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| CIK | 1672826 |
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 ALPS ETF Trust - ALPS | O'Shares U.S. Small-Cap Quality Dividend 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.
| June 29, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-8F 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 |
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| March 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-8F 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 |
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| January 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-8F 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 |
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| August 1, 2022 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street Suite 2600 Philadelphia, PA 19103 Telephone 215. |
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| May 12, 2022 |
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 [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 P |
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| May 11, 2022 |
See accompanying notes to the financial statements. 1 OSI ETF Trust O’Shares U.S. Quality Dividend ETF Schedule of Investments March 31, 2022 (unaudited) See accompanying notes to the financial statements. Investments Shares Value ($) COMMON STOCKS - 99.9% Aerospace & Defense - 5.1% General Dynamics Corp. 11,491 $2,771,399 L3Harris Technologies, Inc. 11,968 2,973,689 Lockheed Martin Corp. 60,692 26,789,449 Northrop Grumman Corp. 21,272 9,513,264 |
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| May 11, 2022 |
See accompanying notes to the financial statements. osi-nport033122 1 OSI ETF Trust O’Shares U.S. Quality Dividend ETF Schedule of Investments March 31, 2022 (unaudited) See accompanying notes to the financial statements. Investments Shares Value ($) COMMON STOCKS - 99.9% Aerospace & Defense - 5.1% General Dynamics Corp. 11,491 $2,771,399 L3Harris Technologies, Inc. 11,968 2,973,689 Lockheed Martin Corp. 60,692 26,789,449 Northrop Grumman Corp. 2 |
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| May 11, 2022 |
See accompanying notes to the financial statements. 1 OSI ETF Trust O’Shares U.S. Quality Dividend ETF Schedule of Investments March 31, 2022 (unaudited) See accompanying notes to the financial statements. Investments Shares Value ($) COMMON STOCKS - 99.9% Aerospace & Defense - 5.1% General Dynamics Corp. 11,491 $2,771,399 L3Harris Technologies, Inc. 11,968 2,973,689 Lockheed Martin Corp. 60,692 26,789,449 Northrop Grumman Corp. 21,272 9,513,264 |
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| May 11, 2022 |
See accompanying notes to the financial statements. 1 OSI ETF Trust O’Shares U.S. Quality Dividend ETF Schedule of Investments March 31, 2022 (unaudited) See accompanying notes to the financial statements. Investments Shares Value ($) COMMON STOCKS - 99.9% Aerospace & Defense - 5.1% General Dynamics Corp. 11,491 $2,771,399 L3Harris Technologies, Inc. 11,968 2,973,689 Lockheed Martin Corp. 60,692 26,789,449 Northrop Grumman Corp. 21,272 9,513,264 |
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| January 6, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive P |
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| November 12, 2021 |
See accompanying notes to the financial statements. 1 OSI ETF Trust O’Shares U.S. Quality Dividend ETF Schedule of Investments September 30, 2021 (unaudited) See accompanying notes to the financial statements. Investments Shares Value ($) COMMON STOCKS - 100.0% Aerospace & Defense - 4.2% General Dynamics Corp. 10,049 $1,969,906 L3Harris Technologies, Inc. 10,479 2,307,895 Lockheed Martin Corp. 53,121 18,332,057 Northrop Grumman Corp. 18,608 6,701,6 |
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| November 12, 2021 |
See accompanying notes to the financial statements. 1 OSI ETF Trust O’Shares U.S. Quality Dividend ETF Schedule of Investments September 30, 2021 (unaudited) See accompanying notes to the financial statements. Investments Shares Value ($) COMMON STOCKS - 100.0% Aerospace & Defense - 4.2% General Dynamics Corp. 10,049 $1,969,906 L3Harris Technologies, Inc. 10,479 2,307,895 Lockheed Martin Corp. 53,121 18,332,057 Northrop Grumman Corp. 18,608 6,701,6 |
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| November 12, 2021 |
See accompanying notes to the financial statements. 1 OSI ETF Trust O’Shares U.S. Quality Dividend ETF Schedule of Investments September 30, 2021 (unaudited) See accompanying notes to the financial statements. Investments Shares Value ($) COMMON STOCKS - 100.0% Aerospace & Defense - 4.2% General Dynamics Corp. 10,049 $1,969,906 L3Harris Technologies, Inc. 10,479 2,307,895 Lockheed Martin Corp. 53,121 18,332,057 Northrop Grumman Corp. 18,608 6,701,6 |
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| November 12, 2021 |
See accompanying notes to the financial statements. 1 OSI ETF Trust O’Shares U.S. Quality Dividend ETF Schedule of Investments September 30, 2021 (unaudited) See accompanying notes to the financial statements. Investments Shares Value ($) COMMON STOCKS - 100.0% Aerospace & Defense - 4.2% General Dynamics Corp. 10,049 $1,969,906 L3Harris Technologies, Inc. 10,479 2,307,895 Lockheed Martin Corp. 53,121 18,332,057 Northrop Grumman Corp. 18,608 6,701,6 |
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| May 14, 2021 |
osi-nportex033121 1 OSI ETF Trust O’Shares U.S. Quality Dividend ETF Schedule of Investments March 31, 2021 (unaudited) Investments Shares Value ($) COMMON STOCKS - 100.0% Aerospace & Defense - 3.5% General Dynamics Corp. 14,724 $2,673,289 L3Harris Technologies, Inc. 4,855 984,011 Lockheed Martin Corp. 39,189 14,480,336 Northrop Grumman Corp. 11,969 3,873,647 22,011,283 Air Freight & Logistics - 1 |
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| May 14, 2021 |
osi-nportex033121 1 OSI ETF Trust O’Shares U.S. Quality Dividend ETF Schedule of Investments March 31, 2021 (unaudited) Investments Shares Value ($) COMMON STOCKS - 100.0% Aerospace & Defense - 3.5% General Dynamics Corp. 14,724 $2,673,289 L3Harris Technologies, Inc. 4,855 984,011 Lockheed Martin Corp. 39,189 14,480,336 Northrop Grumman Corp. 11,969 3,873,647 22,011,283 Air Freight & Logistics - 1 |
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| May 14, 2021 |
1 OSI ETF Trust O’Shares U.S. Quality Dividend ETF Schedule of Investments March 31, 2021 (unaudited) Investments Shares Value ($) COMMON STOCKS - 100.0% Aerospace & Defense - 3.5% General Dynamics Corp. 14,724 $2,673,289 L3Harris Technologies, Inc. 4,855 984,011 Lockheed Martin Corp. 39,189 14,480,336 Northrop Grumman Corp. 11,969 3,873,647 22,011,283 Air Freight & Logistics - 1.7% CH Robinson Wo |
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| May 14, 2021 |
1 OSI ETF Trust O’Shares U.S. Quality Dividend ETF Schedule of Investments March 31, 2021 (unaudited) Investments Shares Value ($) COMMON STOCKS - 100.0% Aerospace & Defense - 3.5% General Dynamics Corp. 14,724 $2,673,289 L3Harris Technologies, Inc. 4,855 984,011 Lockheed Martin Corp. 39,189 14,480,336 Northrop Grumman Corp. 11,969 3,873,647 22,011,283 Air Freight & Logistics - 1.7% CH Robinson Wo |
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| November 12, 2020 |
OSI ETF Trust O'Shares U.S. Quality Dividend ETF Schedule of Investments September 30, 2020 (Unaudited) Investments Shares Value ($) COMMON STOCKS - 99.9% Aerospace & Defense - 3.7% General Dynamics Corp. 13,436 1,859,946 L3Harris Technologies, Inc. 4,435 753,240 Lockheed Martin Corp. 35,607 13,647,451 Northrop Grumman Corp. 10,932 3,448,937 19,709,574 Air Freight & Logistics - 1.8% CH Robinson Wo |
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| November 12, 2020 |
OSI ETF Trust O'Shares U.S. Quality Dividend ETF Schedule of Investments September 30, 2020 (Unaudited) Investments Shares Value ($) COMMON STOCKS - 99.9% Aerospace & Defense - 3.7% General Dynamics Corp. 13,436 1,859,946 L3Harris Technologies, Inc. 4,435 753,240 Lockheed Martin Corp. 35,607 13,647,451 Northrop Grumman Corp. 10,932 3,448,937 19,709,574 Air Freight & Logistics - 1.8% CH Robinson Wo |
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| November 12, 2020 |
OSI ETF Trust O'Shares U.S. Quality Dividend ETF Schedule of Investments September 30, 2020 (Unaudited) Investments Shares Value ($) COMMON STOCKS - 99.9% Aerospace & Defense - 3.7% General Dynamics Corp. 13,436 1,859,946 L3Harris Technologies, Inc. 4,435 753,240 Lockheed Martin Corp. 35,607 13,647,451 Northrop Grumman Corp. 10,932 3,448,937 19,709,574 Air Freight & Logistics - 1.8% CH Robinson Wo |
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| November 12, 2020 |
OSI ETF Trust O'Shares U.S. Quality Dividend ETF Schedule of Investments September 30, 2020 (Unaudited) Investments Shares Value ($) COMMON STOCKS - 99.9% Aerospace & Defense - 3.7% General Dynamics Corp. 13,436 1,859,946 L3Harris Technologies, Inc. 4,435 753,240 Lockheed Martin Corp. 35,607 13,647,451 Northrop Grumman Corp. 10,932 3,448,937 19,709,574 Air Freight & Logistics - 1.8% CH Robinson Wo |
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| October 27, 2020 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103 215. |
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| October 13, 2020 |
OMB APPROVAL OMB Number 3235-0080 Expires: March 31, 2021 Estimated average burden hours per response 1. |
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| October 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OSI ETF Trust (Exact name of registrant as specified in its charter) Delaware See Below (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 75 State |
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| August 28, 2020 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103-7018 Telephone 215. |
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| May 13, 2020 |
OSI ETF Trust O'Shares FTSE U.S. Quality Dividend ETF Schedule of Investments March 31, 2020 (Unaudited) Investments Shares Value ($) COMMON STOCKS - 99.7% Aerospace & Defense - 2.2% Boeing Co. (The) 25,715 3,835,135 Huntington Ingalls Industries, Inc. 1,598 291,172 Lockheed Martin Corp. 11,502 3,898,603 Raytheon Co. 15,883 2,083,055 10,107,965 Air Freight & Logistics - 1.2% CH Robinson Worldwide, |
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| May 13, 2020 |
OSI ETF Trust O'Shares FTSE U.S. Quality Dividend ETF Schedule of Investments March 31, 2020 (Unaudited) Investments Shares Value ($) COMMON STOCKS - 99.7% Aerospace & Defense - 2.2% Boeing Co. (The) 25,715 3,835,135 Huntington Ingalls Industries, Inc. 1,598 291,172 Lockheed Martin Corp. 11,502 3,898,603 Raytheon Co. 15,883 2,083,055 10,107,965 Air Freight & Logistics - 1.2% CH Robinson Worldwide, |
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| May 13, 2020 |
OSI ETF Trust O'Shares FTSE U.S. Quality Dividend ETF Schedule of Investments March 31, 2020 (Unaudited) Investments Shares Value ($) COMMON STOCKS - 99.7% Aerospace & Defense - 2.2% Boeing Co. (The) 25,715 3,835,135 Huntington Ingalls Industries, Inc. 1,598 291,172 Lockheed Martin Corp. 11,502 3,898,603 Raytheon Co. 15,883 2,083,055 10,107,965 Air Freight & Logistics - 1.2% CH Robinson Worldwide, |
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| May 13, 2020 |
OSI ETF Trust O'Shares FTSE U.S. Quality Dividend ETF Schedule of Investments March 31, 2020 (Unaudited) Investments Shares Value ($) COMMON STOCKS - 99.7% Aerospace & Defense - 2.2% Boeing Co. (The) 25,715 3,835,135 Huntington Ingalls Industries, Inc. 1,598 291,172 Lockheed Martin Corp. 11,502 3,898,603 Raytheon Co. 15,883 2,083,055 10,107,965 Air Freight & Logistics - 1.2% CH Robinson Worldwide, |
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| March 30, 2020 |
DEF 14C 1 osietfdef14c03302020.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14C (RULE 14c-101) SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: [ ] Preliminary information statement [ ] Confidential, for use of the Commission only (as permitted by Rule 14c-5(d)(2)) [ ] De |
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| November 25, 2019 |
EX-99.CERT 2 tm1922367d1ex99-cert.htm CERTIFICATIONS PURSUANT TO SECTION 302 Exhibit 99.cert CERTIFICATION PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 AND SECTION 302 OF THE SARBANES OXLEY ACT OF 2002 I, Kevin Beadles, certify that: 1. I have reviewed this report on Form N-Q of OSI ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a ma |
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| November 25, 2019 |
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: 811-23167 OSI ETF Trust (Exact name of registrant as specified in charter) 60 State Street Suite 700 Boston, MA 02109 (Address of principal executive offices) (Zip code) Connor O’Brien 60 State Stre |
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| May 24, 2019 |
Osi Etf Trust N-Q - Quarterly Schedule of Portfolio Holdings - 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: 811-23167 OSI ETF Trust (Exact name of registrant as specified in charter) 60 State Street Suite 700 Boston, MA 02109 (Address of principal executive offices) (Zip code) Connor O’Brien 60 State Stre |
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| May 24, 2019 |
Exhibit 99.cert CERTIFICATION PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 AND SECTION 302 OF THE SARBANES OXLEY ACT OF 2002 I, Kevin Beadles, certify that: 1. I have reviewed this report on Form N-Q of OSI 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 |
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| December 27, 2018 |
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 January 7, 2019, pursuant to the provisions of Rule 12d2-2 (a). |
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| December 27, 2018 |
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 January 7, 2019, pursuant to the provisions of Rule 12d2-2 (a). |
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| November 26, 2018 |
Exhibit 99.cert CERTIFICATION PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 AND SECTION 302 OF THE SARBANES OXLEY ACT OF 2002 I, Kevin Beadles, certify that: 1. I have reviewed this report on Form N-Q of OSI 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 |
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| November 26, 2018 |
Osi Etf 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: 811-23167 OSI ETF Trust (Exact name of registrant as specified in charter) 60 State Street Suite 700 Boston, MA 02109 (Address of principal executive offices) (Zip code) Connor O’Brien 60 State Stre |
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| October 26, 2018 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103 215. |
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| October 3, 2018 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103-7018 Telephone 215. |
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| August 29, 2018 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103-7018 Telephone 215. |
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| June 22, 2018 |
8-A12B 1 osietftrust8a12b06222018.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 OSI ETF 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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| June 7, 2018 |
Osi Etf Trust 425 (Prospectus) Filing by OSI ETF Trust pursuant to Rule 425 under the Securities Act of 1933. Subject Company: FQF Trust 333-224289 SHAREHOLDER SERVICES IMPORTANT NOTICE Re: FQF TRUST Dear Shareholder: We have tried unsuccessfully to contact you about a very important matter regarding your investment in the O'Shares FTSE U.S. Quality Dividend ETF, the O'Shares FTSE Europe Quality Dividend ETF, and/or the O'Share |
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| June 4, 2018 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103 215. |
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| May 31, 2018 |
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 OSI 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.) 60 State Street, Suite |
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| May 30, 2018 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103 215. |
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| May 24, 2018 |
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: 811-23167 OSI ETF Trust (Exact name of registrant as specified in charter) 60 State Street Suite 700 Boston, MA 02109 (Address of principal executive offices) (Zip code) Connor O’Brien 60 State Stre |
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| May 24, 2018 |
Exhibit 99.cert CERTIFICATION PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 AND SECTION 302 OF THE SARBANES OXLEY ACT OF 2002 I, Kevin Beadles, certify that: 1. I have reviewed this report on Form N-Q of OSI 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 |
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| May 15, 2018 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103 215. |
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| April 25, 2018 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103 215. |
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| April 13, 2018 |
EX-99.16.16.A 4 powerofattorney.htm POWER OF ATTORNEY EX-16.16.a POWER OF ATTORNEY The undersigned Trustees and/or Officers of OSI ETF Trust (the "Trust"), a registered investment company, hereby appoint Connor O'Brien, Louise Anne Poirier and Kevin Beadles (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 n |
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| April 13, 2018 |
As filed with the Securities and Exchange Commission on April 13, 2018 File No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [X] Pre-Effective Amendment No. [ ] Post-Effective Amendment No. [ ] (Check appropriate box or boxes) OSI ETF TRUST (Exact Name of Registrant as Specified in Charter) 60 State S |
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| April 13, 2018 |
EX-16.11.a Stradley Ronon Stevens & Young, LLP 2005 Market Street Suite 2600 Philadelphia, PA 19103-7018 215.564.8000 www.stradley.com April 13, 2018 Board of Trustees of OSI ETF Trust 60 State Street, Suite 700 Boston, MA 02109 Subject: Registration Statement on Form N-14 Ladies and Gentlemen: We have acted as counsel to O'Shares FTSE U.S. Quality Dividend ETF, O'Shares FTSE Europe Quality Divide |
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| April 13, 2018 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-16.14.a CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference into the Proxy Statement/Prospectus constituting part of this registration statement on Form N-14 (the "Registration Statement") of our report dated August 24, 2017 on the financial statements and financial highlights in the June 30, 2017 Annual Report to Shareholders of O'Shares |
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| April 13, 2018 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103 Telephone 215. |
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| March 16, 2018 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103-7098 Telephone: (215) 564-8000 Fax: (215) 564-8120 J. |
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| February 14, 2018 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103-7098 Telephone: (215) 564-8000 Fax: (215) 564-8120 J. |
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| November 17, 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: 811-23167 OSI ETF Trust (Exact name of registrant as specified in charter) 60 State Street Suite 700 Boston, MA 02109 (Address of principal executive offices) (Zip code) Connor O?Brien 60 State Stre |
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| November 17, 2017 |
Exhibit 99.cert CERTIFICATION PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 AND SECTION 302 OF THE SARBANES OXLEY ACT OF 2002 I, Kevin Beadles, certify that: 1. I have reviewed this report on Form N-Q of OSI 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 |
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| August 28, 2017 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Trustees of OSI ETF Trust and the Shareholders of O'Shares FTSE Russell Small Cap Quality Dividend ETF and O'Shares FTSE Russell International Quality Dividend ETF In planning and performing our audits of the financial statements of O'Shares FTSE Russell Small Cap Quality Dividend ETF and O'Shares FTSE Russell International Qu |
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| May 25, 2017 |
Exhibit 99.cert CERTIFICATION PURSUANT TO RULE 30a-2(a) UNDER THE INVESTMENT COMPANY ACT OF 1940 AND SECTION 302 OF THE SARBANES OXLEY ACT OF 2002 I, Kevin Beadles, certify that: 1. I have reviewed this report on Form N-Q of OSI 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 |
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| May 25, 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: 811-23167 OSI ETF Trust (Exact name of registrant as specified in charter) 60 State Street Suite 700 Boston, MA 02109 (Address of principal executive offices) (Zip code) Connor O?Brien 60 State Stre |
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| March 20, 2017 |
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 OSI 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.) 60 State Street, Suite |
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| December 27, 2016 |
FORM OF INVESTMENT SUB-ADVISORY AGREEMENT Ex-99.d.iii FORM OF INVESTMENT SUB-ADVISORY AGREEMENT Agreement made as of between O'Shares Investment Advisers, LLC (the "Adviser"), a Delaware limited liability company with its principal offices located at 1010 Sherbrooke St. West, Suite 2510, Montreal, QC H3A 2R7 (Canada), and Vident Investment Advisory, LLC (the "Sub-Adviser"), a Delaware limited liability company with its principal offices l |
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| December 27, 2016 |
SECURITIES AND EXCHANGE COMMISSION As filed with the Securities and Exchange Commission on December 27, 2016 File Nos. |
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| December 27, 2016 |
Ex-99.q.i POWER OF ATTORNEY The undersigned Trustees and/or Officers of OSI ETF Trust (the "Trust"), a registered investment company, hereby appoint Connor O'Brien, Louise Anne Poirier and Kevin Beadles (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 s |
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| December 27, 2016 |
FORM OF AGENCY SERVICES AGREEMENT Ex-99.h.ii FORM OF AGENCY SERVICES AGREEMENT THIS AGENCY SERVICES AGREEMENT made as of the day of by and between OSI ETF Trust, a Delaware Statutory Trust registered as an investment company with the SEC under the Investment Company Act of 1940 (the "1940 Act") , with offices at 60 STATE STREET STE 700 BOSTON MA (the "Trust"), on behalf of itself and its series listed on Exhibit A hereto (each a " |
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| December 27, 2016 |
FORM OF GLOBAL CUSTODY AGREEMENT Ex-99.g.i Table of Contents 1. INTENTION OF THE PARTIES; DEFINITIONS 1 1.1. Intention of the Parties 1 1.2. Definitions; Interpretation 1 2. WHAT J.P. MORGAN IS REQUIRED TO DO 4 2.1. Set Up Accounts 4 2.2. Cash Account 5 2.3. Segregation of Assets; Nominee Name 5 2.4. Settlement of Transactions 6 2.5. Contractual Settlement Date Accounting 6 2.6. Actual Settlement Date Accounting 7 2.7. Income Col |
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| December 27, 2016 |
Ex-99.h.iv FUND CFO/TREASURER AGREEMENT AGREEMENT made as of December 15, 2016, by and between OSI ETF Trust, a Delaware statutory trust (the "Fund"), on behalf of each of its series (each, a "Series", and collectively the "Series"), with its principal office and place of business at 60 State Street, Suite 700, Boston, Massachusetts 02109, and Foreside Fund Officer Services, LLC, a Delaware limite |
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| December 27, 2016 |
Ex-99h.iii FUND CCO AND AMLO AGREEMENT AGREEMENT made as of December 15, 2016, by and between OSI ETF Trust, a Delaware statutory trust (the "Fund Company"), on behalf of each of its series (each, a "Fund" and collectively as the "Funds"), with its principal office and place of business at 60 State Street, Suite 700, Boston, Massachusetts 02109, and Foreside Fund Officer Services, LLC, a Delaware |
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| December 27, 2016 |
OSI ETF Trust Fee Waiver Agreement Ex-99.d.ii OSI ETF Trust Fee Waiver Agreement THIS AGREEMENT (the "Agreement") is made by O'Shares Investment Advisers, LLC (the "Adviser"), effective as of the 12th day of December, 2016. WHEREAS, the Adviser has entered into an investment advisory agreement dated December 12, 2016 (the "Advisory Agreement") with the OSI ETF Trust (the "Trust") pursuant to which the Adviser provides investment ad |
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| December 27, 2016 |
FORM OF FUND SERVICES AGREEMENT Ex-99.h.i Table of Contents 1. INTENTION OF THE PARTIES; DEFINITIONS 1 1.1. Intention of the Parties 1 1.2. Definitions; Interpretation 1 2. WHAT J.P. MORGAN IS REQUIRED TO DO 3 2.1. The Services. 3 2.2. No Duty to Monitor Compliance. 3 2.3. No Responsibility for Tax Returns. 3 2.4. Storage of Records. 3 2.5. Compliance with Laws and Regulations. 4 2.6. Change Control. 4 3. INSTRUCTIONS 4 3.1. Act |
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| December 27, 2016 |
Vident Investment Advisory, LLC & WeatherStorm Capital, LLC CODE OF ETHICS Ex-99.p.iii Vident Investment Advisory, LLC & WeatherStorm Capital, LLC CODE OF ETHICS As an investment adviser, VIA and WSC are fiduciaries. The Firms owe its clients the highest duty of loyalty and rely on each employee to avoid conduct that is or may be inconsistent with that duty. It is also important for employees to avoid actions that, while they may not actually involve a conflict of intere |
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| December 27, 2016 |
CODE OF ETHICS APPENDIX A FORESIDE COMPANIES Ex-99.p.iv Code of Ethics 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) |
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| December 27, 2016 |
Ex-99.m 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, as amended (the "1940 Act"), by OSI ETF 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 business under these o |
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| December 27, 2016 |
Ex-99.l PURCHASE AGREEMENT OSI ETF Trust (the "Trust"), a Delaware statutory trust, and O'Shares Investment Advisers, LLC ("O'Shares"), hereby agree as follows: 1. The Trust hereby offers to sell to O'Shares and O'Shares hereby agrees to purchase 4,000 shares of the O'Shares FTSE Russell Small Cap Quality Dividend ETF, a series of the Trust, at a price of $25 per share. The Trust hereby acknowledg |
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| December 27, 2016 |
Ex-99.e.ii AUTHORIZED PARTICIPANT AGREEMENT OSI ETF TRUST This Authorized Participant Agreement (the "Agreement") is entered into by and between Foreside Fund Services, LLC (the "Distributor") and [Participant Name] (the "Participant") and is subject to acceptance by JPMorgan Chase Bank, N.A. (the "Index Receipt Agent") and is further subject to acknowledgement and agreement by OSI ETF Trust (the |
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| December 27, 2016 |
Ex-99.e.i ETF DISTRIBUTION AGREEMENT This Distribution Agreement (the "Agreement") is made this 15th day of December 2016, by and between OSI ETF Trust, a Delaware statutory trust (the "Trust"), on behalf of each of its series (each, a "Fund", and collectively the "Funds"), having its principal place of business at 60 State Street, Suite 700, Boston, MA 02109, and Foreside Fund Services, LLC, a De |
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| December 27, 2016 |
Ex-99.p.i OSI ETF TRUST CODE OF ETHICS This Code of Ethics (the "Code") has been adopted by OSI 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 ensure that all acts, practices and courses of business engaged in by access persons (a |
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| December 27, 2016 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Ex-99.j.1 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the reference to our firm in the Pre-Effective Amendment to the Registration Statement on Form N-1A of OSI ETF Trust and to the use of our opinion dated December 27, 2016 on the statement of assets and liabilities as of December 23, 2016 of O'Shares FTSE Russell Small Cap Quality Dividend ETF, a portfolio of OSI ETF T |
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| December 27, 2016 |
Ex-99.d.i INVESTMENT ADVISORY AGREEMENT Agreement made as of December 12, 2016, between OSI ETF Trust, a Delaware statutory trust and registered open-end management investment company (the "Trust"), and O'Shares Investment Advisers, 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 |
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| December 27, 2016 |
Ex-99.p.ii Exhibit A CODE OF ETHICS Introduction Pursuant to rules established by the U.S. Securities and Exchange Commission (the "SEC"), it is unlawful for certain persons of O'Shares Investment Advisers, LLC (the "Adviser"), in connection with the purchase or sale by such persons of securities held or to be acquired by a client account: 1. To employee any device, scheme or artifice to defraud; |
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| December 27, 2016 |
Ex-99.i.i Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103-7018 Telephone 215.564.8000 Fax 215.564.8120 www.stradley.com December 27, 2016 Board of Trustees of OSI ETF Trust 60 State Street, Suite 700 Boston, MA 02109 Subject: Pre-Effective Amendment No. 2 to the Registration Statement on Form N-1A relating to OSI ETF Trust, a Delaware statutory trust File |
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| December 27, 2016 |
OSI ETF TRUST 60 State Street, Suite 700 Boston, MA 02109 FORESIDE FUND SERVICES, LLC Three Canal Plaza, Suite 100 Portland, ME 04101 December 27, 2016 Via EDGAR Transmission Ms. |
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| December 14, 2016 |
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 OSI 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.) 60 State Street, Suite |
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| December 14, 2016 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103 215. |
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| December 6, 2016 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103 215. |
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| December 6, 2016 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103 215. |
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| December 6, 2016 |
SECURITIES AND EXCHANGE COMMISSION As filed with the Securities and Exchange Commission on December 6, 2016 File Nos. |
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| July 6, 2016 |
BY-LAWS of OSI ETF TRUST A Delaware Statutory Trust (Effective as of April 12, 2016) These By-Laws may contain any provision not inconsistent with applicable law or the Declaration of Trust, relating to the governance of the Trust. |
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| July 6, 2016 |
COVER 5 filename5.htm Law Offices Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, Pennsylvania 19103-7018 (215) 564-8000 Direct Dial - (215) 564-8521 July 6, 2016 VIA EDGAR SUBMISSION Filing Desk U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: OSI ETF Trust Initial Registration Statement on Form N-1A Dear Sir/Madam: Included for in |
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| July 6, 2016 |
CERTIFICATE OF TRUST OF OSI ETF TRUST This Certificate of Trust of OSI 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. |
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| July 6, 2016 |
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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| July 6, 2016 |
Article VI, Net Asset Value; Distributions; Redemptions; Transfers AGREEMENT AND DECLARATION OF TRUST of OSI ETF TRUST a Delaware Statutory Trust ARTICLE I. |
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| July 6, 2016 |
Part B, Statement of Additional Information – Item 22 N-1A 1 osietftrustn1a062016.htm As filed with the Securities and Exchange Commission on July 6, 2016 File Nos. 333- 811-23167 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. |
