SDOG ALPS SECTOR DIVIDEND DOGS ETF VALUE, INCOME, DIVERSIFICATION
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1 ALPS SECTOR DIVIDEND DOGS ETF VALUE, INCOME, DIVERSIFICATION discipline diversification analysis SDOG provides the potential opportunity to capture above-market returns and high dividend income in a disciplined, diversified, and transparent structure. SDOG INVESTMENT PRIMER September 30, 2018
2 Value & dividend strategies tend to have unintentional sector biases, creating issues with diversification. When choosing a factor based ETF, investors face a tradeoff between factor exposure and diversification High Conviction Undiversified High Conviction Sector/Stock Diversified FACTOR EXPOSURE Sub-OPTIMAL Low Conviction Diversified DIVERSIFICATION For illustrative purposes only. We believe investors should not have to choose between dividend yield & diversification. Analysis shows that it is possible to find both value & income in every sector of the market by isolating screens on a sector- by- sector basis. ALPS Sector Dividend Dogs ETF (SDOG): High dividend yield relative to U.S. Large Cap Dividend Indices Alpha potential through deep value screening Diversification at the stock & sector levels
3 Start with a Dividend- Rich Universe Starting with the S&P 500 means that SDOG draws from what is widely regarded as the best single gauge of leading large-cap U.S. equities with a history of attractive dividend actions. Exhibit 1: Favorable Dividend Actions S&P 500 Non-S&P 500 Common 80% Exhibit 2: Unfavorable Dividend Actions S&P 500 Non-S&P 500 Common 20% 70% 60% 15% 50% 40% 30% 20% 5% 0% % Note: Non S&P 500 issues consists of U.S. listed common stock shares not in the S&P 500, excluding Real Estate Investment Trusts. Percentages shown indicate the rate of favorable/ unfavorable actions for issues within each group. Source: Standard & Poor s and FactSet, 12/31/07-12/31/17 Finding Dividend Yield in All Corners of the Market Dividend yield is a proven factor to screen for value, and we believe isolating the screen on a sector- by- sector basis helps to identify value and equity income opportunities across all sectors of the market in a high conviction manner. Exhibit 3: Dividend Yield as a Value Screen Price-to-Earnings Ratios by Dividend Yield Grouping /31/ /31/ /31/ /31/ /31/2017 Note: Top/Bottom 50 Yielders are the 50 stocks in the S&P 500 Index with the highest/lowest dividend yields as of the given date. Source: Bloomberg data as of 12/31/17. S&P 500 Top 50 Yielders S&P 500 Index S&P 500 Bottom 50 Yielders Over the past 10 years, the S&P 500 s top 50 yielders have exhibited, on average, lower price-to-earnings ratios compared to the lowest 50 yielders. Past performance does not guarantee future results.
4 Equal Sector Weighting Methodology Enhances Diversification & Increases Opportunities Equal weight methodology at both the stock and sector levels allows for participation in all market rallies, and also has the potential to lower volatility when larger sectors perform poorly. n Consumer Discretionary n Consumer Staples n Energy n Financials n Health Care n Industrials n Information Technology n Materials n Telecommunication Services n Utilities For illustrative purposes only. Disciplined Rebalancing Reinforces the Integrity of the Portfolio Rebalancing quarterly and reconstituting annually keeps the fund true to its objectives, allowing the mean reversion story to continue to play out each quarter. SDOGX Deep Value Portfolio Value Factor Outperforms Valuations Rise Rebalance Sell overvalued names. Buy undervalued names. Deep Value Profile Restored For illustrative purposes only. Diversification does not eliminate the risk of experiencing investment losses.
5 $10,000 Hypothetical Investment $25,000 $20,000 $15,000 $10,000 6/30/12 12/31/12 6/30/13 12/31/13 6/30/14 12/31/14 6/30/15 12/31/15 SDOG NAV 6/30/16 12/31/16 6/30/17 12/31/17 6/30/18 9/30/18 The chart above represents the total return historical performance of a hypothetical investment of $10,000 in the Fund over the life of the Fund. Performance calculations are as of the end of each month. Past performance does not guarantee future results. This chart does not reflect the deduction of taxes that a shareholder would pay on Fund distributions or the redemption of Fund shares. Performance as of 9/30/18 Total Returns 3 Mo. 6 Mo. YTD 1 Yr. 3 Yr. 5 Yr. Cumulative S.I. 1 Annualized S.I. 1 ALPS Sector Dividend Dogs ETF (Net Asset Value) 3.99% 6.85% 2.92% 7.76% 14.53% 11.27% % 14.23% ALPS Sector Dividend Dogs ETF (Market Price) % 6.75% 2.88% 7.80% 14.54% 11.27% % 14.24% S&P 500 Total Return Index (Benchmark) 7.71% 11.41% 10.56% 17.91% 17.31% 13.95% % 15.31% S-Network Sector Dividend Dogs TR Index (Benchmark) 4.11% 7.09% 3.26% 8.25% % % 14.78% Performance data quoted represents past performance. Past performance does not guarantee future results. Current performance may be higher or lower than actual data quoted. Call or visit for current month end performance. The investment return and principal value of an investment will fluctuate so that an investor s shares, when redeemed, may be worth more or less than their original cost. 1 Fund inception date of 6/29/12. 2 Market Price is based on the midpoint of the bid/ask spread at 4 p.m. ET and does not represent the returns an investor would receive if shares were traded at other times. ETF Stats Ticker: Underlying Index: Listing Exchange: SDOG SDOGXTR NYSE Arca CUSIP: 00162Q 858 Fund Inception: 6/29/12 Dividends Paid: Quarterly Most Recent Dividend*: $ Gross Expense Ratio: 0.40% NAV**: $45.85 Shares Outstanding: 49,309,140 * Dividend Paid on 9/27/18 ** As of 9/30/18 Investment Objective The Fund seeks investment results that replicate as closely as possible, before fees and expenses, the performance of the S-Network Sector Dividend Dogs Index (the Underlying Index ). HHHH 4-Star Overall Morningstar Rating TM As of 9/30/18 among 47 U.S. ETF Large Value Funds based on risk-adjusted return 2018 Morningstar, Inc. All Rights Reserved. The information contained herein: (1) is proprietary to Morningstar; (2) may not be copied or distributed; and (3) 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. For each fund with at least a three-year history, Morningstar calculates a Morningstar Rating based on a Morningstar Risk-Adjusted Return measure that accounts for variation in a fund s monthly performance (including the effects of sales charges, loads, and redemption fees), placing more emphasis on downward variations and rewarding consistent performance. The top of funds in each category receive 5 stars, the next 22.5% receive 4 stars, the next 35% receive 3 stars, the next 22.5% receive 2 stars and the bottom receive 1 star. (Each share class is counted as a fraction of one fund within this scale and rated separately, which may cause slight variations in the distribution percentages.) The Overall Morningstar Rating for a fund is derived from a weighted average of the performance figures associated with its three-, five- and ten-year (if applicable) Morningstar Rating metrics. As of June 30, 2018, ALPS Sector Dividend Dogs ETF was rated against the following numbers of U.S. ETF Large Value funds over the following time periods: 47 funds in the last three and 38 funds in the last five years. With respect to these U.S. ETF Large Value funds, ALPS Sector Dividend Dogs ETF received a Morningstar Rating of 4 stars, 4 stars for the three-year period and 4 stars for the five-year period. Past performance is no guarantee of future results Morningstar, Inc. All Rights Reserved.
6 Important Disclosures & Definitions An investor should consider the investment objectives, risks, charges and expenses carefully before investing. To obtain a prospectus which contain this and other information call or visit Read the prospectus carefully before investing. ALPS Sector Dividend Dogs ETF Shares are not individually redeemable. Investors buy and sell shares of the ALPS Sector Dividend Dogs ETF on a secondary market. Only market makers or authorized participants may trade directly with the Fund, typically in blocks of 50,000 shares. There are risks involved with investing in ETFs including the loss of money. Additional information regarding the risks of this investment is available in the prospectus. The Fund is subject to the additional risks associated with concentrating its investments in companies in the market sector. An investor cannot invest directly in an index. The S-Network Sector Dividend Dogs Index (Ticker: SDOGX) is designed to serve as a fair, impartial and transparent measure of the performance of US large cap equities with above average dividend yields. The S&P 500 (Ticker: SPX) is an index of 500 stocks chosen for market size, liquidity and industry grouping among other factors. Dogs of the Dow Theory: an investment strategy which proposes that an investor annually select for investment the ten Dow Jones Industrial Average stocks whose dividend is the highest fraction of their price. Price to earnings ratio: an equity valuation multiple. It is defined as market price per share divided by annual earnings per share. Alpha: A measure of performance on a risk-adjusted basis; often considered the active return on an investment, the ratio gauges the performance of an investment against a market index used as a benchmark. Beta: A measure of the volatility, or systematic risk, of a security or a portfolio in comparison to the market as a whole. Dividend yield: a dividend expressed as a percentage of a current share price. ALPS Portfolio Solutions Distributor, Inc. is the distributor for the ALPS Sector Dividend Dogs ETF. DOG /31/19 Learn More sdog@alpsinc.com
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