Middlefield Funds
 
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  INVESTMENT OBJECTIVE AND STRATEGY  
 
 
  Middlefield Healthcare & Life Sciences ETF focuses on investing in securities of issuers operating in or that derive a significant portion of their earnings or revenue from products or services related to the healthcare, life sciences and related industries.  
     
     
 
LS $
CLOSING PRICE:
 
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  Ticker/CUSIP: LS / 596336107
  Inception Date: July 21, 2017
  NAV/Unit: $      
  Monthly Distributions: $0.05
  Advisor: Middlefield Capital Corporation
  Industry Advisor: SSR - Dr. Richard Evans
  Eligibility: All Registered and Non-Registered Accounts
  Management Fee: 0.85%
  Risk Rating: Medium
  Exchange: Toronto Stock Exchange
  Proxy Voting Record: View  
 
  PERFORMANCE | DISTRIBUTIONS | HOLDINGS | DRIP  
PERFORMANCE (As of October 31, 2021)
1 Month 3 Months 6 Months YTD 1 Year 3 Years 5 Years 10 Years Since Inception
1.85% 1.51% 11.96% 9.74% 19.63% 10.74% - - 10.23%
DISTRIBUTIONS
Total NAV & Distributions (Since Inception): $
Year
  RECORD DATE PAYMENT DATE PAYMENT AMOUNT  
  December 31, 2021 January 14, 2022 $0.05  
  November 30, 2021 December 15, 2021 $0.05  
  October 31, 2021 November 15, 2021 $0.05  
  September 30, 2021 October 15, 2021 $0.05  
  August 31, 2021 September 15, 2021 $0.05  
  July 31, 2021 August 13, 2021 $0.05  
  June 30, 2021 July 15, 2021 $0.05  
  May 31, 2021 June 15, 2021 $0.05  
  April 30, 2021 May 14, 2021 $0.05  
  March 31, 2021 April 15, 2021 $0.05  
  February 28, 2021 March 15, 2021 $0.05  
  January 31, 2021 February 12, 2021 $0.05  
  RECORD DATE PAYMENT DATE PAYMENT AMOUNT  
  December 31, 2020 January 15, 2021 $0.05  
  November 30, 2020 December 15, 2020 $0.05  
  October 31, 2020 November 13, 2020 $0.05  
  September 30, 2020 October 15, 2020 $0.05  
  August 31, 2020 September 15, 2020 $0.05  
  July 31, 2020 August 14, 2020 $0.05  
  June 30, 2020 July 15, 2020 $0.05  
  May 31, 2020 June 15, 2020 $0.05  
  April 30, 2020 May 15, 2020 $0.05  
  March 31, 2020 April 15, 2020 $0.05  
  February 29, 2020 March 13, 2020 $0.05  
  January 31, 2020 February 14, 2020 $0.05  
  RECORD DATE PAYMENT DATE PAYMENT AMOUNT  
  December 31, 2019 January 15, 2020 $0.05  
  November 30, 2019 December 13, 2019 $0.05  
  October 31, 2019 November 15, 2019 $0.05  
  September 30, 2019 October 15, 2019 $0.05  
  August 31, 2019 September 13, 2019 $0.05  
  July 31, 2019 August 15, 2019 $0.05  
  June 30, 2019 July 15, 2019 $0.05  
  May 31, 2019 June 15, 2019 $0.05  
  April 30, 2019 May 15, 2019 $0.05  
  March 31, 2019 April 15, 2019 $0.04167  
  February 28, 2019 March 15, 2019 $0.04167  
  January 31, 2019 February 06, 2019 $0.04167  
  RECORD DATE PAYMENT DATE PAYMENT AMOUNT  
  December 31, 2018 January 15, 2019 $0.04167  
  November 30, 2018 December 14, 2018 $0.04167  
  October 31, 2018 November 15, 2018 $0.04167  
  September 30, 2018 October 15, 2018 $0.04167  
  August 31, 2018 September 14, 2018 $0.04167  
  July 31, 2018 August 15, 2018 $0.04167  
  June 30, 2018 July 13, 2018 $0.04167  
  May 31, 2018 June 15, 2018 $0.04167  
  April 30, 2018 May 15, 2018 $0.04167  
  March 31, 2018 April 13, 2018 $0.04167  
  February 28, 2018 March 15, 2018 $0.04167  
  January 31, 2018 February 15, 2018 $0.04167  
  RECORD DATE PAYMENT DATE PAYMENT AMOUNT  
  December 31, 2017 January 15, 2018 $0.04167  
  November 30, 2017 December 15, 2017 $0.04167  
 
HOLDINGS (As of October 31, 2021)
 
  SECTOR ALLOCATION (%)
 
Portfolio
Weight
Pharmaceuticals 30.6
Healthcare Equipment 26.8
Biotechnology 17.8
Life Sciences Tools & Services 10.1
Managed Healthcare 7.9
Healthcare Distributors 3.1
Healthcare Services 2.6
Healthcare Technology 1.1
GEOGRAPHIC ALLOCATION
 
TOP 10 HOLDINGS  
Eli Lilly & Co
UnitedHealth Group Inc
Thermo Fisher Scientific Inc
Johnson & Johnson
Danaher Corp
AstraZeneca PLC
Dexcom Inc
Moderna Inc
AbbVie Inc
Pfizer Inc
 
  PORTFOLIO MANAGERS  
 
Dean Orrico
Dean Orrico
President & Chief Investment
Officer
 
Robert Moffat
Director, Investments & Portfolio Manager 
   
             
 
 
INDUSTRY ADVISOR  
 
Richard Evans
Dr. Richard Evans
Healthcare Advisor
SSR Co-Founder
 
     
 
 
 
     
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