Funds Group: ALPS ETF Trust

    Management Company: ALPS Advisors, Inc.

    Funds Affected: (1) Workplace Equality Portfolio, (2) ALPS Clean Energy ETF

    Principal Sustainable Investment Strategy: Thematic Investing

    (1) The fund seeks to replicate the performance of the Workplace Equality Index which is designed to track the performance of companies that support workplace equality for lesbian, gay, bisexual and transgender (LGBT) employees.

    The index consists of approximately 200 publicly traded stocks of U.S. and foreign companies that support equality for LGBT employees through their workplace practices, including non-discrimination policies regarding sexual orientation and gender identity and providing full benefits to for same-sex spouses, domestic partners and transgender individuals.  The index is compiled using publicly available lists and screening sources such as the National Gay & Lesbian Chamber of Commerce® Diversity Inc., Top 50, Stonewall or other screening sources to identify companies with workplace policies that meet the equality criteria established for LGBT employees. A proprietary database is also used for LGBT screening.

    (2) The fund seeks to replicate the performance of the CIBC Atlas Clean Energy Index, which is, in turn, designed provide exposure to a diverse set of U.S. and Canadian companies involved in the clean energy sector including renewables and clean technology. The clean energy sector is comprised of companies that provide the products and services that enable the evolution of a more sustainable energy sector. Clean energy business segments include, but are not limited to, the following activities: (i) renewable energy sources, including solar power, wind power, hydroelectricity, geothermal energy, biomass, biofuels, and tidal/wave energy, (ii) clean technologies, including electric vehicles, energy storage, lithium, fuel cell, LED, smart grid, and energy efficiency technologies and (iii) other emerging clean energy activities and technologies.