Welcome to our dedicated page for iShares Technology Opports Act ETF SEC filings (Ticker: TEK), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
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GS Finance Corp., a subsidiary of The Goldman Sachs Group, Inc., has filed a preliminary Rule 424(b)(2) pricing supplement for two separate tranches of Leveraged Buffered Index-Linked Notes under its Medium-Term Notes, Series F program. Each tranche references a single equity index—the S&P 500® Index (CUSIP 40058JKF1) or the Russell 2000® Index (CUSIP 40058JKE4)—and is fully and unconditionally guaranteed by The Goldman Sachs Group, Inc.
Key economic terms (to be fixed on the July 28 2025 trade date):
- Face amount: $1,000 denominations; initial issue expected July 31 2025.
- Tenor: approximately 2.5 years, maturing on or about February 2 2028.
- No coupons: the notes do not bear periodic interest.
- Upside: 200% participation in positive index performance, capped at a maximum settlement amount of at least $1,212.50 (SPX) and $1,273.50 (RTY) per $1,000 face, translating to maximum gross returns of roughly 21.25% and 27.35%, respectively.
- Downside protection: 10% buffer; investors absorb losses only if the index declines more than 10% from the initial level, after which losses are 1-for-1 beyond the buffer.
- Estimated value: $925-$955 per $1,000 face at pricing, i.e., 4.5-7.5% below issue price, reflecting embedded fees and hedging costs.
- Secondary market: Goldman Sachs & Co. LLC (GS&Co.) may act as market maker but is not obligated; liquidity and pricing will reflect GS&Co.’s bid-ask spread and declining embedded fees.
Risk highlights disclosed in “Additional Risk Factors” include credit risk of both the issuer and guarantor, capped upside, potential for substantial principal loss beyond the 10% buffer, valuation below issue price at inception, limited liquidity, conflicts of interest (GS&Co. is both underwriter and calculation agent) and uncertain tax treatment (pre-paid derivative characterization, FATCA exposure, possible future IRS guidance).
Investors should view the notes as short-dated, leveraged structured products that trade off limited downside protection against a hard cap on gains and significant embedded fees. Suitability hinges on a moderately bullish view of the chosen index within the buffer/cap parameters, tolerance for Goldman credit risk and acceptance of illiquidity and tax complexity.
Union Pacific Corp. (UNP) – Form 4 insider activity
Director Sheri H. Edison reported one transaction dated 07/01/2025. She acquired 201 Phantom Stock Units (deferred-compensation derivative security) at a stated price of $0.00 conversion price, with the underlying reference price shown as $235.57 per share. Phantom units convert to cash on retirement on a 1:1 basis with the company’s common shares. Following this award, Edison’s total beneficial ownership of phantom units rose to 2,834, held directly.
The filing contains no sales, no non-derivative share movements and no changes to ordinary share ownership. Because phantom stock is settled in cash, it does not immediately alter the company’s share count but increases the director’s economic exposure to UNP’s share price.
BlackRock ETF Trust – iShares International Country Rotation Active ETF submitted a monthly Form N-PORT (as of 30 Apr 2025) covering portfolio assets, liabilities, risk metrics and flow data.
Balance-sheet highlights:
- Total assets: $6,439,589.71
- Total liabilities: $190,593.44
- Net assets: $6,248,996.27
- Cash & cash equivalents (not elsewhere reported): $6,601.66
- No outstanding borrowings, preferred stock, delayed-delivery payables or standby commitments were reported.
Performance: The fund recorded positive monthly total returns for the prior three months of 2.14 %, 0.28 % and 3.05 %, respectively. Net unrealized appreciation contributed strongly in Months 1 and 3, with gains of $127,063 and $194,832, while modest realized losses were booked in Months 2 (-$29,574) and 3 (-$9,774).
Securities lending: Aggregate securities on loan totaled $92,138.64—UBS AG ($13,290) and BofA Securities ($78,848.64). The filer indicates that non-cash collateral was accepted.
Risk metrics: The fund disclosed no material credit-spread sensitivity (all SDV01 fields blank) and held no controlled-foreign-corporation or derivatives exposures for the period.
Flows: Share-sales and redemption data were not provided in the excerpt; therefore net flows cannot be assessed.
Context: With net assets of just $6.25 million, the ETF remains comparatively small within BlackRock’s lineup. Absence of leverage and continued positive returns point to a conservative profile, but realized losses and the fund’s limited scale warrant monitoring. The filing does not state whether this is the Fund’s final N-PORT submission.
BlackRock ETF Trust – iShares Enhanced Short-Term Bond Active ETF submitted a routine Form N-PORT for the period ended 30 April 2025. The filing shows total assets of $96.89 million, offset by minimal liabilities of $32 k, resulting in net assets of $96.86 million. Cash and cash equivalents not otherwise classified amount to $122 k.
Portfolio risk metrics indicate limited duration and credit exposure: a 1 bp parallel shift in rates (DV01) would change value by $771 at the 3-month tenor and –$1.77 k at 1-year; a 100 bp shift (DV100) would move the same tenors by $39.34 k and $4.71 k respectively. Credit-spread sensitivity remains modest, with investment-grade CS01 of $449 at 3 months and high-yield CS01 of $77.
The ETF reported three consecutive positive total-return months of 0.30%, 0.33%, and 0.33%. However, derivatives activity produced realized losses and unrealized depreciation in both foreign-exchange forwards and interest-rate futures, with cumulative unrealized FX losses exceeding $118 k across the first two months.
No borrowings, preferred shares, or material off-balance-sheet leverage are disclosed, and securities-lending collateral was entirely cash. Management does not mark this as the fund’s final N-PORT filing.
BlackRock U.S. Carbon Transition Readiness ETF (Series ID S000071281, CIK 0001761055) filed its monthly Form N-PORT for the period ended 30 April 2025.
The fund reported $1.152 billion in total assets and $1.146 billion in net assets, with liabilities of just $6.45 million (≈0.6 % of assets), indicating a conservative balance sheet. Securities-lending exposure is modest at roughly $2.9 million (≈0.25 % of net assets) across six prime brokers, led by Barclays Bank PLC.
Performance was weak: three-month total returns were -1.74 %, -6.16 %, and -0.65 %. Equity futures produced realized losses of $551 k in Month 2 and cumulative unrealized swings (±$209 k). Non-derivative holdings showed sizeable unrealized depreciations of $35 m and $82 m in Months 1-2, outweighing realized gains. Cash and cash equivalents stood at $383 k.
No borrowings, preferred stock, or controlled-foreign-corporation assets were reported, and credit-spread risk metrics were blank, suggesting minimal fixed-income exposure. Overall, the filing shows a well-capitalised fund facing recent negative returns and valuation markdowns.
BlackRock ETF Trust – iShares A.I. Innovation and Tech Active ETF (Series ID S000086268, LEI 529900A898KGKVGZQ177) filed its monthly Form NPORT-P for the period ended 30 April 2025. The fund reported total assets of $138.66 million, offset by liabilities of $8.48 million, resulting in net assets of $130.18 million. No borrowing, preferred stock, delayed-delivery payables or controlled foreign corporation exposure was disclosed, underscoring a low-leverage balance sheet. Cash not otherwise classified totaled $3,482.63.
Performance: Monthly total returns for the last three months were -8.93 %, -14.68 %, and +3.40 %, reflecting elevated volatility. Realized and unrealized activity shows sizeable losses in Months 1-2 (realized losses of $0.91 m and $4.03 m; unrealized depreciation of $8.85 m and $10.95 m) followed by a reversal in Month 3 (realized loss $5.11 m offset by unrealized appreciation of $12.53 m).
Securities lending: Six counterparties held securities on loan totaling roughly $4.19 million, led by UBS AG ($1.58 m), Wells Fargo ($0.96 m) and Citigroup Global Markets ($0.76 m). The filing indicates non-cash collateral may have been accepted, but specifics were not provided.
Risk metrics: Item B.3 credit-spread risk fields were left blank, implying debt exposure below the 25 % NAV threshold. No derivatives data were supplied in Item B.5(c).
The registrant signals this is not a final NPORT filing. Contact and submission fields were blank, typical for automated filings.
BlackRock ETF Trust – iShares FinTech Active ETF filed its monthly Form N-PORT for the period ended 30 Apr 2025.
Balance Sheet (Part B.1)
- Total assets: $6,835,139.04
- Total liabilities: $828,198.59
- Net assets: $6,006,940.45
- Cash & cash equivalents not otherwise classified: $8,422.89
Performance (Part B.5)
- Month 1 return: -7.37 %
- Month 2 return: -7.26 %
- Month 3 return: +3.06 %
Realised / Unrealised Results (non-derivative)
- Month 1: realised $113,848; unrealised -$617,032
- Month 2: realised $23,980; unrealised -$479,670
- Month 3: realised -$89,660; unrealised +$271,975
Securities Lending (Part B.4)
- Total on loan to four counterparties: $404,599.30 (UBS AG accounts for c.70 %)
- Borrowers include Goldman Sachs, JPMorgan, HSBC and UBS; LEIs are disclosed.
- The filing notes a Yes/No prompt regarding non-cash collateral without selecting one conclusively.
Leverage & Risk
- No borrowings reported (all categories show $0.00).
- Credit-spread risk metrics were left blank, indicating exposures below the 25 % threshold or not applicable.
The ETF remains small ($6 m net assets) and experienced material drawdowns in the first two reported months, partially offset by a recovery in Month 3. Absence of debt and modest cash reserves limit balance-sheet risk, while securities-lending activity provides incremental income but concentrates counterparty exposure.
BlackRock ETF Trust – iShares Long-Term U.S. Equity Active ETF (symbol: TEK) has filed its Form N-PORT for the period ended 30 April 2025. The Series discloses total assets of $6,772,041 against liabilities of just $18,221, leaving net assets of $6,753,821; leverage is therefore negligible (≈0.3% of assets).
Recent performance was mixed and volatile. Monthly total returns were -4.43%, -7.86% and +1.66% over the last three months. Realised and unrealised results reflect this pattern:
- Month 1: realised loss $51,524; unrealised depreciation $462,243.
- Month 2: realised loss $404,596; unrealised depreciation $467,763.
- Month 3: realised loss $203,825; unrealised appreciation $17,957.
Risk and balance-sheet profile. The fund reports no borrowings, preferred stock, delayed-delivery payables, or controlled foreign corporation exposure. Securities-lending activity is noted but the collateral type is not specified. Cash and cash equivalents outside Parts C and D are reported at zero.
Other disclosures. Flow information, derivative breakdowns, and a final-filing indication are left blank, limiting insight into shareholder activity and future reporting status.
In sum, TEK remains a small, unlevered portfolio that experienced two materially negative months before a modest rebound in the latest month.
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