Innovator Equity SEC Filings

Innovator Equity Managed Floor ETF (ticker SFLR) submitted a Form NPORT-P “Monthly Portfolio Investments Report”. The excerpt provided is largely a blank template: every quantitative field for assets, liabilities, net assets, risk metrics, returns, securities-lending details and share-flow information is empty. Only structural boiler-plate and field labels appear. The header section labels the submission type as “LIVE”, but a conflicting “TEST” tag is also visible, and no registrant identifiers (CIK, LEI, address) are supplied. Check-box items such as whether the report is final and whether non-cash collateral was received show both “Yes/No” choices without an indicated selection.

Because no numerical or narrative disclosures accompany the form, investors gain no insight into SFLR’s current portfolio composition, risk profile or recent performance. The filing does signal ongoing compliance with SEC monthly reporting requirements, yet the absence of data means that the material financial content that normally drives analysis is missing from this extract.

Innovator Equity Managed Floor ETF (ticker: SFLR) has submitted a Form NPORT-P Monthly Portfolio Investments Report to the SEC. The filing appears to be designated as a LIVE electronic submission, yet virtually all required data fields—such as total assets, liabilities, net assets, portfolio risk metrics, securities-lending details, monthly returns and fund flows—are blank. In addition, the registrant, series, and class identifiers, along with street address and LEI information, have not been provided.

Because the document lacks any quantitative disclosures, it offers no insight into the fund’s current portfolio composition, risk exposure, or recent performance. Investors therefore gain no material information from this particular submission.

This is a Form NPORT-P filing for the Innovator Equity Managed Floor ETF (SFLR) filed on June 28, 2025. NPORT-P is a monthly portfolio holdings report required by the SEC for registered investment companies.

The filing is structured to collect detailed information about the fund's:

• Portfolio-level assets, liabilities, and risk metrics
• Securities lending activities
• Monthly performance returns and flow data
• Derivatives exposure and VaR information
• Liquidity classifications and highly liquid investment minimum details

This appears to be a blank form template submission as no actual portfolio data, risk metrics, or fund statistics are populated in the required fields. The filing is marked as a LIVE submission but lacks the substantive information typically required for NPORT-P reporting.

Innovator Equity Managed Floor ETF (SFLR) has submitted a Form N-PORT-P monthly portfolio report to the SEC. The document supplied is essentially a blank template: key quantitative sections covering total assets, liabilities, net assets, risk metrics, securities-lending activity, monthly returns, derivatives results, and share-flow data contain no numbers. Aside from indicating the filing type (LIVE) and displaying an unchecked “final filing” box, the submission offers no substantive disclosure on the fund’s financial position or performance for the period. As a result, investors receive no insight into SFLR’s portfolio composition, leverage, or recent results from this filing.

This is a Form NPORT-P filing for the Innovator Equity Managed Floor ETF (SFLR) filed on June 28, 2025. Form NPORT-P is a monthly portfolio holdings report required by the SEC for registered investment companies.

The filing appears to be a template or blank form submission, as most data fields are empty. The form is structured to collect detailed information about:

• Fund assets, liabilities, and net assets
• Portfolio-level risk metrics, including interest rate and credit spread risk measures
• Securities lending activities
• Monthly return information and flow data
• Derivatives exposure and highly liquid investment minimums

As a LIVE filing, this document is intended to provide transparency into the fund's portfolio holdings and risk management practices. However, without the actual data populated, meaningful analysis of the fund's current positions and performance is not possible.

This NPORT-P filing for the Innovator Equity Managed Floor ETF (SFLR) represents a monthly portfolio investments report filed with the SEC. The filing contains detailed reporting sections covering:

• General fund information and series details
• Portfolio-level assets, liabilities, and risk metrics
• Securities lending activities
• Monthly return data and flow information
• Derivatives exposure and VaR (Value at Risk) calculations
• Liquidity classifications and risk management metrics

While this is a structured regulatory filing template, the specific portfolio holdings and financial metrics are not populated in the visible portion of the filing. This form is designed to provide transparency into the fund's investment activities, risk management practices, and compliance with SEC regulations including Rule 18f-4 on derivatives use and Rule 22e-4 on liquidity risk management.

UBS AG is offering $350,000 of unlisted Trigger Autocallable Contingent Yield Notes (principal amount $1,000 per Note) linked to the worst performer of Shift4 Payments (FOUR), Mastercard (MA) and Taiwan Semiconductor ADRs (TSM). The three-year Notes (trade: 27-Jun-2025; maturity: 30-Jun-2028) pay a contingent coupon of 11.25% p.a., assessed monthly and featuring a memory mechanism. A coupon is paid only if each underlying closes at or above its coupon barrier (60% of initial level) on the relevant observation date.

• Automatic call: From month 13 onward, the Notes are redeemed at par plus accrued coupons if all underlyings are at or above their call threshold (100% of initial).
• Maturity payoff: If not previously called and no Threshold Event occurs, investors receive par. A Threshold Event requires (i) each underlying below the upper barrier (100%) and (ii) any underlying below the downside threshold (60% of initial). If triggered, redemption equals par reduced by the worst underlying’s percentage loss, up to total loss of principal.
• Estimated initial value: $959.00 (95.9% of issue price), reflecting distribution costs and UBS’s funding spread.
• Distribution economics: UBS Securities receives a $2.50 underwriting discount and pays a $5.00 marketing fee per Note.
• Risks: equity market risk in three names, credit risk of UBS, potential illiquidity (no exchange listing) and possibility of receiving no coupons.

The structure suits investors comfortable with concentration risk in the three underlyings, seeking high income and willing to accept full downside exposure below a 60% threshold.