aware U.S. Aggregate Bond ETF

iShares iBonds Dec 2024 Term Muni Bond ETF

iShares Broad USD High Yield Corporate Bond ETF

iShares iBonds Dec 2029 Term Corporate ETF

JPMorgan Corporate Bond Research Enhanced ETF

JPMorgan U.S. Aggregate Bond ETF

JPMorgan USD Emerging Markets Sovereign Bond ETF

JPMorgan Ultra-Short Income ETF

JPMorgan High Yield Research Enhanced ETF

Janus Henderson Short Duration Income ETF

AAF First Priority CLO Bond ETF

Sage ESG Intermediate Credit ETF

NuShares Enhanced Yield U.S. Aggregate Bond ETF

NuShares Enhanced Yield 1-5 Year U.S. Aggregate Bond ETF

PGIM Ultra Short Bond ETF (Active Fund)

PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund

PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund

PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund

PIMCO Enhanced Short Maturity Active Exchange-Traded Fund

SPDR Portfolio Corporate Bond ETF

SPDR Bloomberg Barclays International Corporate Bond ETF

SPDR Nuveen Bloomberg Barclays High Yield Municipal Bond ETF

SPDR Bloomberg Barclays Short Term International Treasury Bond ETF

SPDR Portfolio Long Term Corporate Bond ETF

SPDR Portfolio Intermediate Term Corporate Bond ETF

SPDR Portfolio Mortgage Backed Bond ETF

SPDR Bloomberg Barclays Emerging Markets Local Bond ETF

SPDR Portfolio Short Term Corporate Bond ETF

SPDR FTSE International Government Inflation-Protected Bond ETF

SPDR Bloomberg Barclays International Treasury Bond ETF

SPDR Portfolio Aggregate Bond ETF

SPDR Portfolio TIPS ETF

SPDR Portfolio Long Term Treasury ETF

SPDR Portfolio Intermediate Term Treasury ETF

SPDR Blackstone / GSO Senior Loan ETF

SPDR SSGA Ultra Short Term Bond ETF

? 2021 National Association of Insurance Commissioners

Page 3 of 4

CUSIP

46434VAX8

46434VBA7

46434VBD1

46434VBG4

46434VBK5

46435G193

46435G219

46435G243

46435G250

46435G441

46435G474

46435G755

46435G789

46435GAA0

46435U432

46435U473

46435U515

46435U549

46435U697

46435U853

46436E205

46641Q449

46641Q613

46641Q746

46641Q837

46641Q878

47103U886

53656F656

66538H583

67092P102

67092P110

69344A107

72201R643

72201R783

72201R817

72201R833

78464A144

78464A151

78464A284

78464A334

78464A367

78464A375

78464A383

78464A391

78464A474

78464A490

78464A516

78464A649

78464A656

78464A664

78464A672

78467V608

78467V707

DIVERSIFICATION STATUS

Diversified

Diversified

Diversified

Diversified

Diversified

Non-diversified

Diversified

Non-diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Non-diversified

Diversified

Non-diversified

Diversified

Non-diversified

Non-diversified

Non-diversified

Diversified

Diversified

Non-diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Non-diversified

Diversified

Diversified

Diversified

Non-diversified

Diversified

Non-diversified

Non-diversified

Diversified

Diversified

Diversified

Diversified

Diversified

Non-diversified

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