Mga Batayang Estadistika
| CIK | 1450501 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Columbia ETF Trust II - Columbia Research Enhanced Emerging Economies ETF
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 24, 2022 |
PORTFOLIO OF INVESTMENTS Columbia Emerging Markets Consumer ETF June 30, 2022 (Unaudited) (Percentages represent value of investments compared to net assets) Investments in Securities Columbia Emerging Markets Consumer ETF | First Quarter Report 2022 1 Common Stocks - 99 . |
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| August 24, 2022 |
NPORT-EX 2 nportpoi522768.htm PORTFOLIO OF INVESTMENTS (Consolidated) Columbia India Consumer ETF June 30, 2022 (Unaudited) (Percentages represent value of investments compared to net assets) Investments in Securities Columbia India Consumer ETF | First Quarter Report 2022 1 Notes to Consolidated Portfolio of Investments Common Stocks - 102 .4 % Issuer Shares Value ($) Consumer Discretionary - 58. |
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| August 24, 2022 |
PORTFOLIO OF INVESTMENTS Columbia EM Core ex-China ETF June 30, 2022 (Unaudited) (Percentages represent value of investments compared to net assets) Investments in Securities Columbia EM Core ex-China ETF | First Quarter Report 2022 1 Common Stocks - 95 . |
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| February 24, 2022 |
PORTFOLIO OF INVESTMENTS Columbia Emerging Markets Consumer ETF December 31, 2021 (Unaudited) (Percentages represent value of investments compared to net assets) Investments in Securities | 1 Common Stocks - 99. |
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| February 24, 2022 |
PORTFOLIO OF INVESTMENTS Columbia EM Core ex-China ETF December 31, 2021 (Unaudited) (Percentages represent value of investments compared to net assets) Investments in Securities | 1 Common Stocks - 91. |
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| February 24, 2022 |
PORTFOLIO OF INVESTMENTS (Consolidated) Columbia India Consumer ETF December 31, 2021 (Unaudited) (Percentages represent value of investments compared to net assets) Investments in Securities | 1 Notes to Consolidated Portfolio of Investments Common Stocks - 102. |
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| August 25, 2021 |
PORTFOLIO OF INVESTMENTS (Consolidated) Columbia India Consumer ETF June 30, 2021 (Unaudited) (Percentages represent value of investments compared to net assets) Investments in Securities | 1 Notes to Consolidated Portfolio of Investments Common Stocks - 102. |
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| August 25, 2021 |
PORTFOLIO OF INVESTMENTS Columbia EM Core ex-China ETF June 30, 2021 (Unaudited) (Percentages represent value of investments compared to net assets) Investments in Securities | 1 Common Stocks - 95. |
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| August 25, 2021 |
PORTFOLIO OF INVESTMENTS Columbia Emerging Markets Consumer ETF June 30, 2021 (Unaudited) (Percentages represent value of investments compared to net assets) Investments in Securities | 1 Common Stocks - 99. |
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| February 24, 2021 |
PORTFOLIO OF INVESTMENTS Columbia EM Core ex-China ETF December 31, 2020 (Unaudited) (Percentages represent value of investments compared to net assets) Investments in Securities | 1 Common Stocks - 94 . |
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| February 24, 2021 |
PORTFOLIO OF INVESTMENTS Columbia Emerging Markets Consumer ETF December 31, 2020 (Unaudited) (Percentages represent value of investments compared to net assets) Investments in Securities | 1 Common Stocks - 99 . |
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| February 24, 2021 |
PORTFOLIO OF INVESTMENTS (Consolidated) Columbia India Consumer ETF December 31, 2020 (Unaudited) (Percentages represent value of investments compared to net assets) Investments in Securities | 1 Notes to Consolidated Portfolio of Investments Common Stocks - 101 . |
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| October 27, 2020 |
DEFA14A 1 d34557ddefa14a.htm COLUMBIA ETF TRUST II UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement. ☐ Confidential, for Use of the Commission Only (as per |
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| October 27, 2020 |
Columbia ETF Trust II UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 26, 2020 |
PORTFOLIO OF INVESTMENTS (Consolidated) Columbia India Consumer ETF June 30, 2020 (Unaudited) (Percentages represent value of investments compared to net assets) Investments in Securities | 1 Notes to Consolidated Portfolio of Investments Common Stocks - 99. |
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| August 26, 2020 |
PORTFOLIO OF INVESTMENTS Columbia EM Core ex-China ETF June 30, 2020 (Unaudited) (Percentages represent value of investments compared to net assets) Investments in Securities | 1 Common Stocks - 94. |
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| August 26, 2020 |
PORTFOLIO OF INVESTMENTS Columbia Emerging Markets Consumer ETF June 30, 2020 (Unaudited) (Percentages represent value of investments compared to net assets) Investments in Securities | 1 Common Stocks - 98. |
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| February 25, 2020 |
PORTFOLIO OF INVESTMENTS (Consolidated) Columbia India Consumer ETF December 31, 2019 (Unaudited) (Percentages represent value of investments compared to net assets) Investments in Securities | 1 Notes to Consolidated Portfolio of Investments Common Stocks - 100 . |
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| February 25, 2020 |
PORTFOLIO OF INVESTMENTS Columbia Emerging Markets Consumer ETF December 31, 2019 (Unaudited) (Percentages represent value of investments compared to net assets) Investments in Securities | 1 Common Stocks - 94 . |
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| February 25, 2020 |
PORTFOLIO OF INVESTMENTS Columbia EM Core ex-China ETF December 31,2019 (Unaudited) (Percentages represent value of investments compared to net assets) Investments in Securities | 1 Common Stocks - 92. |
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| August 26, 2019 |
Columbia Etf Trust Ii NPORT-EX - - COLUMBIA ETF TRUST II Columbia ETF Trust II PORTFOLIO OF INVESTMENTS Columbia EM Core ex-China ETF June 30, 2019 (Unaudited) (Percentages represent value of investments compared to net assets) Investments in Securities Issuer Shares Value ($) Common Stocks - 91. |
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| June 21, 2019 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE Arca hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on July 2, 2019, pursuant to the provisions of Rule 12d2-2 (a). |
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| June 21, 2019 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE Arca hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on July 2, 2019, pursuant to the provisions of Rule 12d2-2 (a). |
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| June 21, 2019 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE Arca hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on July 2, 2019, pursuant to the provisions of Rule 12d2-2 (a). |
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| June 21, 2019 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE Arca hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on July 2, 2019, pursuant to the provisions of Rule 12d2-2 (a). |
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| February 25, 2019 |
I, Christopher O. Petersen, certify that: Exhibit 99.CERT I, Christopher O. Petersen, certify that: 1. I have reviewed this report on Form N-Q of Columbia ETF Trust II; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the pe |
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| February 25, 2019 |
Columbia Etf Trust Ii N-Q (Quarterly Schedule of Portfolio Holdings) N-Q 1 a19-44861nq.htm N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22255 Columbia ETF Trust II (Exact name of registrant as specified in charter) 225 Franklin Street Boston, MA 02110 (Address of principal executive offices) (Zip code) C |
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| August 28, 2018 |
Columbia Etf Trust Ii N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22255 Columbia ETF Trust II (Exact name of registrant as specified in charter) 225 Franklin Street Boston, MA 02110 (Address of principal executive offices) (Zip code) Christopher O. Petersen, Es |
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| August 28, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 a18-152621ex99dcert.htm EX-99.CERT Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Christopher O. Petersen, certify that: 1. I have reviewed this report on Form N-Q of Columbia ETF Trust II; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material f |
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| February 27, 2018 |
I, Christopher O. Petersen, certify that: Exhibit 99.CERT I, Christopher O. Petersen, certify that: 1. I have reviewed this report on Form N-Q of Columbia ETF Trust II; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the pe |
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| February 27, 2018 |
Columbia Etf Trust Ii N-Q (Quarterly Schedule of Portfolio Holdings) N-Q 1 a18-54811nq.htm N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22255 Columbia ETF Trust II (Exact name of registrant as specified in charter) 225 Franklin Street Boston, MA 02110 (Address of principal executive offices) (Zip code) R |
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| February 14, 2018 |
UNITED STATES Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* COLUMBIA ETF TRUST II (Name of Issuer) EGS EMKTCONS ETF (Title of Class of Securities) 268461779 (CUSIP Number) Dec 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sc |
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| February 14, 2018 |
Exhibit 1 JOINT FILING AGREEMENT In accordance with rule 13d-1(k) under the Securities Act of 1934, as amended, each of the undersigned entities, as applicable, pursuant to a duly executed power of attorney, hereby agrees to this and any future joint filing of Schedule 13G (including any and all amendments thereto) to be made on their behalf and further agrees to the filing of this Agreement as an Exhibit thereto. |
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| February 14, 2018 |
ECON / Columbia Emerg Mkts Consumer ETF / BANK OF MONTREAL /CAN/ - SC 13G/A Passive Investment SC 13G/A UNITED STATES Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* COLUMBIA ETF TR II (Name of Issuer) EMRG MARKETS ETF (Title of Class of Securities) 19762B509 (CUSIP Number) Dec 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t |
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| February 14, 2018 |
EX-99.1 Exhibit 1 JOINT FILING AGREEMENT In accordance with rule 13d-1(k) under the Securities Act of 1934, as amended, each of the undersigned entities, as applicable, pursuant to a duly executed power of attorney, hereby agrees to this and any future joint filing of Schedule 13G (including any and all amendments thereto) to be made on their behalf and further agrees to the filing of this Agreeme |
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| February 2, 2018 |
SCIN / Columbia India Small Cap ETF / PRUDENTIAL FINANCIAL INC Passive Investment 13G HTML File DOCUMENT TYPE SC 13G/A TEXT SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 22, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22255 Columbia ETF Trust II (Exact name of registrant as specified in charter) 225 Franklin Street Boston, MA 02110 (Address of principal executive offices) (Zip code) Ryan Larrenaga c/o Columbia |
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| August 22, 2017 |
I, Christopher O. Petersen, certify that: Exhibit 99.CERT I, Christopher O. Petersen, certify that: 1. I have reviewed this report on Form N-Q of Columbia ETF Trust II; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the pe |
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| August 1, 2017 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The NYSE Archipelago Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on August 14, 2017, pursuant to the provisions of Rule 12d2-2 (a). |
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| August 1, 2017 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The NYSE Archipelago Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on August 14, 2017, pursuant to the provisions of Rule 12d2-2 (a). |
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| February 27, 2017 |
I, Christopher O. Petersen, certify that: Exhibit 99.CERT I, Christopher O. Petersen, certify that: 1. I have reviewed this report on Form N-Q of Columbia ETF Trust II; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the pe |
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| February 27, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22255 Columbia ETF Trust II (Exact name of registrant as specified in charter) 225 Franklin Street Boston, MA 02110 (Address of principal executive offices) (Zip code) Ryan Larrenaga c/o Columbia |
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| February 14, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Columbia ETF Trust II (Name of Issuer) Columbia India Consumer ETF (Title of Class of Securities) 19762B707 (CUSIP Number) December 31, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| February 14, 2017 |
ECON / Columbia Emerg Mkts Consumer ETF / BANK OF MONTREAL /CAN/ - SCHEDULE 13G Passive Investment Schedule 13G UNITED STATES Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* COLUMBIA ETF TR II (Name of Issuer) EMRG MARKETS ETF (Title of Class of Securities) 19762B509 (CUSIP Number) Dec 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whic |
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| February 14, 2017 |
Schedule 13G Amendment No. 1 UNITED STATES Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* EGA EMERGING GLOBAL SHS TR (Name of Issuer) EGS EMKTCONS ETF (Title of Class of Securities) 268461779 (CUSIP Number) Dec 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| February 14, 2017 |
EX-99.1 2 d315582dex991.htm EX-99.1 Exhibit 1 JOINT FILING AGREEMENT In accordance with rule 13d-1(k) under the Securities Act of 1934, as amended, each of the undersigned entities, as applicable, pursuant to a duly executed power of attorney, hereby agrees to this and any future joint filing of Schedule 13G (including any and all amendments thereto) to be made on their behalf and further agrees t |
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| February 14, 2017 |
EX-99.1 Exhibit 1 JOINT FILING AGREEMENT In accordance with rule 13d-1(k) under the Securities Act of 1934, as amended, each of the undersigned entities, as applicable, pursuant to a duly executed power of attorney, hereby agrees to this and any future joint filing of Schedule 13G (including any and all amendments thereto) to be made on their behalf and further agrees to the filing of this Agreeme |
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| February 14, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Columbia ETF Trust II (Name of Issuer) Columbia India Consumer ETF (Title of Class of Securities) 19762B707 (CUSIP Number) December 31, 2015 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sched |
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| February 14, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Columbia ETF Trust II (Name of Issuer) Columbia India Consumer ETF (Title of Class of Securities) 19762B707 (CUSIP Number) February 07, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| February 10, 2017 |
SCIN / Columbia India Small Cap ETF / PRUDENTIAL FINANCIAL INC Passive Investment 13G HTML File DOCUMENT TYPE SC 13G TEXT SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 26, 2016 |
EGA Emerging Global Shares Trust DEFA14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| August 26, 2016 |
EGA Emerging Global Shares Trust DEFA14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| August 19, 2016 |
EGA Emerging Global Shares Trust DEFA14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| August 18, 2016 |
EGA Emerging Global Shares Trust DEFA14A DEFA14A 1 v447320defa14a.htm DEFA14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy Statement x |
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| August 18, 2016 |
EGA Emerging Global Shares Trust DEFA14A DEFA14A 1 v447320defa14a.htm DEFA14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy Statement x |
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| August 16, 2016 |
EGA Emerging Global Shares Trust N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22255 EGA Emerging Global Shares Trust (Exact name of registrant as specified in charter) 155 West 19th Street, Floor 3 New York, NY 10011 (Address of principal executive offices) (Zip code) Robe |
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| August 16, 2016 |
EGA Emerging Global Shares Trust N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22255 EGA Emerging Global Shares Trust (Exact name of registrant as specified in charter) 155 West 19th Street, Floor 3 New York, NY 10011 (Address of principal executive offices) (Zip code) Robe |
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| August 16, 2016 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Robert C. |
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| August 16, 2016 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Robert C. |
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| August 4, 2016 |
EGA Emerging Global Shares Trust DEFA14A DEFA14A 1 v446063defa14a.htm DEFA14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy S |
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| August 2, 2016 |
EGA Emerging Global Shares Trust DEFA14A DEFA14A 1 v445657defa14a.htm DEFA14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy Statement x |
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| July 15, 2016 |
EGA Emerging Global Shares Trust 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| July 5, 2016 |
EGA Emerging Global Shares Trust 14A DEFA14A 1 egadefa14a07052016.htm SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [ X ] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Sta |
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| June 29, 2016 |
EGA Emerging Global Shares Trust DEFA14A DEFA14A 1 v443221defa14a.htm DEFA14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy Statement x |
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| June 29, 2016 |
EGA Emerging Global Shares Trust DEF 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| June 16, 2016 |
EGA Emerging Global Shares Trust 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| February 29, 2016 |
Columbia Etf Trust Ii - FORM N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22255 EGA Emerging Global Shares Trust (Exact name of registrant as specified in charter) 155 West 19th Street, Floor 3 New York, NY 10011 (Address of principal executive offices) (Zip code) Robe |
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| February 29, 2016 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Robert C. Holderith, certify that: 1. I have reviewed this report on Form N-Q of EGA Emerging Global Shares Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made |
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| February 16, 2016 |
SC 13G/A 1 sg-13gegsharesbeyondbric.htm SG-13G EGSHARES BEYOND BRIC 123115 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)1 EGShares Beyond BRICs ETF (Name of issuer) Common Stock (exchange-traded fund) (Title of class of securities) 268461639 (CUSIP number) December 31, 2015 (Date of event that requir |
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| February 16, 2016 |
Columbia Emerg Mkts Consumer ETF SC 13G (Passive Acquisition of More Than 5% of Shares) SC 13G UNITED STATES Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Ammendment No. ) EGA EMERGING GLOBAL SHS TR (Name of Issuer) EGS EMKTCONS ETF (Title of Class of Securities) 268461779 (CUSIP Number) Dec 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to wh |
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| November 13, 2015 |
N-18F-1 As filed with the Securities and Exchange Commission on November 13, 2015 File Nos. |
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| November 9, 2015 |
EX-99.25 2 ruleprovisionnotice.htm NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The NYSE Archipelago Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on November 20, 2015, pursuant to the provisions of Rule 12d2-2 (a). [ X ] 17 CFR 240. |
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| November 9, 2015 |
EX-99.25 2 ruleprovisionnotice.htm NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The NYSE Archipelago Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on November 20, 2015, pursuant to the provisions of Rule 12d2-2 (a). [ X ] 17 CFR 240. |
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| August 26, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 EGA EMERGING GLOBAL SHARES TRUST (Exact name of registrant as specified in its Trust Instrument) Delaware See Below (State of incorporation or organization) (I.R.S. Employer Identification No.) 155 |
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| August 21, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22255 EGA Emerging Global Shares Trust (Exact name of registrant as specified in charter) 155 West 19th Street, Floor 3 New York, NY 10011 (Address of principal executive offices) (Zip code) Robe |
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| August 21, 2015 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Robert C. Holderith, certify that: 1. I have reviewed this report on Form N-Q of EGA Emerging Global Shares Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made |
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| July 23, 2015 |
Stradley Ronon Stevens & Young, LLP 2600 One Commerce Square Philadelphia, PA 19103-7098 Telephone 215. |
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| May 29, 2015 |
Stradley Ronon Stevens & Young, LLP 2600 One Commerce Square Philadelphia, PA 19103-7098 Telephone 215. |
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| April 30, 2015 |
N-18F-1 As filed with the Securities and Exchange Commission on April 30, 2015 File Nos. |
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| February 18, 2015 |
Columbia Etf Trust Ii - FORM N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22255 EGA Emerging Global Shares Trust (Exact name of registrant as specified in charter) 155 West 19th Street, Floor 3 New York, NY 10011 (Address of principal executive offices) (Zip code) Robe |
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| February 18, 2015 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 v400530ex99-cert.htm CERTIFICATION Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Robert C. Holderith, certify that: 1. I have reviewed this report on Form N-Q of EGA Emerging Global Shares Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a mat |
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| February 17, 2015 |
SC 13G 1 s13g-egshares.htm SCHEDULE 13G - EGSHARES BEYOND BRICS ETF UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )1 EGShares Beyond BRICs ETF - (Name of issuer) Common Stock (exchange-traded fund) - (Title of class of securities) 268461639 - (CUSIP number) December 31, 2014 - (Date of event that requir |
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| January 2, 2015 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE ARCA hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on January 13, 2015, pursuant to the provisions of Rule 12d2-2 (a). |
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| January 2, 2015 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE ARCA hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on January 13, 2015, pursuant to the provisions of Rule 12d2-2 (a). |
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| October 7, 2014 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The NYSE ARCA hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on October 20, 2014, pursuant to the provisions of Rule 12d2-2 (a). |
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| October 7, 2014 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The NYSE ARCA hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on October 20, 2014, pursuant to the provisions of Rule 12d2-2 (a). |
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| October 7, 2014 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The NYSE ARCA hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on October 20, 2014, pursuant to the provisions of Rule 12d2-2 (a). |
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| October 7, 2014 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The NYSE ARCA hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on October 20, 2014, pursuant to the provisions of Rule 12d2-2 (a). |
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| September 10, 2014 |
INCO / Columbia India Consumer ETF CORRESP - - CORRESP 1 filename1.htm Stradley Ronon Stevens & Young, LLP Suite 2600 2005 Market Street Philadelphia, PA 19103-7018 Telephone 215.564.8000 Fax 215.564.8120 www.stradley.com Michael D. Mabry [email protected] 215.564.8011 September 10, 2014 Via EDGAR Correspondence Ms. Kathy Churko Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re |
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| August 21, 2014 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 v385170ex99-cert.htm SECTION 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Robert C. Holderith, certify that: 1. I have reviewed this report on Form N-Q of EGA Emerging Global Shares Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a materi |
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| August 21, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22255 EGA Emerging Global Shares Trust (Exact name of registrant as specified in charter) 171 East Ridgewood Avenue Ridgewood, NJ 07450 (Address of principal executive offices) (Zip code) Robert |
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| July 24, 2014 |
INCO / Columbia India Consumer ETF CORRESP - - Stradley Ronon Stevens & Young, LLP 2600 One Commerce Square Philadelphia, PA 19103-7098 Telephone 215. |
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| May 29, 2014 |
Stradley Ronon Stevens & Young, LLP 2600 One Commerce Square Philadelphia, PA 19103-7098 Telephone 215. |
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| April 22, 2014 |
8-A12B 1 section12b.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12 (b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 EGA EMERGING GLOBAL SHARES TRUST (Exact name of registrant as specified in its Trust Instrument) Delaware See Below (State of incorporation or organization) (I.R.S. Employe |
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| April 7, 2014 |
Stradley Ronon Stevens & Young, LLP 2600 One Commerce Square Philadelphia, PA 19103-7098 Telephone 215. |
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| March 25, 2014 |
Stradley Ronon Stevens & Young, LLP 2600 One Commerce Square Philadelphia, PA 19103-7098 Telephone 215. |
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| February 24, 2014 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Robert C. Holderith, certify that: 1. I have reviewed this report on Form N-Q of EGA Emerging Global Shares Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made |
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| February 24, 2014 |
Quarterly Schedule of Portfolio Holdings - N-Q N-Q 1 e57342nq.htm N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22255 EGA Emerging Global Shares Trust (Exact name of registrant as specified in charter) 171 East Ridgewood Avenue Ridgewood, NJ 07450 (Address of principal executive offi |
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| December 31, 2013 |
Stradley Ronon Stevens & Young, LLP 2600 One Commerce Square Philadelphia, PA 19103-7098 Telephone 215. |
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| December 19, 2013 |
8-A12B 1 sec12b.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12 (b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 EGA EMERGING GLOBAL SHARES TRUST (Exact name of registrant as specified in its Trust Instrument) Delaware See Below (State of incorporation or organization) (I.R.S. Employer Id |
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| October 10, 2013 |
INXX / EGShares India Infrastructure ETF / NEWGATE CAPITAL MANAGEMENT LLC Passive Investment SC 13G/A 1 fp0008432sc13ga.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO)* EGSHARES INDIA INFRASTRUCTURE ETF (Name of Issuer) COMMON STOCK (Title of Class of Securities) 268461845 (CUSIP Number) Septe |
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| August 28, 2013 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 e55000ex99cert.htm CERTIFICATION EXHIBIT 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Robert C. Holderith, certify that: 1. I have reviewed this report on Form N-Q of EGA Emerging Global Shares Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a mater |
|
| August 28, 2013 |
Quarterly Schedule of Portfolio Holdings - FORM N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22255 EGA Emerging Global Shares Trust (Exact name of registrant as specified in charter) 171 East Ridgewood Avenue Ridgewood, NJ 07450 (Address of principal executive offices) (Zip code) Robert |
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| August 8, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12 (b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 EGA EMERGING GLOBAL SHARES TRUST (Exact name of registrant as specified in its Trust Instrument) Delaware See Below (State of incorporation or organization) (I.R.S. Employer Identification No.) 17 |
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| July 24, 2013 |
Stradley Ronon Stevens & Young, LLP Suite 500 1250 Connecticut Avenue, NW Washington, D. |
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| July 17, 2013 |
CORRESP 1 filename1.htm Stradley Ronon Stevens & Young, LLP 2600 One Commerce Square Philadelphia, PA 19103-7098 Telephone 215.564.8000 Fax 215.564.8120 www.stradley.com [email protected] 215.564.8011 July 17, 2013 Via EDGAR Transmission Ms. Mary A. Cole Senior Counsel Division of Investment Management U.S. Securities and Exchange Commission 100 F. Street, N.E. Washington, D.C. 20549 Re: EGA Eme |
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| June 20, 2013 |
Stradley Ronon Stevens & Young, LLP 2600 One Commerce Square Philadelphia, PA 19103-7098 Telephone 215. |
|
| June 17, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12 (b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 EGA EMERGING GLOBAL SHARES TRUST (Exact name of registrant as specified in its Trust Instrument) Delaware See Below (State of incorporation or organization) (I.R.S. Employer Identification No.) 17 |
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| May 30, 2013 |
Stradley Ronon Stevens & Young, LLP Suite 2600 2005 Market Street Philadelphia, PA 19103-7018 Telephone 215. |
|
| May 1, 2013 |
Aaron T. Gilbride (202) 419-8423 [email protected] Stradley Ronon Stevens & Young, LLP 1250 Connecticut Avenue, NW Washington, DC 20036 Telephone 202.822.9611 Fax 202.822.0140 www.stradley.com May 1, 2013 VIA EDGAR Filing Desk U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: EGA Emerging Global Shares Trust File Nos. 333-155709 and 811-22255 Ladies and Gen |
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| May 1, 2013 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103-7018 Telephone 215. |
|
| March 15, 2013 |
Stradley Ronon Stevens & Young, LLP 1250 Connecticut Avenue, NW Washington, DC 20036 Telephone 202. |
|
| February 22, 2013 |
Quarterly Schedule of Portfolio Holdings - FORM N-Q N-Q 1 e52201nq.htm FORM N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22255 EGA Emerging Global Shares Trust (Exact name of registrant as specified in charter) 171 East Ridgewood Avenue Ridgewood, NJ 07450 (Address of principal executive |
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| February 22, 2013 |
Exhibit 99.1 CERTIFICATIONS I, Robert C. Holderith, certify that: 1. I have reviewed this report on Form N-Q of EGA Emerging Global Shares Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading wit |
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| February 6, 2013 |
SCIN / EGShares India Small Cap ETF / PRUDENTIAL FINANCIAL INC Passive Investment 13G HTML File DOCUMENT TYPE SC 13G/A TEXT SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| January 29, 2013 |
INXX / EGShares India Infrastructure ETF / NEWGATE CAPITAL MANAGEMENT LLC Passive Investment SC 13G 1 fp0006215sc13g.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO)* EGSHARES INDIA INFRASTRUCTURE ETF (Name of Issuer) COMMON STOCK (Title of Class of Securities) 268461845 (CUSIP Number) December |
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| October 12, 2012 |
8-A12B 1 ega8a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12 (b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 EGA EMERGING GLOBAL SHARES TRUST (Exact name of registrant as specified in its Trust Instrument) Delaware See Below (State of incorporation or organization) (I.R.S. Employer Ide |
|
| September 26, 2012 |
EGA Emerging Global Shares Trust 171 East Ridgewood Ave. Ridgewood, NJ 07450 ALPS Distributors, Inc. 1290 Broadway Suite 1100 Denver, CO 80203 September 26, 2012 VIA EDGAR Filing Desk U.S. Securities and Exchange Commission Judiciary Plaza 100 F Street, N.E. Washington, D.C. 20549 Re: EGA Emerging Global Shares Trust SEC File Nos. 333-155709 and 811-22255 Request for Acceleration Ladies and Gentle |
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| August 30, 2012 |
CORRESP 1 filename1.htm [Stradley Ronon Stevens & Young, LLP Letterhead] [email protected] 215.564.8011 August 30, 2012 Via EDGAR Transmission Ms. Mary A. Cole Senior Counsel Division of Investment Management U.S. Securities and Exchange Commission 100 F. Street, N.E. Washington, D.C. 20549 Re: EGA Emerging Global Shares Trust (the “Trust”) File Numbers 333-155709; 811-22255 Dear Ms. Cole: We ar |
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| August 24, 2012 |
Quarterly Schedule of Portfolio Holdings - FORM N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22255 EGA Emerging Global Shares Trust (Exact name of registrant as specified in charter) 171 East Ridgewood Avenue Ridgewood, NJ 07450 (Address of principal executive offices) (Zip code) Robert |
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| August 24, 2012 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103-7098 Telephone 215. |
|
| August 24, 2012 |
Exhibit 99.1 CERTIFICATIONS I, Robert C. Holderith, certify that: 1. I have reviewed this report on Form N-Q of EGA Emerging Global Shares ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading |
|
| July 20, 2012 |
8-A12B 1 ega8a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12 (b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 EGA EMERGING GLOBAL SHARES TRUST (Exact name of registrant as specified in its Trust Instrument) Delaware See Below (State of incorporation or organization) (I.R.S. Employer Ide |
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| June 18, 2012 |
Stradley Ronon Stevens & Young, LLP 2600 One Commerce Square Philadelphia, PA 19103-7098 Telephone 215. |
|
| April 30, 2012 |
CORRESP 1 filename1.htm EGA Emerging Global Shares Trust 171 East Ridgewood Ave. Ridgewood, NJ 07450 ALPS Distributors, Inc. 1290 Broadway Suite 1100 Denver, CO 80203 April 30, 2012 VIA EDGAR Filing Desk U.S. Securities and Exchange Commission Judiciary Plaza 100 F Street, N.E. Washington, D.C. 20549 Re: EGA Emerging Global Shares Trust SEC File Nos. 333-155709 and 811-22255 Request for Accelerati |
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| April 27, 2012 |
[Stradley Ronon Stevens & Young, LLP Logo] Michael D. Mabry (215) 564-8011 [email protected] April 27, 2012 VIA EDGAR Filing Desk U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: EGA Emerging Global Shares Trust File Nos. 333-155709 and 811-22255 Ladies and Gentlemen: Pursuant to Rule 485(a)(1) under the Securities Act of 1933, as amended (the “1933 Act”), su |
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| March 30, 2012 |
[Stradley Ronon Stevens & Young, LLP Letterhead] [email protected] 215.564.8011 March 30, 2012 Via EDGAR Transmission Ms. Mary A. Cole Senior Counsel Division of Investment Management U.S. Securities and Exchange Commission 100 F. Street, N.E. Washington, D.C. 20549 Re: EGA Emerging Global Shares Trust (the “Trust”) File Numbers 333-155709; 811-22255 Dear Ms. Cole: We are writing in response to |
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| March 30, 2012 |
Stradley Ronon Stevens & Young, LLP 2600 One Commerce Square Philadelphia, PA 19103-7098 Telephone 215. |
|
| February 28, 2012 |
Quarterly Schedule of Portfolio Holdings - FORM N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22255 EGA Emerging Global Shares Trust (Exact name of registrant as specified in charter) 171 East Ridgewood Avenue Ridgewood, NJ 07450 (Address of principal executive offices) (Zip code) Robert |
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| February 28, 2012 |
Exhibit 99.1 CERTIFICATIONS I, Robert C. Holderith, certify that: 1. I have reviewed this report on Form N-Q of EGA Emerging Global Shares ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading |
|
| February 24, 2012 |
[STRADLEY RONON STEVENS & YOUNG, LLP LETTERHEAD] [email protected] 215.564.8011 February 24, 2012 Via EDGAR Transmission Ms. Mary A. Cole Senior Counsel Division of Investment Management U.S. Securities and Exchange Commission 100 F. Street, N.E. Washington, D.C. 20549 Re: EGA Emerging Global Shares Trust (the “Trust”) File Numbers 333-155709; 811-22255 Dear Ms. Cole: We are writing in response |
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| February 14, 2012 |
SCIN / EGShares India Small Cap ETF / PRUDENTIAL FINANCIAL INC Passive Investment 13G HTML File DOCUMENT TYPE SC 13G TEXT SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 9, 2012 |
DEFA14A 1 egadefa14a02082012.htm SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [X] Definiti |
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| January 20, 2012 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to Sec. |
|
| January 20, 2012 |
Stradley Ronon Stevens & Young, LLP 2600 One Commerce Square Philadelphia, PA 19103-7098 Telephone 215. |
|
| December 5, 2011 |
[Stradley Ronon Stevens & Young, LLP Letterhead] Michael D. Mabry (215) 564-8011 [email protected] December 5, 2011 VIA EDGAR Filing Desk U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: EGA Emerging Global Shares Trust File Nos. 333-155709 and 811-22255 Ladies and Gentlemen: Pursuant to Rule 485(a)(2) under the Securities Act of 1933, as amended (the “1933 A |
|
| October 27, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 TO FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12 (b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 EGA EMERGING GLOBAL SHARES TRUST (Exact name of registrant as specified in its Trust Instrument) Delaware See Below (State of incorporation or organization) (I.R.S. Employer Ide |
|
| October 5, 2011 |
Stradley Ronon Stevens & Young, LLP Suite 2600 2005 Market Street Philadelphia, PA 19103-7018 Telephone 215. |
|
| August 24, 2011 |
Exhibit 99.1 CERTIFICATIONS I, Robert C. Holderith, certify that: 1. I have reviewed this report on Form N-Q of EGA Emerging Global Shares ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading |
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| August 24, 2011 |
Stradley Ronon Stevens & Young, LLP 2600 One Commerce Square Philadelphia, PA 19103-7098 Telephone 215. |
|
| August 24, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22255 EGA Emerging Global Shares Trust (Exact name of registrant as specified in charter) 171 East Ridgewood Avenue Ridgewood, NJ 07450 (Address of principal executive offices) (Zip code) Robert |
|
| August 23, 2011 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to Sec. |
|
| August 9, 2011 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to Sec. |
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| August 9, 2011 |
Law Offices Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103-7081 (215) 564-8600 Direct Dial - (215) 564-8011 1933 Act File No. |
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| August 4, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12 (b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 EGA EMERGING GLOBAL SHARES TRUST (Exact name of registrant as specified in its Trust Instrument) Delaware See Below (State of incorporation or organization) (I.R.S. Employer Identification No.) 17 |
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| August 3, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12 (b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 EGA EMERGING GLOBAL SHARES TRUST (Exact name of registrant as specified in its Trust Instrument) Delaware See Below (State of incorporation or organization) (I.R.S. Employer Identification No.) 17 |
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| July 28, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 2 TO FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12 (b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 EGA EMERGING GLOBAL SHARES TRUST (Exact name of registrant as specified in its Trust Instrument) Delaware See Below (State of incorporation or organization) (I.R.S. Employer Ide |
|
| July 28, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 TO FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12 (b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 EGA EMERGING GLOBAL SHARES TRUST (Exact name of registrant as specified in its Trust Instrument) Delaware See Below (State of incorporation or organization) (I.R.S. Employer Ide |
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| July 28, 2011 |
(Exact name of registrant as specified in its Trust Instrument) (Exact name of registrant as specified in its Trust Instrument) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| June 10, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12 (b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 EGA EMERGING GLOBAL SHARES TRUST (Exact name of registrant as specified in its Trust Instrument) Delaware See Below (State of incorporation or organization) (I.R.S. Employer Identification No.) 17 |
|
| June 10, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 TO FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12 (b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 EGA EMERGING GLOBAL SHARES TRUST (Exact name of registrant as specified in its Trust Instrument) Delaware See Below (State of incorporation or organization) (I.R.S. Employer Ide |
|
| June 10, 2011 |
Stradley Ronon Stevens & Young, LLP 2600 One Commerce Square Philadelphia, Pennsylvania 19103-7098 (215) 564-8000 Michael D. |
|
| June 10, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 TO FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12 (b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 EGA EMERGING GLOBAL SHARES TRUST (Exact name of registrant as specified in its Trust Instrument) Delaware See Below (State of incorporation or organization) (I.R.S. Employer Ide |
|
| June 6, 2011 |
Stradley Ronon Stevens & Young, LLP Suite 2600 2005 Market Street Philadelphia, PA 19103-7018 Telephone 215. |
|
| March 17, 2011 |
Stradley Ronon Stevens & Young, LLP 2600 One Commerce Square Philadelphia, Pennsylvania 19103-7098 (215) 564-8000 Michael D. |
|
| February 24, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22255 EGA Emerging Global Shares Trust (Exact name of registrant as specified in charter) 171 East Ridgewood Avenue Ridgewood, NJ 07450 (Address of principal executive offices) (Zip code) Robert |
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| February 24, 2011 |
EX-99.1 2 e42057ex991.htm CERTIFICATIONS CERTIFICATIONS I, Robert C. Holderith, certify that: 1. I have reviewed this report on Form N-Q of EGA Emerging Global Shares ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statemen |
|
| September 2, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12 (b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 EGA EMERGING GLOBAL SHARES TRUST (Exact name of registrant as specified in its Trust Instrument) Delaware &# 160; See Below (State of incorporation or organization) (I.R.S. Employer Identification |
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| August 30, 2010 |
Exhibit - 99 CERTIFICATIONS I, Robert C. Holderith, certify that: 1. I have reviewed this report on Form N-Q of EGA Emerging Global Shares ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading |
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| August 30, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22255 EGA Emerging Global Shares Trust (Exact name of registrant as specified in charter) 171 East Ridgewood Avenue Ridgewood, NJ 07450 (Address of principal executive offices) 07450 (Zip code) R |
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| June 22, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 FORM 8-A/A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12 (b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 EGA EMERGING GLOBAL SHARES TRUST (Exact name of registrant as specified in its Trust Instrument) Delaware See Below (State of incorporation or organization) (I.R.S. Employer Iden |
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| April 23, 2010 |
Law Office Stradley Ronon Stevens & Young, LLP 2600 One Commerce Square Philadelphia, Pennsylvania 19103-7098 (215) 564-8000 MMabry@stradley. |
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| March 1, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22255 EGA Emerging Global Shares Trust (Exact name of registrant as specified in charter) 171 East Ridgewood Avenue Ridgewood, NJ 07450 (Address of principal executive offices) 07450 (Zip code) R |
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| March 1, 2010 |
Exhibit - 99 CERTIFICATIONS I, Robert C. Holderith, certify that: 1. I have reviewed this report on Form N-Q of EGA Emerging Global Shares ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading |
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| January 26, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12 (b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 EGA EMERGING GLOBAL SHARES TRUST (Exact name of registrant as specified in its Trust Instrument) Delaware ; See Below (State of incorporation or organization) (I.R.S. Employer Identification No.) |
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| January 19, 2010 |
Stradley Ronon Stevens & Young, LLP 2600 One Commerce Square Philadelphia, PA 19103-7098 Telephone 215. |
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| September 9, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12 (b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 EGA EMERGING GLOBAL SHARES TRUST (Exact name of registrant as specified in its Trust Instrument) Delaware (State of incorporation or organization) See Below (I.R.S. Employer Identification No.) 17 |
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| August 27, 2009 |
EX-99.CERT 2 c58568ex99cert.htm Exhibit - 99Cert CERTIFICATIONS I, Robert C. Holderith, certify that: 1. I have reviewed this report on Form N-Q of EGA Emerging Global Shares ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such |
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| August 27, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22255 EGA Emerging Global Shares Trust (Exact name of registrant as specified in charter) 171 East Ridgewood Avenue Ridgewood, NJ 07450 07450 (Address of principal executive offices) (Zip code) R |
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| May 20, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12 (b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 EGA EMERGING GLOBAL SHARES TRUST (Exact name of registrant as specified in its Trust Instrument) Delaware (State of incorporation or organization) See Below (I.R.S. Employer Identification No.) 17 |
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| May 7, 2009 |
espositocodeofethics.htm - Generated by SEC Publisher for SEC Filing EX-99.p.4 CODE OF ETHICS Adopted Under SEC Rule 204A-1 Covering the Following Advisor: ESPOSITO PARTNERS, LLC Effective May 9, 2008 Esposito Partners, LLC (the “Advisor”) is confident that its officers, trustees, directors and employees act with integrity and good faith. The Advisor recognizes, however, that personal interests ma |
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| May 7, 2009 |
EX-99.Q 22 powerofattorney.htm EX-99.q POWER OF ATTORNEY The undersigned officers and Trustees of EGA Emerging Global Shares Trust (the “Trust”) hereby appoint Robert C. Holderith, James J. Valenti and Thomas A. Carter (with full power to each of them to act alone) to act as attorney-in-fact and agent, with power of substitution and resubstitution, for the undersigned in any and all capacities to |
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| May 7, 2009 |
EX-99.m.1 DISTRIBUTION AND SERVICE PLAN The following Distribution and Service Plan (the “Plan”) has been adopted pursuant to Rule l2b-l under the Investment Company Act of 1940, as amended (the “1940 Act”), by EGA Emerging Global Shares Trust (the “Trust”), separately for each Series of the Trust identified on Schedule I as amended from time to time (the “Series”), which Trust and Series may do b |
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| May 7, 2009 |
EX-99.h.4 EGA EMERGING GLOBAL SHARES TRUST FORM OF PFO SERVICES AGREEMENT pfoservicesagreement.htm - Generated by SEC Publisher for SEC Filing EX-99.h.4 EGA EMERGING GLOBAL SHARES TRUST FORM OF PFO SERVICES AGREEMENT AGREEMENT made as of the , 2009 by and between EGA Emerging Global Shares Trust, a Delaware business trust, with its principal office and place of business at 171 East Ridgewood Ave., Ridgewood, NJ 07450 (the “Fund”), and ALPS Fund Services, Inc., a Colorad |
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| May 7, 2009 |
alpscodeofethics.htm - Generated by SEC Publisher for SEC Filing EX-99.p.5 ALPS DISTRIBUTORS, INC. (the "Company" or “Underwriter”) CODE OF ETHICS I. Purpose of the Code of Ethics This code is based on the principle that, you as an access person of the Company, will conduct your personal investment activities in accordance with: the duty at all times to place the interests of each Investment Compa |
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| May 7, 2009 |
EX-99.j CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM consentbriggs.htm - Generated by SEC Publisher for SEC Filing EX-99.j CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Pre-Effective Amendment to the Registration Statement on Form N-1A of EGA Emerging Global Shares Trust and to the use of our report dated April 27, 2009 on the statements of assets and liabilities and operations as of April 2 |
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| May 7, 2009 |
THE BANK OF NEW YORK MELLON TRANSFER AGENCY AND SERVICE AGREEMENT bnytransferagency.htm - Generated by SEC Publisher for SEC Filing EX-99.h.1 THE BANK OF NEW YORK MELLON TRANSFER AGENCY AND SERVICE AGREEMENT AGREEMENT made as of the 18th day of March, 2009, by and between EGA Emerging Global Shares (the “Trust”) and each Series of the Trust listed on Appendix I hereto (as such Appendix be amended from time to time Trust) (each a “Series”), and THE BANK OF NEW YO |
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| May 7, 2009 |
Letter of Understanding Relating to Initial Capital EX-99.L 15 egainitialseedcapitalletter.htm EX-99.l Emerging Global Advisors, LLC 171 East Ridgewood Avenue Ridgewood, NJ 07450 EGA Emerging Global Shares Trust April 27, 2009 171 East Ridgewood Avenue Ridgewood, NJ 07450 Ladies and Gentlemen: We are writing with regard to our purchase of 2,500 shares of beneficial interest of the shares (the “Shares”) of the Emerging Global Shares Dow Jones Emergi |
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| May 7, 2009 |
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST EX-99.A.1 2 decoftrust.htm EX-99.a.1 AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST of EGA Emerging Global Shares Trust A Delaware Statutory Trust (adopted April 17, 2009) TABLE OF CONTENTS Page ARTICLE I NAME; OFFICES; REGISTERED AGENT; DEFINITIONS 1 Section 1. Name 1 Section 2. Offices of the Trust 2 Section 3. Registered Agent and Registered Office 2 Section 4. Definitions 2 ARTICLE II |
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| May 7, 2009 |
EX-99.D.4 6 subadvisoryesposito.htm EX-99.d.4 SUB-ADVISORY AGREEMENT AGREEMENT made this 17th day of April (“Effective Date”), 2009 by and between Emerging Global Advisors, LLC (“EGA”), and Esposito Partners, LLC (the “Sub-adviser”). 1. Duties of Sub-adviser. EGA hereby appoints the Sub-adviser to act as investment adviser to each current series (each a “Fund” and collectively, the “Funds”) of EGA |
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| May 7, 2009 |
ccocontract.htm - Generated by SEC Publisher for SEC Filing EX-99.h.3 FORM OF CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT (this “Agreement) dated April 17, 2009 between EGA Emerging Global Shares Trust, a Delaware statutory trust (“CLIENT”), and ALPS FUND SERVICES, INC. (“ALPS”), a Colorado corporation. The “Effective Date” of this Agreement is April 17, 2009. In a joint effort between CLIENT and |
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| May 7, 2009 |
subadvisoryagreementega.htm - Generated by SEC Publisher for SEC Filing EX-99.d.2 SUB-ADVISORY AGREEMENT THIS AGREEMENT, made by and between EGA Emerging Global Shares Trust, a Delaware statutory trust (the “Trust”), on behalf of each of the funds listed on Schedule A attached hereto (each a “Fund” and collectively, the “Funds”), and Emerging Global Advisors, LLC, a Delaware limited liability comp |
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| May 7, 2009 |
FUND ADMINISTRATION AND ACCOUNTING AGREEMENT EX-99.H.2 10 fundadminbony.htm EX-99.h.2 FUND ADMINISTRATION AND ACCOUNTING AGREEMENT AGREEMENT made as of April 17, 2009, by and between EGA Emerging Global Shares Trust (the “Fund”) on behalf of itself and each series of the Trust listed on Exhibit A attached hereto (as such Appendix be amended from time to time Trust), and The Bank of New York Mellon, a New York banking organization (“BNY”). W |
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| May 7, 2009 |
EX-99.E.1 7 alpsdistributionagreement.htm EX-99.e.1 DISTRIBUTION AGREEMENT THIS AGREEMENT is made as of April 17, 2009, between EGA Emerging Global Shares Trust, a Delaware Statutory Trust (the “Trust”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”). WHEREAS, the Trust is an open-end management investment company offering a number of series of portfolios (each a “Fund”), each invest |
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| May 7, 2009 |
N-1A/A 1 final1.htm As filed with the Securities and Exchange Commission on May 7, 2009 1933 Act No. 333-155709 1940 Act No. 811-22255 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pre-Effective Amendment No. 2 X Post-Effective Amendment No. and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 X Amendme |
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| May 7, 2009 |
EX-99.d.1 EGA EMERGING GLOBAL SHARES TRUST INVESTMENT ADVISORY AGREEMENT alpstrustadvisoryagreement.htm - Generated by SEC Publisher for SEC Filing EX-99.d.1 EGA EMERGING GLOBAL SHARES TRUST INVESTMENT ADVISORY AGREEMENT This Investment Advisory Agreement (the “Agreement”) is made and entered into as of this 17th day of April, 2009, by and between ALPS Advisers, Inc., a Colorado corporation (the “Adviser”), and EGA Emerging Global Shares Trust, a Delaware statutory tru |
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| May 7, 2009 |
ARTICLE II APPOINTMENT OF CUSTODIAN; ACCOUNTS; REPRESENTATIONS, WARRANTIES, AND COVENANTS bnycustodyagreement.htm - Generated by SEC Publisher for SEC Filing EX-99.g.1 THE BANK OF NEW YORK MELLON CUSTODY AGREEMENT AGREEMENT, dated as of March 18th 2009 between EGA Emerging Global Shares Trust (the “Trust”) and each Series of the Trust listed on Appendix II hereto (as such Appendix be amended from time to time Trust) (each a “Series”), having its principal office and place of business a |
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| May 7, 2009 |
Stradley, Ronon, Stevens & Young, LLP EX-99.i Law Office Stradley, Ronon, Stevens & Young, LLP 2600 One Commerce Square Philadelphia, Pennsylvania 19103-7098 (215) 564-8000 May 7, 2009 Board of Trustees EGA Emerging Global Shares Trust 171 East Ridgewood Avenue Ridgewood, NJ 07450 Re: Pre-Effective Amendment No. 2 to the Registration Statement of EGA Emerging Global Shares Trust Ladies and Gentlemen: We have acted as counsel to EGA Em |
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| May 7, 2009 |
ALPS ADVISERS, INC. Code of Ethics November 29, 2006 EX-99.P.2 18 alpsadviserscodeofethics.htm EX-99.p.2 ALPS ADVISERS, INC. Code of Ethics November 29, 2006 I. INTRODUCTION The Code of Ethics (the "Code") is designed to reinforce ALPS Adviser, Inc.'s ("AAI’s") reputation for integrity by avoiding even the appearance of impropriety in the conduct of our business. The Code sets forth procedures and limitations which govern the personal securities tra |
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| May 7, 2009 |
COVER 25 filename25.htm STRADLEY RONON STEVENS & YOUNG, LLP 2600 One Commerce Square Philadelphia, PA 19103 (215) 564-8000 James J. O’Connor (215) 564-8139 JO’[email protected] May 7, 2009 VIA EDGAR Filing Desk U.S. Securities and Exchange Commission Judiciary Plaza 100 F Street, N.E. Washington, D.C. 20549 Re: EGA Emerging Global Shares Trust File Nos. 333-155709 and 811-22255 Ladies and Gentle |
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| May 7, 2009 |
egacodeofethics.htm - Generated by SEC Publisher for SEC Filing EX-99.p.1 EGA EMERGING GLOBAL SHARES TRUST CODE OF ETHICS Effective April 17, 2009 I. Legal Requirement. This Code of Ethics has been adopted by the Board of Trustees of EGA Emerging Global Shares Trust (the “Fund”) in accordance with Rule 17j-1(c)(1) under the Investment Company Act of 1940 (the “Act”). Rule 17j-1 under the Act gener |
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| May 7, 2009 |
EX-99.P.3 19 globaladvisorscodeofethics.htm EX-99.p.3 EMERGING GLOBAL ADVISORS, LLC CODE OF ETHICS Adopted April 2, 2009 I. INTRODUCTION High ethical standards are essential for the success of Emerging Global Advisors, LLC (the “Adviser”) and to maintain the confidence of the Adviser’s clients. The Adviser’s long-term business interests are best served by adherence to the principle that the intere |
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| May 7, 2009 |
The parties hereto have caused this Agreement to be effective as of the 17th day of April, 2009. egafeewaiverandexpene.htm - Generated by SEC Publisher for SEC Filing EX-99.d.3 EGA Emerging Global Shares Trust Fee Waiver and Expense Assumption Agreement THIS AGREEMENT is made effective as of the 17th day of April 2009, by and between EGA Emerging Global Shares Trust, a Delaware statutory trust (the “Trust”), on behalf of its Emerging Global Shares Dow Jones Emerging Markets Titans Composite I |
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| April 6, 2009 |
As filed with the Securities and Exchange Commission on April 6, 2009 1933 Act No. |
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| April 6, 2009 |
coverletter.htm - Generated by SEC Publisher for SEC Filing Stradley Ronon Stevens & Young, LLP 2600 One Commerce Square Philadelphia, PA 19103 (215) 564-8000 FAX: (215) 564-8120 April 6, 2009 VIA EDGAR Filing Desk U.S. Securities and Exchange Commission Judiciary Plaza 100 F Street, N.E. Washington, D.C. 20549 Re: EGA Emerging Global Shares Trust File Nos. 333-155709 and 811-22255 Ladies and Gent |
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| November 26, 2008 |
decoftrust.htm - Converted by SEC Publisher, created by BCL Technologies Inc., for SEC Filing Ex-99.a.1 AGREEMENT AND DECLARATION OF TRUST of EGA Emerging Global Shares Trust A Delaware Statutory Trust (adopted September, 12 2008) TABLE OF CONTENTS Page ARTICLE I NAME; OFFICES; REGISTERED AGENT; DEFINITIONS 1 Section 1. Name 1 Section 2. Offices of the Trust 1 Section 3. Registered Agent and Regis |
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| November 26, 2008 |
Ex-99.b BY-LAWS of EGA Emerging Global Shares Trust A Delaware Statutory Trust (Effective as of September 12, 2008) These By-Laws may contain any provision not inconsistent with applicable law or the Declaration of Trust, relating to the governance of the Trust. Unless otherwise specified in these By-Laws, capitalized terms used in these By-Laws shall have the meanings assigned to them in the Decl |
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| November 26, 2008 |
cover.htm - Converted by SEC Publisher, created by BCL Technologies Inc., for SEC Filing Stradley Ronon Stevens & Young, LLP 2600 One Commerce Square Philadelphia, Pennsylvania 19103-7098 Telephone: (215) 564-8000 Facsimile: (215) 564-8120 November 26, 2008 VIA EDGAR TRANSMISSION Filing Desk U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: EGA Emerging Global Sha |
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| November 26, 2008 |
EX-99.d.1 INVESTMENT ADVISORY AGREEMENT THIS AGREEMENT, made by and between EGA Emerging Global Shares Trust, a Delaware statutory trust (the “Trust”), on behalf of each of the funds listed on Schedule A attached hereto (each a “Fund” and collectively, the “Funds”), and Emerging Global Advisors, LLC, a Delaware limited liability company (the “Adviser”). W I T N E S S E T H: WHEREAS, the Trust has |
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| November 26, 2008 |
combined31.htm - Converted by SEC Publisher, created by BCL Technologies Inc., for SEC Filing As filed with the Securities and Exchange Commission on November 26, 2008 1933 Act No. 1940 Act No. 811-22255 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 X Pre-Effective Amendment No. Post-Effective Amendment No. and/or REGIST |
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| November 26, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-8A NOTIFICATION OF REGISTRATION FILED PURSUANT TO SECTION 8(a) OF THE INVESTMENT COMPANY ACT OF 1940 The undersigned investment company hereby notifies the Securities and Exchange Commission that it registers under and pursuant to the provisions of Section 8(a) of the Investment Company Act of 1940 and in connection wit |
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| November 26, 2008 |
EX-99.A.2 3 certificateoftrust.htm EX-99.a.2 CERTIFICATE OF TRUST OF EGA EMERGING GLOBAL SHARES TRUST This Certificate of Trust of EGA Emerging Global Shares Trust, a statutory trust (the “Trust”), executed by the undersigned trustees, and filed under and in accordance with the provisions of the Delaware Statutory Trust Act (12 Del. C. § 3801 et seq.) (the “Act”), sets forth the following: FIRST: |
