Brompton Sustainable Real Assets Dividend ETF

  • Management Style
    Active with Covered Calls
  • Closing Price (Sep 27, 2023)
    $21.61
  • NAV (Sep 27, 2023)
    $21.61
  • Distribution Rate (Sep 27, 2023)
    5.46%
  • ESG Score (1)
    B+
Fund Profile Fund Profile - FR Why Invest Commentary Commentary - FR Portfolio Summary Covered Call Primer KYP Resources
H2/2023 Outlook: Still waiting for a recession
Choosing the Right Covered Call Strategy
The Real Solution for Inflation
Drilling Like it’s $40 Oil

This ETF provides high monthly distributions and the opportunity for capital appreciation by investing in an actively managed portfolio of Global Real Assets companies (primarily real estate, utilities, infrastructure, resources), complemented by a proprietary covered call options program to enhance monthly income. Our Portfolio Management team first uses a top-down analysis to identify attractive sub-sectors. Rigorous fundamental analysis including the integration of ESG factors focuses the portfolio on well-positioned, large-capitalization Real Assets issuers. The Portfolio Managers then actively set the level of covered call writing with the goal of optimizing distributable cash and total returns, and reducing portfolio volatility.

Why Invest in Real Assets?

  • Better risk-adjusted returns for diversified Real Assets, compared to Global Equities or individual sectors (Real Estate, Utilities, or Infrastructure)
  • Real Assets companies have stable cash flows and consistent, attractive dividends.
  • Real Assets equities growth is driven by secular trends: investor focus on dividends, increasing government outsourcing, 5G rollout and cloud growth, urban intensification
  • Brompton’s global expertise can help investors navigate the challenges & opportunities available in Global Real Assets equities

This ETF is for Investors who are:

  • Seeking capital appreciation
  • Seeking enhanced income and lower volatility through covered call strategies
  • Comfortable with equity risk

FUND FACTS

  • Ticker
    BREA
  • CUSIP
    11223H100
  • Outstanding (Sep 27, 2023)
    715,000
  • Inception Date (CAD Hedged)
    April 30, 2020
  • Management Fee
    0.75%
  • Manager/Portfolio Manager
    Brompton Funds Limited
  • Auditor
    PricewaterhouseCoopers LLP
  • Currency
    Hedged to CAD
  • Custodian
    CIBC Mellon Trust Company
  • Transfer Agent
    TSX Trust Company
  • Eligibility
    All registered and non-registered accounts
  • Risk Rating
    Medium

Manager/Portfolio Manager:

Brompton Funds, a division of Brompton Group which was founded in 2000, is an experienced investment fund manager with income focused investment solutions including TSX traded closed-end funds and exchange-traded funds. Brompton’s Portfolio Management team specializes in Canadian and global equity investments and is a leading manager of covered call writing strategies in Canada.

(1) Source: Refinitiv, as at May 31, 2023. Reflects the weighted average ESG Score of the companies held in the portfolio, with ESG Score coverage on 99% of the Fund’s portfolio. The Fund’s ESG Score is updated on a monthly basis. The ESG Score is an overall score of a company based on the reported information in the environmental, social and corporate governance pillars. Letter grades range from D- for the lowest ESG scores to A+ for the highest scores. See https://www.refinitiv.com/content/dam/marketing/en_us/documents/methodology/esg-scores-methodology.pdf for more information. This Fund does not have ESG-related investment objectives. Please see the Fund’s prospectus for its investment objectives and strategies. The ESG score does not evaluate the ESG-related investment objectives of, or any ESG strategies used by, the Fund and is not indicative of how well ESG factors are integrated by the Fund. Other providers may calculate ESG scores using their own methodologies which may differ from the methodology used by Refinitiv. The Fund’s ESG characteristics and performance may differ from time to time. View the trailing 12 month historical ESG Scores for the Fund: https://www.bromptongroup.com/wp-content/uploads/2018/11/Brompton_12_Month_ESG_Scores.pdf.

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Brompton Sustainable Real Assets Dividend ETF

Summary of Investment Portfolio as at August 31, 2023

Total Net Asset Value$15,730,000

Top 25 Holdings

% of Portfolio% of Net Asset Value
Canadian Pacific Kansas City Ltd.5.2%
Canadian Natural Resources Ltd.5.0%
Exxon Mobil Corp.4.7%
Air Liquide S.A.4.0%
Prologis Inc.3.7%
Koninklijke KPN NV3.6%
Williams Companies Inc.3.5%
Vinci S.A.3.5%
Exelon Corp.3.4%
Cenovus Energy Inc.3.3%
Cameco Corp.3.3%
Targa Resources Corp.3.3%
Southern Co.3.3%
T-Mobile US Inc.3.3%
Fortis Inc.3.3%
Linde PLC3.3%
Parker-Hannifin Corp.3.2%
Constellation Energy Corp.3.2%
Stantec Inc.3.1%
Schneider Electric SE3.0%
Veolia Environnement S.A.2.9%
Agnico Eagle Mines Ltd.2.8%
Siemens AG2.7%
Ferrovial SE2.7%
Prysmian SpA2.6%
Total0%85.9%

1)The investment portfolio may change due to ongoing portfolio transactions of the investment fund. Quarterly updates are available on the Fund's website at www.bromptongroup.com within 60 days of each quarter end.

2)Totals may not equal 100% due to rounding.

Performance NAV History

Growth of $10,000(1)

Annual Compound Returns(2)

YTD 1-year 3-years Since Inception(3)
Brompton Sustainable Real Assets Dividend ETF 1.0% (2.2%) 6.2% 7.8%

Year-by-Year Returns

2022 2021 2020 (4)
Brompton Sustainable Real Assets Dividend ETF (6.9%) 22.9% 11.3%

(1) The chart is hypothetical and intended for illustrative purposes only. The chart reflects a hypothetical $10,000 investment based on Net Asset Value per unit and assumes that distributions made by the Fund on its units were reinvested at Net Asset Value per unit in additional units of the Fund. The chart is derived from data supplied by Morningstar. © 2021 Morningstar. All Rights Reserved. The information contained herein: (i) is proprietary to Morningstar and/or its content providers; (ii) may not be copied or distributed; and (iii) is not warranted to be accurate, complete or timely. Neither Morningstar nor its content providers are responsible for any damages or losses arising from any use of this information. Past performance is no guarantee of future results.

(2) Returns are for the periods ended August 31, 2023. The table above shows the past performance of the Fund. Past performance does not necessarily indicate how the Fund will perform in the future. The information shown is based on Net Asset Value per unit and assumes that distributions made by the Fund on its units in the period shown were reinvested at Net Asset Value per unit in additional units of the Fund. The table above also shows the Fund's compound return for each period indicated.

(3) Period from April 30, 2020 (commencement of operations) to August 31, 2023.

(4) Period from April 30, 2020 (Inception) to December 31, 2020.

Returns for Brompton Sustainable Real Assets Dividend ETF are unaudited.

Commissions, trailing commissions, management fees and expenses all may be associated with exchange-traded fund investments. Please read the prospectus before investing. The indicated rates of return are the historical annual compounded total returns including changes in unit value and reinvestment of all distributions and do not take into account sales, redemption, distribution or optional charges or income taxes payable by any securityholder that would have reduced returns. Exchange-traded funds are not guaranteed, their values change frequently and past performance may not be repeated.

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Distributions

The actual breakdown of distributions for tax purposes will be provided to unitholders annually in March. This information will also be posted on the website as soon as it is available.

This information is of a general nature only and does not constitute legal or tax advice to any particular investor. Accordingly, prospective investors are advised to consult their own tax advisors with respect to their individual circumstances.

DRIP

Investors may elect to automatically reinvest their distributions in additional units of the Fund and realize the benefits of compound growth.

DRIP Plan

Tax Allocation

The following information is applicable to holders who, for the purposes of the Income Tax Act (Canada), are resident in Canada and hold trust units as capital property. If this is not the case, a tax advisor should be consulted.

Holders of trust units outside of a RRSP, DPSP, RRIF, RESP or TFSA should expect to receive a T3 slip from their investment dealer. T3 supplementary slips will indicate Investment Income in Box 26, Foreign Non-Business Income in Box 25, Capital Gains in Box 21 and Dividend Income in Box 23 and Box 49. Dividend income is subject to the standard gross up and federal dividend tax credit rules.

The return of capital component is a non-taxable amount that serves to reduce the adjusted cost base of the Fund units and is reported in Box 42.

Select a year
Record Date Payment Date Capital Gains Eligible Dividend Foreign Non- Business Income Foreign Non- Business Income Tax Paid Other Income Return of Capital Total Distribution
Sep 30, 2023 Oct 16, 2023 0.00000 0.00000 0.00000 0.00000 0.00000 0.00000 0.09833
Aug 31, 2023 Sep 15, 2023 0.00000 0.00000 0.00000 0.00000 0.00000 0.00000 0.09833
Jul 31, 2023 Aug 15, 2023 0.00000 0.00000 0.00000 0.00000 0.00000 0.00000 0.09833
Jun 30, 2023 Jul 17, 2023 0.00000 0.00000 0.00000 0.00000 0.00000 0.00000 0.09833
May 31, 2023 Jun 14, 2023 0.00000 0.00000 0.00000 0.00000 0.00000 0.00000 0.09833
Apr 28, 2023 May 12, 2023 0.00000 0.00000 0.00000 0.00000 0.00000 0.00000 0.09833
Mar 31, 2023 Apr 17, 2023 0.00000 0.00000 0.00000 0.00000 0.00000 0.00000 0.09833
Feb 28, 2023 Mar 14, 2023 0.00000 0.00000 0.00000 0.00000 0.00000 0.00000 0.09833
Jan 31, 2023 Feb 14, 2023 0.00000 0.00000 0.00000 0.00000 0.00000 0.00000 0.09833
Dec 30, 2022 Jan 16, 2023 0.00000 0.02233 0.03034 (0.00725) 0.00000 0.05291 0.09833
Nov 30, 2022 Dec 14, 2022 0.00000 0.02233 0.03034 (0.00725) 0.00000 0.05291 0.09833
Oct 31, 2022 Nov 14, 2022 0.00000 0.02233 0.03034 (0.00725) 0.00000 0.05291 0.09833
Total 0.00000 0.06699 0.09102 (0.02175) 0.00000 0.15873 1.17996
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General Inquiries: (416) 642-9061|Investor Relations: (416) 642-6000|Toll Free: 1-866-642-6001
Email: info@bromptongroup.com
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