Mga Batayang Estadistika
| LEI | 54930012BL04M0OMCP81 |
| CIK | 1414040 |
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 Active Equity Opportunity 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.
| April 2, 2025 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| April 1, 2025 |
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 ALPS ETF Trust (Exact name of Registrant as specified in Charter) Delaware See Item 1. (State of incorporation or organization) (IRS Employer Identification No.) 1290 Broadway, Suite 1000, Denver, |
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| February 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 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 Commissioner Only (as permitted by Rule 14c-5(d)(2)). [X] Definitive information statement. ALPS ETF Trust (Name of R |
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| October 18, 2024 |
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 October 29, 2024, pursuant to the provisions of Rule 12d2-2 (a). |
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| June 7, 2024 |
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)) [X] Definitive P |
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| March 22, 2024 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| November 30, 2023 |
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 ALPS ETF Trust (Exact name of Registrant as specified in Charter) Delaware See Item 1. (State of incorporation or organization) (IRS Employer Identification No.) 1290 Broadway, Suite 1000, Denver, |
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| August 25, 2023 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| August 18, 2023 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| August 17, 2023 |
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 ALPS ETF Trust (Exact name of Registrant as specified in Charter) Delaware See Item 1. (State of incorporation or organization) (IRS Employer Identification No.) 1290 Broadway, Suite 1000, Denver, |
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| July 28, 2023 |
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 August 08, 2023, pursuant to the provisions of Rule 12d2-2 (a). |
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| June 28, 2023 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| November 28, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments September 30, 2022 (Unaudited) ALPS | O’Shares U.S. Quality Dividend ETF Schedule of Investments As of September 30, 2022 (Unaudited) Security Description Shares Value COMMON STOCKS (99.75%) Aerospace & Defense (2.02%) General Dynamics Corp. 9,942 $ 2,109,394 L3Harris Technologies, Inc. 4,598 955,602 Lockheed Martin Corp. 14,384 5,556,396 Northrop Grumman Corp. 9,890 4,651,465 Total Aerospace & Defense 13,272,857 Air Freight & |
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| November 28, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments September 30, 2022 (Unaudited) ALPS | O’Shares U.S. Quality Dividend ETF Schedule of Investments As of September 30, 2022 (Unaudited) Security Description Shares Value COMMON STOCKS (99.75%) Aerospace & Defense (2.02%) General Dynamics Corp. 9,942 $ 2,109,394 L3Harris Technologies, Inc. 4,598 955,602 Lockheed Martin Corp. 14,384 5,556,396 Northrop Grumman Corp. 9,890 4,651,465 Total Aerospace & Defense 13,272,857 Air Freight & |
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| November 28, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments September 30, 2022 (Unaudited) ALPS | O’Shares U.S. Quality Dividend ETF Schedule of Investments As of September 30, 2022 (Unaudited) Security Description Shares Value COMMON STOCKS (99.75%) Aerospace & Defense (2.02%) General Dynamics Corp. 9,942 $ 2,109,394 L3Harris Technologies, Inc. 4,598 955,602 Lockheed Martin Corp. 14,384 5,556,396 Northrop Grumman Corp. 9,890 4,651,465 Total Aerospace & Defense 13,272,857 Air Freight & |
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| November 28, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments September 30, 2022 (Unaudited) ALPS | O’Shares U.S. Quality Dividend ETF Schedule of Investments As of September 30, 2022 (Unaudited) Security Description Shares Value COMMON STOCKS (99.75%) Aerospace & Defense (2.02%) General Dynamics Corp. 9,942 $ 2,109,394 L3Harris Technologies, Inc. 4,598 955,602 Lockheed Martin Corp. 14,384 5,556,396 Northrop Grumman Corp. 9,890 4,651,465 Total Aerospace & Defense 13,272,857 Air Freight & |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| July 18, 2022 |
Opinions of Dechert LLP with respect to tax matters (filed herewith). Three Bryant Park 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www. |
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| July 18, 2022 |
Agreement and Plan of Reorganization is filed herewith. AGREEMENT AND PLAN OF REORGANIZATION This Agreement and Plan of Reorganization (the "Agreement") is made as of June 17, 2022 by and among ALPS ETF Trust, a Delaware statutory trust (?AET?), on behalf of its series identified in Exhibit A (each, a ?New Fund? and, collectively, the ?New Funds?), OSI ETF Trust, a Delaware statutory trust (?OET?), on behalf of its series identified in Exhibit A hereto (each, an ?Existing Fund? and, collectively, the ?Existing Funds?) and, solely with respect to Section 5 hereof, ALPS Advisors, Inc. |
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| July 18, 2022 |
Amendment to REPORT MODERNIZATION ADDENDUM to Amended and Restated Administration Agreement This Amendment (this "Amendment") dated February 16, 2022, is to the Report Modernization Addendum (the "Addendum") dated June 4, 2018, as amended to the Amended and Restated Administration Agreement dated March 6, 2017, as amended (the "Agreement"), by and between ALPS Advisors, Inc. |
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| July 18, 2022 |
May 12, 2022 State Street Bank and Trust Company Channel Center, CCB7 One Iron Street Boston, MA 02210 Attention: Patrick Arthur, AVP Re: ALPS ETF Trust (the ?Trust?) Ladies and Gentlemen: Please be advised that the undersigned Trust has established four new series (the ?Portfolio?) of shares to be known as follows: ALPS | O?Shares U. |
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| July 18, 2022 |
February 16, 2022 State Street Bank and Trust Company Channel Center, CCB7 One Iron Street Boston, MA 02210 Attention: Patrick Arthur, AVP Re: ALPS ETF Trust (the ?Fund?) Ladies and Gentlemen: Please be advised that the undersigned Trust has established four new series (the ?Portfolio?) of shares to be known as follows: ALPS | O?Shares U. |
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| July 18, 2022 |
As filed with the Securities and Exchange Commission on July 18, 2022 As filed with the Securities and Exchange Commission on July 18, 2022 File No. 333-263500 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. 1 [X] ALPS ETF Trust (Exact Name of Registrant as Specified in Charter) 1290 Broadway Suite 1000 Denver, Co |
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| July 18, 2022 |
Amendment to LIQUDITY RISK MANAGEMENT ADDENDUM to Amended and Restated Administration Agreement This Amendment (this ?Amendment?) dated February 16, 2022, is to the Liquidity Risk Management Addendum (the ?Addendum?) dated December 1, 2018, as amended to the Amended and Restated Administration Agreement dated March 6, 2017, as amended (the ?Agreement?), by and between ALPS Advisors, Inc. |
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| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
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| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
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| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
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| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
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| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
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| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
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| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
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| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
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| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
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| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
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| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
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| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
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| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
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| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
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| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
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| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
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| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
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| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
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| April 20, 2022 |
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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identification No.) 1290 Broadway, Suite 1000, D |
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| April 8, 2022 |
Consent of independent registered public accounting firm (filed herewith). ? CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Registration Statement on Form N-14 of the ALPS ETF Trust and to the use of our report dated August 25, 2021 on the financial statements and financial highlights of O'Shares U. |
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| April 8, 2022 |
Form of Opinion of Dechert LLP with respect to tax matters (filed herewith). ? Three Bryant Park 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www. |
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| April 8, 2022 |
As filed with the Securities and Exchange Commission on April 8, 2022 As filed with the Securities and Exchange Commission on April 8, 2022 File No. 333-263500 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pre-Effective Amendment No. 1 X Post-Effective Amendment No. [ ] ALPS ETF Trust (Exact name of Registrant as Specified in Charter) 1290 Broadway Suite 1000 Denver, Colorado |
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| April 7, 2022 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| April 5, 2022 |
ALPS ETF Trust 1290 Broadway Suite 1000 Denver, Colorado 80203 April 5, 2022 ALPS ETF Trust 1290 Broadway Suite 1000 Denver, Colorado 80203 April 5, 2022 VIA EDGAR U. |
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| April 5, 2022 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| March 29, 2022 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| March 18, 2022 |
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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identification No.) 1290 Broadway, Suite 1000, D |
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| March 11, 2022 |
(11) Opinion of Counsel Regarding Legality of the Securities Being Registered 1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| March 11, 2022 |
Consent of independent registered public accounting firm (filed herewith). CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Registration Statement on Form N-14 of the OSI ETF Trust and to the use of our report dated August 25, 2021 on the financial statements and financial highlights of O'Shares U. |
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| March 11, 2022 |
As filed with the Securities and Exchange Commission on March 11, 2022 As filed with the Securities and Exchange Commission on March 11, 2022 File No. [ ] UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pre-Effective Amendment No. [ ] Post-Effective Amendment No. [ ] ALPS ETF Trust (Exact name of Registrant as Specified in Charter) 1290 Broadway Suite 1000 Denver, Colorado 80203 |
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| March 11, 2022 |
Powers of attorney for Mary K. Anstine, Jeremy W. Deems, Edmund J. Burke, and Rick A. Pederson.(16). We, the undersigned Trustees of the following investment company: ALPS ETF Trust hereby severally constitute and appoint Brendan Hamill and Kathryn Burns with full power of substitution, and with full power to sign for us and in our names in the appropriate capacities, any Registration Statements on Form N-14; all Pre-Effective Amendments to said Registration Statements; all subsequent Post-Effect |
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| January 19, 2022 |
ALPS ETF TRUST 1290 Broadway, Suite 1000 Denver, CO 80203 ALPS ETF TRUST 1290 Broadway, Suite 1000 Denver, CO 80203 January 19, 2022 Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
|
| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
|
| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
|
| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
|
| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
|
| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
|
| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
|
| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
|
| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
|
| October 22, 2021 |
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 November 02, 2021, pursuant to the provisions of Rule 12d2-2 (a). |
|
| September 2, 2021 |
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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identification No.) 1290 Broadway, Suite 1000, D |
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| August 31, 2021 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
|
| August 25, 2021 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
|
| July 14, 2021 |
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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identification No.) 1290 Broadway, Suite 1000, D |
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| June 25, 2021 |
VIA EDGAR June 25, 2021 ALPS ETF Trust 1290 Broadway Suite 1000 Denver, Colorado 80203 Securities and Exchange Commission 100 F Street, NE Washington, D. |
|
| June 17, 2021 |
ALPS ETF TRUST 1290 Broadway, Suite 1000 Denver, CO 80203 ALPS ETF TRUST 1290 Broadway, Suite 1000 Denver, CO 80203 June 17, 2021 Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D. |
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| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
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| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
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| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
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| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
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| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
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| April 14, 2021 |
ALPS ETF TRUST 1290 Broadway, Suite 1000 Denver, CO 80203 COVER 2 filename2.htm ALPS ETF TRUST 1290 Broadway, Suite 1000 Denver, CO 80203 April 14, 2021 Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D.C. 20549 Re: ALPS ETF Trust (the “Trust”) (File Nos. 333-148826; 811-22175) Dear Sir or Madam: An electronic (“EDGAR”) filing is hereby made under the Securities Act of 1933, as amended (the “1933 Act”), a |
|
| March 24, 2021 |
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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identification No.) 1290 Broadway, Suite 1000, D |
|
| March 24, 2021 |
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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identification No.) 1290 Broadway, Suite 1000, D |
|
| March 19, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-34040 Issuer: ALPS ETF Trust Exchange: Cboe BZX Exchange, Inc. (Exact name of Issuer as specified in its charter and name of Exchange where securities are listed and/or registe |
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| March 19, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-34040 Issuer: ALPS ETF Trust Exchange: Cboe BZX Exchange, Inc. (Exact name of Issuer as specified in its charter and name of Exchange where securities are listed and/or registe |
|
| February 22, 2021 |
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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identification No.) 1290 Broadway, Suite 1000, D |
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| February 12, 2021 |
VIA EDGAR February 12, 2021 ALPS ETF Trust 1290 Broadway Suite 1000 Denver, Colorado 80203 Securities and Exchange Commission 100 F Street, NE Washington, D. |
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| December 22, 2020 |
Page 1 of 1 VIA EDGAR December 22, 2020 ALPS ETF Trust 1290 Broadway Suite 1000 Denver, Colorado 80203 Securities and Exchange Commission 100 F Street, NE Washington, D. |
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| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| October 8, 2020 |
ALPS ETF TRUST 1290 Broadway, Suite 1000 Denver, CO 80203 ALPS ETF TRUST 1290 Broadway, Suite 1000 Denver, CO 80203 October 8, 2020 Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D. |
|
| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
|
| March 27, 2020 |
VIA EDGAR March 27, 2020 ALPS ETF Trust 1290 Broadway Suite 1000 Denver, Colorado 80203 March 27, 2020 Securities and Exchange Commission 100 F Street, NE Washington, D. |
|
| January 28, 2020 |
January 28, 2020 Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D. |
|
| October 25, 2019 |
EQL / Alps Etf Tr Equal Sector Weight Etf NPORT-EX - - Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2019 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (32. |
|
| July 22, 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 August 2, 2019 pursuant to the provisions of Rule 12d2-2 (a). |
|
| July 22, 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 August 2, 2019 pursuant to the provisions of Rule 12d2-2 (a). |
|
| April 29, 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 May 10, 2019, pursuant to the provisions of Rule 12d2-2 (a). |
|
| April 26, 2019 |
EX-99.CERT 2 fp0041337ex99cert.htm Exhibit 99.Cert CERTIFICATION I, Edmund J. Burke, President and Principal Executive Officer of ALPS ETF Trust, certify that: 1. I have reviewed this report on Form N-Q of ALPS ETF Trust (the “registrant”); 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 statement |
|
| April 26, 2019 |
EQL / Alps Etf Tr Equal Sector Weight Etf 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: 811-22175 ALPS ETF TRUST (Exact name of registrant as specified in charter) 1290 Broadway, Suite 1100, Denver, Colorado 80203 (Address of principal executive offices) (Zip code) Sharon Akselrod, Ass |
|
| March 4, 2019 |
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 March 15, 2019, pursuant to the provisions of Rule 12d2-2 (a). |
|
| October 29, 2018 |
Exhibit 99.Cert CERTIFICATION I, Edmund J. Burke, President and Principal Executive Officer of ALPS ETF Trust, certify that: 1. I have reviewed this report on Form N-Q of ALPS ETF Trust (the “registrant”); 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 circumstanc |
|
| October 29, 2018 |
EQL / Alps Etf Tr Equal Sector Weight Etf N-Q (Quarterly Schedule of Portfolio Holdings) N-Q 1 fp0036610nq.htm 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: 811-22175 ALPS ETF TRUST (Exact name of registrant as specified in charter) 1290 Broadway, Suite 1100, Denver, Colorado 80203 (Address of principal executive offices) (Zip code |
|
| August 9, 2018 |
EQL / Alps Etf Tr Equal Sector Weight Etf DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION RE QUIRED IN PROXY STATEMENT 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, f |
|
| July 18, 2018 |
EQL / Alps Etf Tr Equal Sector Weight Etf DEFA14A DEFA14A 1 fp0034576defa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION RE QUIRED IN PROXY STATEMENT 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 Prox |
|
| July 5, 2018 |
EQL / Alps Etf Tr Equal Sector Weight Etf DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION RE QUIRED IN PROXY STATEMENT 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, f |
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| June 18, 2018 |
EQL / Alps Etf Tr Equal Sector Weight Etf REGISTRATION/LISTING OF A CLASS OF SECURITIES 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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identification No.) 1290 Broadway, Suite 1100, D |
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| June 1, 2018 |
EQL / Alps Etf Tr Equal Sector Weight Etf DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION RE QUIRED IN PROXY STATEMENT 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, f |
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| May 30, 2018 |
EQL / Alps Etf Tr Equal Sector Weight Etf CORRESP CORRESP 1 filename1.htm May 30, 2018 VIA EDGAR Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Attention: Samantha Brutlag, Division of Investment Management RE: ALPS ETF Trust (the “Registrant”) File Nos. 333-148826, 811-22175 Dear Ms. Brutlag: Set forth in the numbered paragraphs below are the Staff’s oral comments provided on May 21, 2018 to Post-Effective Amendment N |
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| May 29, 2018 |
EQL / Alps Etf Tr Equal Sector Weight Etf CORRESP CORRESP 1 filename1.htm alps etf trust 1290 Broadway Suite 1100 Denver, Colorado 80203 VIA EDGAR May 29, 2018 Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-0504 Attention: Samantha Brutlag, Division of Investment Management Re: ALPS ETF Trust Registration Statement on Form N-1A SEC File Nos. 333-148826; 811-22175 Dear Ms. Brutlag: Pu |
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| May 23, 2018 |
EQL / Alps Etf Tr Equal Sector Weight Etf DEFA14A DEFA14A 1 fp0033618defa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION RE QUIRED IN PROXY STATEMENT 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 Prox |
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| May 7, 2018 |
EQL / Alps Etf Tr Equal Sector Weight Etf DEFA14A DEFA14A 1 fp0033327defa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION RE QUIRED IN PROXY STATEMENT 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 Prox |
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| April 27, 2018 |
EQL / Alps Etf Tr Equal Sector Weight Etf 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: 811-22175 ALPS ETF TRUST (Exact name of registrant as specified in charter) 1290 Broadway, Suite 1100, Denver, Colorado 80203 (Address of principal executive offices) (Zip code) Andrea E. Kuchli, Se |
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| April 27, 2018 |
Exhibit 99.Cert CERTIFICATION I, Edmund J. Burke, President and Principal Executive Officer of ALPS ETF Trust, certify that: 1. I have reviewed this report on Form N-Q of ALPS ETF Trust (the “registrant”); 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 circumstanc |
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| April 11, 2018 |
EQL / Alps Etf Tr Equal Sector Weight Etf DEF 14A 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 (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)) |
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| April 6, 2018 |
April 6, 2018 Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D. |
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| April 4, 2018 |
EQL / Alps Etf Tr Equal Sector Weight Etf CORRESP Skadden, Arps, Slate, Meagher & Flom llp 155 North Wacker Drive Chicago, Illinois 60606-1720 TEL: (312) 407-0700 FAX: (312) 407-0411 www. |
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| March 23, 2018 |
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 (Amendment No. ) 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)) |
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| March 23, 2018 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] March 23, 2018 [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] March 23, 2018 Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 RE: ALPS ETF Trust (File No. |
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| January 29, 2018 |
alpse77b.htm - Generated by SEC Publisher for SEC Filing REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Shareholders and Board of Trustees of ALPS ETF Trust: In planning and performing our audit of the financial statements of ALPS ETF Trust (the ?Trust?), comprised of the as of the Cohen & Steers Global Realty Majors ETF, ALPS Equal Sector Weight ETF, Barron?s 400SM ETF, ALPS Secto |
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| December 27, 2017 |
EQL / Alps Etf Tr Equal Sector Weight Etf 2B 8-A12B 1 fp00298758a12b.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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identification No.) |
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| October 24, 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: 811-22175 ALPS ETF TRUST (Exact name of registrant as specified in charter) 1290 Broadway, Suite 1100, Denver, Colorado 80203 (Address of principal executive offices) (Zip code) Andrea E. Kuchli, As |
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| October 24, 2017 |
EX-99.CERT 2 fp0028641ex99cert.htm Exhibit 99.Cert CERTIFICATION I, Thomas A. Carter, President and Principal Executive Officer of ALPS ETF Trust, certify that: 1. I have reviewed this report on Form N-Q of ALPS ETF Trust (the “registrant”); 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 statemen |
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| July 26, 2017 |
exhibit77q1dsub-itemdisclosu.htm - Generated by SEC Publisher for SEC Filing Sub-Item 77I and 77Q1(d): During the six-month period ended May 31, 2017, ALPS ETF Trust (the ?Registrant?) offered the following series: Series Registration Statement ALPS/Dorsey Wright Sector Momentum ETF (SWIN) Post-Effective Amendment No. 280 (SEC Accession No. 0001398344-17-000147) Post-Effective Amendment No. 284 in |
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| July 26, 2017 |
exhibit77isub-itemdisclosure.htm - Generated by SEC Publisher for SEC Filing Sub-Item 77I and 77Q1(d): During the six-month period ended May 31, 2017, ALPS ETF Trust (the ?Registrant?) offered the following series: Series Registration Statement ALPS/Dorsey Wright Sector Momentum ETF (SWIN) Post-Effective Amendment No. 280 (SEC Accession No. 0001398344-17-000147) Post-Effective Amendment No. 284 in |
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| July 26, 2017 |
exhibit77q1e-subitemneworame.htm - Generated by SEC Publisher for SEC Filing AETF N-SAR 5.31.17 Sub-Item 77 Q1(e): Copies of any new or amended Registrant investment advisory contracts Investment Advisory Agreement dated January 6, 2017, between the Registrant and ALPS Advisors, Inc., on behalf of the ALPS/Dorsey Wright Sector Momentum ETF, is hereby incorporated by reference to Exhibit (d)(28) to |
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| June 29, 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 July 10, 2017, pursuant to the provisions of Rule 12d2-2 (a). |
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| June 2, 2017 |
ALPS ETF EXIT FILING (Passive Acquisition of More Than 5% of Shares) rffc60217.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Riverfront Dynamic US Flex-Cap ETF (Name of Issuer) Exchange Traded Fund (Title of Class of Securities) 00162Q510 (CUSIP Number) May 31, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to w |
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| June 2, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Alps ETF Trust (Name of Issuer) Exchange Traded Fund (Title of Class of Securities) 00162Q544 (CUSIP Number) May 31, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] R |
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| June 2, 2017 |
ALPS ETF EXIT FILING (Passive Acquisition of More Than 5% of Shares) rfda_60217.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Riverfront Dynamic US Dividend Advantage (Name of Issuer) Exchange Traded Fund (Title of Class of Securities) 00162Q528 (CUSIP Number) May 31, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua |
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| May 11, 2017 |
ALPS ETF 3G (Passive Acquisition of More Than 5% of Shares) rfun51117.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 ALPS ETF Trust (Name of Issuer) Exchange Traded Fund (Title of Class of Securities) 00162Q 544 (CUSIP Number) May 01, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
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| April 25, 2017 | ||
| April 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: 811-22175 ALPS ETF TRUST (Exact name of registrant as specified in charter) 1290 Broadway, Suite 1100, Denver, Colorado 80203 (Address of principal executive offices) (Zip code) Andrea E. Kuchli, As |
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| April 5, 2017 |
ALPS ETF TRUST 1290 Broadway Suite 1100 Denver, Colorado 80203 April 5, 2017 Securities and Exchange Commission 100 F Street, NE Washington, D. |
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| March 21, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 RiverFront Dynamic US Dividend Advantage ETF (Name of Issuer) Exchange Traded Fund (Title of Class of Securities) 00162Q528 (CUSIP Number) March 09, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whi |
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| March 21, 2017 |
ALPS ETF INITIAL FILING (Passive Acquisition of More Than 5% of Shares) rffc32117.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 RiverFront Dynamic US Flex-Cap ETF (Name of Issuer) Exchange Traded Fund (Title of Class of Securities) 00162Q510 (CUSIP Number) March 09, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| February 9, 2017 |
CORRESP 1 filename1.htm February 9, 2017 VIA EDGAR Mr. David Manion U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D.C. 20549 RE: ALPS ETF Trust (the “Registrant”) File Nos. 333-148826, 811-22175 Dear Mr. Manion: Set forth in the numbered paragraphs below are the Staff’s oral comments provided on December 19, 2016 with respect to the review o |
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| January 30, 2017 |
item77q1dsub-itemdisclosures.htm - Generated by SEC Publisher for SEC Filing Sub-Item 77I and 77Q1(d): During the six-month period ended November 30, 2016, ALPS ETF Trust (the ?Registrant?) offered the following series: Series Registration Statement RiverFront Dynamic Unconstrained Income ETF (RFUN) Post-Effective Amendment No. 280 (SEC Accession No. 0001398344-16-013927) RiverFront Dynamic Core I |
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| January 30, 2017 |
iand77q1dsub-itemdisclosures.htm - Generated by SEC Publisher for SEC Filing Sub-Item 77I and 77Q1(d): During the six-month period ended November 30, 2016, ALPS ETF Trust (the ?Registrant?) offered the following series: Series Registration Statement RiverFront Dynamic Unconstrained Income ETF (RFUN) Post-Effective Amendment No. 280 (SEC Accession No. 0001398344-16-013927) RiverFront Dynamic Core I |
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| January 30, 2017 |
alpsetftrustitem77q1e-adviso.htm - Generated by SEC Publisher for SEC Filing Item 77 Q(1)(e) ? ALPs ETF Trust 11.30.2016 New or Amended Investment Advisory Contracts Form of Amendment to Investment Advisory Agreement between the Trust and ALPS Advisors, Inc. with respect to RiverFront Dynamic Unconstrained Income ETF, RiverFront Dynamic Core Income ETF, RiverFront Dynamic US Dividend Advantage ETF |
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| January 30, 2017 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM item77b-accountantreportonin.htm - Generated by SEC Publisher for SEC Filing REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Shareholders and Board of Trustees of ALPS ETF Trust: In planning and performing our audit of the financial statements of ALPS ETF Trust (the ?Trust?), comprised of the as of the Cohen & Steers Global Realty Majors ETF, ALPS Equal Sector Weight ETF, U.S. Equit |
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| January 6, 2017 |
8-A12B 1 fp00232748a12b.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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identification No.) |
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| December 21, 2016 |
December 21, 2016 VIA EDGAR Securities and Exchange Commission 100 F Street, NE Washington, D. |
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| October 25, 2016 |
EX-99.CERT 2 fp0022106ex99cert.htm Exhibit 99.Cert CERTIFICATION I, Thomas A. Carter, President and Principal Executive Officer of ALPS ETF Trust, certify that: 1. I have reviewed this report on Form N-Q of ALPS ETF Trust (the “registrant”); 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 statemen |
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| October 25, 2016 |
ALPS ETF (Quarterly Schedule of Portfolio Holdings) N-Q 1 fp0022106nq.htm 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: 811-22175 ALPS ETF TRUST (Exact name of registrant as specified in charter) 1290 Broadway, Suite 1100, Denver, Colorado 80203 (Address of principal executive offices) (Zip code |
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| October 14, 2016 |
October 14, 2016 Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D. |
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| July 29, 2016 |
alpsetftrustitem77q1e-adviso.htm - Generated by SEC Publisher for SEC Filing Item 77 Q(1)(e) New or Amended Investment Advisory Contracts Form of Amendment to Investment Advisory Agreement between the Trust and ALPS Advisors, Inc. with respect to Sprott Buzz Social Media Insights ETF is incorporated herein by reference to Exhibit (d)(33) to Post-Effective Amendment No. 273 to Registrant?s Registra |
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| July 29, 2016 |
isub-itemdisclosuresfor53116.htm - Generated by SEC Publisher for SEC Filing Sub-Item 77Q1(d): During the six-month period ended May 31, 2016, ALPS ETF Trust (the ?Registrant?) offered the following series: Series Registration Statement Sprott Buzz Social Media Insights ETF (?BUZ?) Post-Effective Amendment No. 273 (SEC Accession No. 0001398344-16-011981) Post-Effective Amendment No. 273 include th |
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| July 18, 2016 |
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 July 29, 2016, pursuant to the provisions of Rule 12d2-2 (a). |
|
| July 18, 2016 |
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 July 29, 2016, pursuant to the provisions of Rule 12d2-2 (a). |
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| July 18, 2016 |
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 July 29, 2016, pursuant to the provisions of Rule 12d2-2 (a). |
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| June 13, 2016 |
8-A12B 1 form8a12bforriverfrontincome.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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identi |
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| June 6, 2016 |
8-A12B 1 form8a12bforriverfrontequity.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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identi |
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| April 29, 2016 |
ALPS ETF (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: 811-22175 ALPS ETF TRUST (Exact name of registrant as specified in charter) 1290 Broadway, Suite 1100, Denver, Colorado 80203 (Address of principal executive offices) (Zip code) Abigail J. Murray, E |
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| April 29, 2016 |
EX-99.CERT 2 fp0019144ex99cert.htm Exhibit 99.Cert CERTIFICATION I, Thomas A. Carter, President and Principal Executive Officer of ALPS ETF Trust, certify that: 1. I have reviewed this report on Form N-Q of ALPS ETF Trust (the “registrant”); 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 statemen |
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| April 15, 2016 |
8-A12B 1 form8a12bforsprottbuzz040420.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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identi |
|
| March 30, 2016 |
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 April 11, 2016, pursuant to the provisions of Rule 12d2-2 (a). [ X ] 17 CFR 240.12d |
|
| March 30, 2016 |
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 April 11, 2016, pursuant to the provisions of Rule 12d2-2 (a). |
|
| March 30, 2016 |
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 April 11, 2016, pursuant to the provisions of Rule 12d2-2 (a). |
|
| March 30, 2016 |
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 April 11, 2016, pursuant to the provisions of Rule 12d2-2 (a). [ X ] 17 CFR 240.12d |
|
| January 29, 2016 |
Converted by EDGARwiz Item 77 Q(1)(e) New or Amended Investment Advisory Contracts Form of Amendment to Investment Advisory Agreement between the Trust and ALPS Advisors, Inc. |
|
| January 29, 2016 |
Converted by EDGARwiz Sub-Item 77Q1(a) ? Copies of any Materials Amendments to the Registrant?s Charter or By-Laws Amended and Restated Declaration of Trust of ALPS ETF Trust (the ?Registrant?) is incorporated herein by reference to Exhibit (a)(3) to Post-Effective Amendment No. 260 to Registrant?s Registration Statement filed on December 4, 2015, accession number 0001398344-15-008052. |
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| January 29, 2016 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Converted by EDGARwiz REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Shareholders and Board of Trustees of ALPS ETF Trust: In planning and performing our audits of the financial statements of ALPS ETF Trust (the ?Trust?), comprised of the Cohen & Steers Global Realty Majors ETF, ALPS Equal Sector Weight ETF, Global Commodity Equity ETF, U. |
|
| January 29, 2016 |
Converted by EDGARwiz Sub-Item 77Q1(d): During the six-month period ended November 30, 2015, ALPS ETF Trust (the ?Registrant?) offered the following series: Series Registration Statement ALPS Enhanced Put Write Strategy ETF (?PUTX?) Post-Effective Amendment No. |
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| December 30, 2015 |
December 30, 2015 Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D. |
|
| October 26, 2015 |
ALPS ETF ALPS ETF TRUST N-Q (Quarterly Schedule of Portfolio Holdings) N-Q 1 d95421dnq.htm ALPS ETF TRUST 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: 811-22175 ALPS ETF TRUST (Exact name of registrant as specified in charter) 1290 Broadway, Suite 1100, Denver, Colorado 80203 (Address of principal executive o |
|
| October 26, 2015 |
Certifications Exhibit 99.Cert CERTIFICATION I, Thomas A. Carter, President and Principal Executive Officer of ALPS ETF Trust, certify that: 1. I have reviewed this report on Form N-Q of ALPS ETF Trust (the Registrant); 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 |
|
| July 29, 2015 |
Converted by EDGARwiz Item 77 Q(1)(e) New or Amended Investment Advisory Contracts Form of Investment Advisory Agreement between the Trust and ALPS Advisors, Inc. |
|
| July 6, 2015 |
8-A12B 1 form8a12bforputx070615.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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identificati |
|
| June 29, 2015 |
8-A12B 1 form8a12bforslow062915.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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identificati |
|
| June 29, 2015 |
8-A12B 1 form8a12bforsldr062915.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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identificati |
|
| June 26, 2015 |
ALPS Enhanced Put Write Strategy ETF 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www. |
|
| April 28, 2015 |
ALPS ETF ALPS ETF TRUST (Quarterly Schedule of Portfolio Holdings) N-Q 1 d913269dnq.htm ALPS ETF TRUST 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: 811-22175 ALPS ETF TRUST (Exact name of registrant as specified in charter) 1290 Broadway, Suite 1100, Denver, Colorado 80203 (Address of principal executive offi |
|
| April 28, 2015 |
Certification Exhibit 99.Cert CERTIFICATION I, Thomas A. Carter, President and Principal Executive Officer of ALPS ETF Trust, certify that: 1. I have reviewed this report on Form N-Q of ALPS ETF Trust (the “registrant”); 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 |
|
| March 30, 2015 |
8-A12B 1 form8a12bforsprottjunior0331.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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identi |
|
| February 10, 2015 |
EQL / Alps Etf Tr Equal Sector Weight Etf / Bernicke & Associates, LTD Passive Investment SC 13G/A 1 eqla120915.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* ALPS ETF TRUST (Name of Issuer) ALPS Equal Sector Weight ETF (Title of Class of Securities) 00162Q205 (CUSIP Number) December 31, 2014 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designat |
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| January 29, 2015 |
Converted by EDGARwiz Item 77 Q(1)(e) New or Amended Investment Advisory Contracts Form of Investment Advisory Agreement between the Trust and ALPS Advisors, Inc. |
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| January 29, 2015 |
Converted by EDGARwiz REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Shareholders and Board of Trustees of ALPS ETF Trust: In planning and performing our audits of the financial statements of ALPS ETF Trust (the “Trust”), comprised of the Cohen & Steers Global Realty Majors ETF, ALPS Equal Sector Weight ETF, Global Commodity Equity ETF, U. |
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| January 6, 2015 |
EQL / Alps Etf Tr Equal Sector Weight Etf COVER - - SEC Transmittal Letter 1095 Avenue of the Americas New York, NY +1 212 698 3500 Main +1 212 698 3599 Fax www. |
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| December 30, 2014 |
EQL / Alps Etf Tr Equal Sector Weight Etf 8-A12B - - UNITED STATES 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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identification No.) 1290 Broadway, |
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| December 29, 2014 |
EQL / Alps Etf Tr Equal Sector Weight Etf CORRESP - - ALPS Mediacl Breakthroughs ETF 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www. |
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| October 30, 2014 |
EQL / Alps Etf Tr Equal Sector Weight Etf 8-A12B - - UNITED STATES 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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identification No.) 1290 Broadway, |
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| October 30, 2014 |
EX-99.CERT 2 d809258dex99cert.htm CERTIFICATION Exhibit 99.Cert CERTIFICATION I, Thomas A. Carter, President and Principal Executive Officer of ALPS ETF Trust, certify that: 1. I have reviewed this report on Form N-Q of ALPS ETF Trust (the “registrant”); 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 |
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| October 30, 2014 |
Alps Etf Trust - ALPS ETF TRUST N-Q 1 d809258dnq.htm ALPS ETF TRUST 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: 811-22175 ALPS ETF TRUST (Exact name of registrant as specified in charter) 1290 Broadway, Suite 1100, Denver, Colorado 80203 (Address of principal executive offi |
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| October 15, 2014 |
EQL / Alps Etf Tr Equal Sector Weight Etf COVER - - SEC Transmittal Letter 1095 Avenue of the Americas New York, NY +1 212 698 3500 Main +1 212 698 3599 Fax www. |
