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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 Global Beta ETF Trust - Global Beta Low Beta 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.
| December 12, 2022 |
N-8F/A 1 globalbetaetftrustn-8f.htm N-8F/A GLOBAL BETA ETF TRUST UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-8F APPLICATION FOR DEREGISTRATION OF CERTAIN REGISTERED INVESTMENT COMPANIES I. General Identifying Information 1. Reason fund is applying to deregister (check only one; for descriptions, see Instruction 1 above): Merger X Liquidation Abandonment of Regist |
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| October 17, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-8F APPLICATION FOR DEREGISTRATION OF CERTAIN REGISTERED INVESTMENT COMPANIES I. General Identifying Information 1. Reason fund is applying to deregister (check only one; for descriptions, see Instruction 1 above): Merger X Liquidation Abandonment of Registration (Note: Abandonments of Registration answer only questions |
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| August 29, 2022 |
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 September 09, 2022, pursuant to the provisions of Rule 12d2-2 (a). |
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| August 29, 2022 |
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 September 09, 2022, pursuant to the provisions of Rule 12d2-2 (a). |
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| August 29, 2022 |
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 September 09, 2022, pursuant to the provisions of Rule 12d2-2 (a). |
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| May 4, 2022 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street Suite 2600 Philadelphia, PA 19103 Telephone 215. |
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| April 20, 2022 |
Schedule of Investments Global Beta Smart Income ETF February 28, 2022 (Unaudited) COMMON STOCKS - 99. |
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| April 20, 2022 |
Schedule of Investments Global Beta Rising Stars ETF February 28, 2022 (Unaudited) COMMON STOCKS - 100. |
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| April 20, 2022 |
Schedule of Investments Global Beta Low Beta ETF February 28, 2022 (Unaudited) COMMON STOCKS - 99. |
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| February 23, 2022 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street Suite 2600 Philadelphia, PA 19103 Telephone 215. |
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| October 20, 2021 |
Schedule of Investments Global Beta Smart Income ETF August 31, 2021 (Unaudited) Number of Shares Value COMMON STOCKS - 99. |
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| October 20, 2021 |
Schedule of Investments Global Beta Rising Stars ETF August 31, 2021 (Unaudited) Number of Shares Value COMMON STOCKS - 99. |
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| October 20, 2021 |
Schedule of Investments Global Beta Low Beta ETF August 31, 2021 (Unaudited) Number of Shares Value COMMON STOCKS - 99. |
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| April 15, 2021 |
Global Beta ETF Trust Global Beta Rising Stars ETF Schedule of Investments February 28, 2021 (Unaudited) COMMON STOCKS - 100. |
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| April 15, 2021 |
Global Beta ETF Trust Global Beta Smart Income ETF Schedule of Investments February 28, 2021 (Unaudited) COMMON STOCKS - 100. |
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| April 15, 2021 |
Global Beta ETF Trust Global Beta Low Beta ETF Schedule of Investments February 28, 2021 (Unaudited) COMMON STOCKS - 100. |
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| March 18, 2021 |
Global Beta ETF Trust 2001 Market Street, Suite 2630 | Philadelphia, Pennsylvania 19103 Global Beta ETF Trust 2001 Market Street, Suite 2630 | Philadelphia, Pennsylvania 19103 March 18, 2021 VIA EDGAR TRANSMISSION Samantha Brutlag U. |
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| October 8, 2020 |
Global Beta ETF Trust Global Beta Smart Income ETF Schedule of Investments August 31, 2020 (Unaudited) COMMON STOCKS - 99. |
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| October 8, 2020 |
Global Beta ETF Trust Global Beta Momentum-Growth ETF Schedule of Investments August 31, 2020 (Unaudited) COMMON STOCKS - 99. |
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| October 8, 2020 |
Global Beta ETF Trust Global Beta Low Beta ETF Schedule of Investments August 31, 2020 (Unaudited) COMMON STOCKS - 99. |
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| July 22, 2020 |
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 GLOBAL BETA ETF TRUST (Exact name of registrant as specified in its charter) Delaware See Below (State of incorporation or organization) (I.R.S. Employer Identification No.) 2001 Market Street, Su |
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| July 22, 2020 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street Suite 2600 Philadelphia, PA 19103 Telephone 215. |
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| July 15, 2020 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street Suite 2600 Philadelphia, PA 19103 Telephone 215. |
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| May 8, 2020 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street Suite 2600 Philadelphia, PA 19103 Telephone 215. |
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| April 20, 2020 |
EX-99.CERT 2 certs.htm OFFICER CERTIFICATIONS CERTIFICATION I, Vince Lowry, certify that: 1. I have reviewed this report on Form N-Q of the Global Beta 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, n |
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| April 20, 2020 |
As filed with the Securities and Exchange Commission on April 20, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| December 19, 2019 |
Expense Reimbursement Agreement between Registrant and Global Beta Advisors LLC EX-99.(d)(ii) Global Beta ETF Trust Expense Reimbursement Agreement THIS AGREEMENT (the “Agreement”) is made between Global Beta ETF Trust (the “Trust”) and Global Beta Advisors, LLC (the “Adviser”), effective as of the 23rd day of December, 2019. WHEREAS, the Adviser has entered into an investment advisory agreement dated December 23, 2019 (the “Advisory Agreement”) with the Trust pursuant to whi |
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| December 19, 2019 |
Section 9 of Investment Advisory Agreement between Registrant and Global Beta Advisors LLC EX-99.(d)(i) INVESTMENT ADVISORY AGREEMENT Agreement made as of December 23, 2019, between Global Beta ETF Trust, a Delaware statutory trust and registered open-end management investment company (the “Trust”), and Global Beta Advisors, LLC (the “Adviser”), a registered investment adviser under the Investment Advisers Act of 1940, as amended (the “Advisers Act”). WHEREAS, the Trust is registered un |
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| December 19, 2019 |
Foreside Financial Group, LLC 17j-1 Code of Ethics EX-99.(p)(iii) Code of Ethics INTRODUCTION 1 1. STANDARDS OF PROFESSIONAL CONDUCT 2 (a) Fiduciary Duties 2 (b) Compliance with Laws 2 (c) Corporate Culture 2 (d) Professional Misconduct 3 (e) Disclosure of Conflicts 3 (f) Undue Influence 3 (g) Confidentiality and Protection of Material Nonpublic Information 3 (h) Personal Securities Transactions 4 (i) Gifts 4 (j) Service on Boards 4 (k) Prohibitio |
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| December 19, 2019 |
Purchase Agreement between Registrant and Global Beta Advisors LLC EX-99.(l)(i) PURCHASE AGREEMENT Global Beta ETF Trust (the “Trust”), a Delaware statutory trust, and Global Beta Advisors, LLC (“Global Beta”), hereby agree as follows: 1. The Trust hereby offers to sell to Global Beta and Global Beta hereby agrees to purchase 5,000 shares of the Global Beta Smart Income ETF, a series of the Trust, at a price of $20 per share. The Trust hereby acknowledges receipt |
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| December 19, 2019 |
Consent of Independent Registered Public Accounting Firm EX-99.(j)(i) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the inclusion in this Pre-Effective Amendment No. 2 to the Registration Statement on Form N-1A of Global Beta ETF Trust of our report dated December 19, 2019, relating to the statement of assets and liabilities of Global Beta Smart Income ETF (a series of Global Beta ETF Trust) as of December 9, 2019 We also |
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| December 19, 2019 |
As filed with the Securities and Exchange Commission on December 19, 2019 File Nos. |
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| December 19, 2019 |
Opinion and consent of counsel EX-99.(i)(i) Stradley Ronon Stevens & Young, LLP Suite 2600 2005 Market Street Philadelphia, PA 19103-7018 215.564.8000 www.stradley.com December 19, 2019 Board of Trustees of Global Beta ETF Trust 2001 Market Street, Suite 2630 Philadelphia, PA 19103 Subject: Pre-Effective Amendment No. 2 to the Registration Statement on Form N-1A relating to Global Beta ETF Trust, a Delaware statutory trust File |
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| December 16, 2019 |
CORRESP 1 filename1.htm Stradley Ronon Stevens & Young, LLP 2005 Market Street Suite 2600 Philadelphia, PA 19103 Telephone 215.564.8000 Fax 215.564.8120 www.stradley.com Michael D. Mabry (215) 564-8011 [email protected] December 16, 2019 Filed via EDGAR Ms. Samantha Brutlag U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Subject: Global Beta ETF Trust (the “Trust”) |
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| December 16, 2019 |
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 GLOBAL BETA ETF 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.) 2001 Market St |
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| December 11, 2019 |
As filed with the Securities and Exchange Commission on December 10, 2019 File Nos. |
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| December 11, 2019 |
EX-99.(q) POWER OF ATTORNEY The undersigned Trustees and/or Officers of Global Beta ETF Trust (the ?Trust?), a registered investment company, hereby appoint Vincent Lowry, Justin Lowry and Carolyn Wharton (with full power to each of them to act alone) his or her attorney-in-fact and agent, in all capacities, to execute, deliver and file in the names of the undersigned, any and all instruments that |
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| December 11, 2019 |
ETF Custody Agreement between Registrant and U.S. Bank National Association EX-99.(g)(i) ETF CUSTODY AGREEMENT THIS AGREEMENT is made and entered into as of the last date on the signature page, by and between GLOBAL BETA ETF TRUST, a Delaware statutory trust, (the ?Trust?), and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America with its principal place of business at Minneapolis, Minnesota ( |
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| December 11, 2019 |
Law Offices Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, Pennsylvania 19103-7018 (215) 564-8000 Direct Dial - (215) 564-8011 December 10, 2019 VIA EDGAR SUBMISSION Filing Desk U. |
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| December 11, 2019 |
Global Beta ETF Trust Rule 17j-1 Code of Ethics EX-99.(P)(II) 12 ex99pii.htm GLOBAL BETA ETF TRUST - CODE OF ETHICS EX-99.(p)(ii) GLOBAL BETA ETF TRUST CODE OF ETHICS This Code of Ethics (the “Code”) has been adopted by Global Beta ETF Trust (the “Trust”) in compliance with Rule 17j‑1 under the Investment Company Act of 1940 (the “Act”) (unless specifically identified, Rule 17j‑1 is referred to as the “Rule”). This Code of Ethics is intended to |
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| December 11, 2019 |
EX-99.(h)(iii) TRANSFER AGENT SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of the last day written on the signature page by and between GLOBAL BETA ETF TRUST, a Delaware statutory Trust (the “Trust”) U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, a Wisconsin limited liability company (“USBGFS”). WHEREAS, the Trust is a series trust that consists of multiple |
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| December 11, 2019 |
EX-99.(h)(i) FUND ADMINISTRATION SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of the last day written on the signature page by and between GLOBAL BETA ETF TRUST, a Delaware statutory Trust (the ?Trust?) and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, a Wisconsin limited liability company (?USBGFS?). WHEREAS, the Trust is registered under the Investment C |
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| December 11, 2019 |
ETF Distribution Agreement between Registrant and Compass Distributors, LLC EX-99.(e)(i) ETF DISTRIBUTION AGREEMENT This Distribution Agreement (the ?Agreement?) is made this 27th day of November 2019, by and between Global Beta ETF Trust, a Delaware statutory trust (the ?Trust?) having its principal place of business at 2001 Market Street, Suite 2630, Philadelphia, PA 19103, and Compass Distributors, LLC, a Delaware limited liability company (the ?Distributor?) having it |
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| December 11, 2019 |
Distribution and Service Plan, pursuant to Rule 12b-1 EX-99.(m)(i) DISTRIBUTION AND SERVICE PLAN The following Distribution and Service Plan (the “Plan”) has been adopted pursuant to Rule 12b-1 under the Investment Company Act of 1940 (the “1940 Act”), by Global Beta ETF Trust (the “Trust”), separately for each series of the Trust identified on Schedule A as amended from time to time (the “Series”), which Trust and Series may do business under these |
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| December 11, 2019 |
Global Beta Advisors LLC Rule 17j-1 Code of Ethics EX-99.(p)(i) GLOBAL BETA ADVISORS LLC RULE 17j-1 CODE OF ETHICS This Rule 17j‑1 Code of Ethics (the “Code”) has been adopted by Global Beta Advisors LLC (the “Adviser”) in connection with its role as investment adviser to Global Beta ETF Trust (the “Trust”) and any affiliated registered investment companies (such registered investment companies advised by the Adviser to be collectively referred to |
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| December 11, 2019 |
Global Beta ETF Trust Expense Reimbursement Agreement EX-99.(D)(II) 3 ex99dii.htm EXPENSE REIMBURSEMENT AGREEMENT EX-99.(d)(ii) Global Beta ETF Trust Expense Reimbursement Agreement THIS AGREEMENT (the “Agreement”) is made between Global Beta ETF Trust (the “Trust”) and Global Beta Advisors, LLC (the “Adviser”), effective as of the day of , 2019. WHEREAS, the Adviser has entered into an investment advisory agreement dated , 2019 (the “Advisory Agreem |
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| December 11, 2019 |
EX-99.(d)(i) INVESTMENT ADVISORY AGREEMENT Agreement made as of , 2019, between Global Beta ETF Trust, a Delaware statutory trust and registered open-end management investment company (the ?Trust?), and Global Beta Advisors, LLC (the ?Adviser?), a registered investment adviser under the Investment Advisers Act of 1940, as amended (the ?Advisers Act?). WHEREAS, the Trust is registered under the Inv |
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| December 11, 2019 |
Form of Authorized Participant Agreement EX-99.(e)(ii) AUTHORIZED PARTICIPANT AGREEMENT Global Beta ETF Trust This Authorized Participant Agreement (the ?Agreement?) is entered into by and between Compass Distributors, LLC (the ?Distributor?) and [ ] (the ?Participant?) and is subject to acceptance by U.S. Bancorp Fund Services, LLC (the ?Index Receipt Agent?), and is further subject to acknowledgement and agreement by Global Beta ETF Tr |
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| December 11, 2019 |
EX-99.(h)(ii) ETF FUND ACCOUNTING SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of the last day written on the signature page by and between GLOBAL BETA ETF TRUST, a Delaware statutory Trust (the “Trust”) and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, a Wisconsin limited liability company (“USBGFS”). WHEREAS, the Trust is registered under the Investment |
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| December 10, 2019 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street Suite 2600 Philadelphia, PA 19103 Telephone 215. |
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| June 21, 2019 |
Certificate of Trust dated April 22, 2019 EX-99.a.i CERTIFICATE OF TRUST OF GLOBAL BETA ETF TRUST This Certificate of Trust of Global Beta ETF Trust, a statutory trust (the “Trust”), executed by the undersigned trustee, 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: The name of the statutory trust formed hereby is Global Be |
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| June 21, 2019 |
Law Offices Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, Pennsylvania 19103-7018 (215) 564-8000 Direct Dial - (215) 564-8521 June 21, 2019 VIA EDGAR SUBMISSION Filing Desk U. |
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| June 21, 2019 |
Agreement and Declaration of Trust dated April 22, 2019 EX-99.a.ii AGREEMENT AND DECLARATION OF TRUST of GLOBAL BETA ETF TRUST a Delaware Statutory Trust TABLE OF CONTENTS 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. PURPOSE OF TRUST 4 ARTICLE III. SHARES 8 Section 1. Division of Beneficial Interest 8 |
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| June 21, 2019 |
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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| June 21, 2019 |
Article VI, Records and Reports: Section 1, 2 and 3 EX-99.b.i BY-LAWS of GLOBAL BETA ETF TRUST A Delaware Statutory Trust (Effective as of April 22, 2019) 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 Declaration of Tr |
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| June 21, 2019 |
As filed with the Securities and Exchange Commission on June 21, 2019 File Nos. 333- 811-23450 UNITED STATES 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 REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [X] Amendment No. GLOBAL BETA ETF T |
