Mga Batayang Estadistika
| CIK | 1580843 |
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 Exchange Listed Funds Trust - Stratified LargeCap Index 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.
| July 18, 2025 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 WEBs ETF Trust (Exact name of registrant as specified in its charter) Delaware See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 2497 Aspen Springs Dr, Park City, UT 84060 (Ad |
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| June 26, 2025 |
WEBs ETF Trust WEBs Defined Volatility SPY ETF Schedule of Investments January 31, 2025 (unaudited) SECURITY DESCRIPTION SHARES VALUE EXCHANGE-TRADED FUNDS – 51. |
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| June 26, 2025 |
WEBs ETF Trust WEBs Defined Volatility QQQ ETF Schedule of Investments January 31, 2025 (unaudited) SECURITY DESCRIPTION SHARES VALUE EXCHANGE-TRADED FUNDS – 52. |
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| June 10, 2025 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 WEBs ETF Trust (Exact name of registrant as specified in its charter) Delaware See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 2497 Aspen Springs Dr, Park City, UT 84060 (Ad |
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| June 3, 2025 |
Morrison Warren Partner Chapman and Cutler LLP 320 South Canal Street, 27th Floor Chicago, Illinois 60606 T (312) 845-3484 warren@chapman. |
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| December 12, 2024 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 WEBs ETF Trust (Exact name of registrant as specified in its charter) Delaware See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 2497 Aspen Springs Dr, Park City, UT 84060 (Ad |
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| December 12, 2024 |
Securities and Exchange Commission Washington, D.C. Form 8-A For registration of certain classes of securities pursuant to section 12(b) or (g) of the securities exchange act of 1934 WEBs ETF Trust (Exact name of registrant as specified in its charter) Delaware See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 2497 Aspen Springs Dr, Park City, UT 84060 (Ad |
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| December 3, 2024 |
Morrison Warren Partner Chapman and Cutler llp 320 South Canal Street, 27th Floor Chicago, Illinois 60606 T (312) 845-3484 warren@chapman. |
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| December 3, 2024 |
Morrison Warren Partner Chapman and Cutler LLP 320 South Canal Street, 27th Floor Chicago, Illinois 60606 T (312) 845-3484 warren@chapman. |
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| October 11, 2024 |
SC 13G/A 1 vantagesmallcap093024a2.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Syntax ETF Trust/ Stratified Small Cap ETF (Name of Issuer) ETF Shares (Title of Class of Securities) 87166N304 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the app |
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| October 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| October 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| September 30, 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 11, 2024, pursuant to the provisions of Rule 12d2-2 (a). |
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| September 30, 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 11, 2024, pursuant to the provisions of Rule 12d2-2 (a). |
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| July 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| June 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| September 11, 2023 |
SC 13G/A 1 vantagelargecap083123a3.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* Syntax ETF Trust/ Stratified Large Cap ETF (Name of Issuer) ETF Shares (Title of Class of Securities) 87166N106 (CUSIP Number) August 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the approp |
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| January 19, 2023 |
CORRESP 1 filename1.htm Barry Pershkow Partner Chapman and Cutler llp 1717 Rhode Island Avenue NW Washington, DC 20036-3026 Tel: 202.478.6492 Mobile: 202.276.4046 [email protected] January 19, 2023 VIA EDGAR CORRESPONDENCE Kenneth Ellington Division of Investment Management United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Syntax ETF Trust (the “Trus |
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| October 27, 2022 |
QUARTERLY REPORT Syntax Stratified U.S. Total Market Hedged ETF March 31, 2022 Syntax Stratified U.S. Total Market Hedged ETF Schedule of Investments March 31, 2022 (Unaudited) Security Description Shares Value EXCHANGE-TRADED FUNDS?89.0% Syntax Stratified Large Cap ETF(a) 502,786 $35,144,741 Syntax Stratified MidCap ETF(a) 105,222 4,091,358 Syntax Stratified SmallCap ETF(a) 42,799 2,013,967 TOTAL |
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| June 10, 2022 |
8-A12B 1 fp00769728a12b.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 Syntax ETF Trust (Exact name of registrant as specified in its charter) Delaware See Below (State of incorporation or organization) (I.R.S. Employer Identification numbe |
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| June 2, 2022 |
June 2, 2022 Ms. Anu Dubey United States Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, DC 20549-0102 RE: Syntax ETF Trust – SEC File Nos. 333-215607 and 811-23227 (the “Registrant”) Dear Ms. Dubey: On behalf of the Registrant, we are submitting this letter (the “Correspondence Letter”) in connection with the Registrant’s Registration Statement on |
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| May 27, 2022 |
QUARTERLY REPORT Syntax Stratified U.S. Total Market ETF March 31, 2022 Syntax Stratified U.S. Total Market ETF Schedule of Investments March 31, 2022 (Unaudited) Security Description Shares Value EXCHANGE-TRADED FUNDS—100.0% Syntax Stratified Large Cap ETF(a) 121,432 $8,488,097 Syntax Stratified MidCap ETF(a) 25,412 988,097 Syntax Stratified SmallCap ETF(a) 10,338 486,469 TOTAL INVESTMENTS—100.0% |
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| May 27, 2022 |
QUARTERLY REPORT Syntax Stratified MidCap ETF March 31, 2022 Syntax Stratified MidCap ETF Schedule of Investments March 31, 2022 (Unaudited) Security Description Shares Value COMMON STOCK—99. |
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| May 27, 2022 |
QUARTERLY REPORT Syntax Stratified U.S. Total Market Hedged ETF March 31, 2022 Syntax Stratified U.S. Total Market Hedged ETF Schedule of Investments March 31, 2022 (Unaudited) Security Description Shares Value EXCHANGE-TRADED FUNDS—89.0% Syntax Stratified Large Cap ETF(a) 502,786 $35,144,741 Syntax Stratified MidCap ETF(a) 105,222 4,091,358 Syntax Stratified SmallCap ETF(a) 42,799 2,013,967 TOTAL |
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| May 27, 2022 |
QUARTERLY REPORT Syntax Stratified LargeCap ETF March 31, 2022 Syntax Stratified LargeCap ETF Schedule of Investments March 31, 2022 (Unaudited) Security Description Shares Value COMMON STOCK—99. |
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| May 27, 2022 |
QUARTERLY REPORT Syntax Stratified SmallCap ETF March 31, 2022 Syntax Stratified SmallCap ETF Schedule of Investments March 31, 2022 (Unaudited) Security Description Shares Value COMMON STOCK—99. |
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| November 24, 2021 |
QUARTERLY REPORT Syntax Stratified LargeCap ETF September 30, 2021 Syntax Stratified LargeCap ETF Schedule of Investments September 30, 2021 (Unaudited) Security Description Shares Value COMMON STOCK—99. |
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| November 24, 2021 |
QUARTERLY REPORT Syntax Stratified SmallCap ETF September 30, 2021 Syntax Stratified SmallCap ETF Schedule of Investments September 30, 2021 (Unaudited) Security Description Shares Value COMMON STOCK—99. |
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| November 24, 2021 |
QUARTERLY REPORT Syntax Stratified U.S. Total Market Hedged ETF September 30, 2021 Syntax Stratified U.S. Total Market Hedged ETF Schedule of Investments September 30, 2021 (Unaudited) Security Description Shares Value EXCHANGE-TRADED FUNDS—90.2% Syntax Stratified Large Cap ETF(a) 509,196 $33,606,936 Syntax Stratified MidCap ETF(a) 101,509 3,984,980 Syntax Stratified SmallCap ETF(a) 39,038 2,027,0 |
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| November 24, 2021 |
QUARTERLY REPORT Syntax Stratified U.S. Total Market ETF September 30, 2021 Syntax Stratified U.S. Total Market ETF Schedule of Investments September 30, 2021 (Unaudited) Security Description Shares Value EXCHANGE-TRADED FUNDS—100.0% Syntax Stratified Large Cap ETF(a) 204,368 $13,488,288 Syntax Stratified MidCap ETF(a) 40,740 1,599,346 Syntax Stratified SmallCap ETF(a) 15,669 813,596 TOTAL INVESTM |
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| November 24, 2021 |
QUARTERLY REPORT Syntax Stratified MidCap ETF September 30, 2021 Syntax Stratified MidCap ETF Schedule of Investments September 30, 2021 (Unaudited) Security Description Shares Value COMMON STOCK—99. |
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| August 11, 2021 |
CORRESP 1 filename1.htm August 11, 2021 Ms. Anu Dubey United States Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, DC 20549-0102 RE: Syntax ETF Trust – SEC File Nos. 333-215607 and 811-23227 (the “Registrant”) Dear Ms. Dubey: On behalf of the Registrant, we are submitting this letter (the “Response Letter”) to respond to the Staff’s comments recei |
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| June 23, 2021 |
June 23, 2021 Ms. Anu Dubey United States Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, DC 20549-0102 RE: Syntax ETF Trust – SEC File Nos. 333-215607 and 811-23227 (the “Registrant”) Dear Ms. Dubey: In accordance with your request, I am submitting to you via EDGAR correspondence a copy of the comment response letter addressed to you dated June 11 |
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| May 28, 2021 |
QUARTERLY REPORT Syntax Stratified LargeCap ETF March 31, 2021 Syntax Stratified LargeCap ETF Schedule of Investments March 31, 2021 (Unaudited) Security Description Shares Value COMMON STOCK—99. |
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| May 28, 2021 |
QUARTERLY REPORT Syntax Stratified SmallCap ETF March 31, 2021 Syntax Stratified SmallCap ETF Schedule of Investments March 31, 2021 (Unaudited) Security Description Shares Value COMMON STOCK—99. |
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| May 28, 2021 |
QUARTERLY REPORT Syntax Stratified MidCap ETF March 31, 2021 Syntax Stratified MidCap ETF Schedule of Investments March 31, 2021 (Unaudited) Security Description Shares Value COMMON STOCK—99. |
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| May 28, 2021 |
QUARTERLY REPORT Syntax Stratified U.S. Total Market ETF March 31, 2021 Syntax Stratified U.S. Total Market ETF Schedule of Investments March 31, 2021 (Unaudited) Security Description Shares Value EXCHANGE-TRADED FUNDS—100.0% Syntax Stratified Large Cap ETF(a) 290,270 $18,042,254 Syntax Stratified MidCap ETF(a) 53,110 2,082,619 Syntax Stratified SmallCap ETF(a) 19,890 1,030,306 TOTAL INVESTMENTS—1 |
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| November 23, 2020 |
QUARTERLY REPORT Syntax Stratified LargeCap ETF September 30, 2020 Syntax Stratified LargeCap ETF Schedule of Investments September 30, 2020 (Unaudited) Security Description Shares Value COMMON STOCK—99. |
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| November 23, 2020 |
QUARTERLY REPORT Syntax Stratified MidCap ETF September 30, 2020 Syntax Stratified MidCap ETF Schedule of Investments September 30, 2020 (Unaudited) Security Description Shares Value COMMON STOCK—99. |
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| November 23, 2020 |
QUARTERLY REPORT Syntax Stratified SmallCap ETF September 30, 2020 Syntax Stratified SmallCap ETF Schedule of Investments September 30, 2020 (Unaudited) Security Description Shares Value COMMON STOCK—99. |
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| May 27, 2020 |
QUARTERLY REPORT Syntax Stratified LargeCap ETF March 31, 2020 Syntax Stratified LargeCap ETF Schedule of Investments March 31, 2020 (Unaudited) Security Description Shares Value COMMON STOCK—98. |
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| May 27, 2020 |
QUARTERLY REPORT Syntax Stratified MidCap ETF March 31, 2020 Syntax Stratified MidCap ETF Schedule of Investments March 31, 2020 (Unaudited) Security Description Shares Value COMMON STOCK—99. |
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| May 26, 2020 |
8-A12B 1 tm2020815-18a12b.htm 8-A12B 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 Syntax ETF Trust (Exact name of registrant as specified in its charter) Delaware See Below (State of incorporation or organization) (I.R.S. Employer Identificat |
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| April 15, 2020 |
April 15, 2020 Mr. Edward P. Bartz, Senior Counsel United States Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, DC 20549-0102 RE: Syntax ETF Trust – SEC File Nos. 333-215607 and 811-23227 (the “Registrant”) Dear Mr. Bartz: On behalf of the Registrant, we are submitting this letter (the “Response Letter”) to respond to the Staff’s comments received |
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| February 26, 2020 |
SSPY / Syntax Stratified LargeCap ETF CORRESP - - Kathleen H Moriarty Partner 1270 Avenue of the Americas 30th Floor New York, New York 10020-1708 T 212. |
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| January 15, 2020 |
Syntax Etf Trust 8-A12B - - 8-A12B 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 Syntax ETF Trust (Exact name of registrant as specified in its charter) Delaware See Below (State of incorporation or organization) (I.R.S. Employer Identification number) One Liberty Plaza, 46th F |
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| January 9, 2020 |
1270 Avenue of the Americas Kathleen H Moriarty 30th Floor Partner New York, New York 10020-1708 T 212. |
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| January 9, 2020 |
CORRESP 1 filename1.htm 1270 Avenue of the Americas Kathleen H Moriarty 30th Floor Partner New York, New York 10020-1708 T 212.655.6000 D 212.655.2548 [email protected] January 9, 2020 VIA EDGAR CORRESPONDENCE Mr. Edward P. Bartz, Senior Counsel United States Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, DC 20549-0102 RE: Syntax ETF Trust – SE |
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| January 3, 2020 |
Kathleen H Moriarty Partner 1270 Avenue of the Americas 30th Floor New York, New York 10020-1708 T 212. |
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| December 4, 2019 |
Kathleen H Moriarty Partner 1270 Avenue of the Americas 30th Floor New York, New York 10020-1708 T 212. |
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| November 25, 2019 |
Date: November 20, 2019 I, Rory Riggs, CEO and Principal Executive Officer of the Syntax ETF Trust, certify that: 1. |
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| November 25, 2019 |
N-Q 1 tm1923570-1nq.htm N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-23227 Syntax ETF Trust (Exact name of registrant as specified in charter) 110 E. 59th St. 33rd Floor New York, NY 10022 (Address of principal executive offices) (Zip cod |
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| October 31, 2019 |
Kathleen H Moriarty Partner 1270 Avenue of the Americas 30th Floor New York, New York 10020-1708 T 212. |
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| May 31, 2019 |
Exhibit 99.CERT Date: May 31, 2019 I, Rory Riggs, CEO and Principal Executive Officer of the Syntax ETF Trust, certify that: 1. I have reviewed this report on Form N-Q of the Syntax ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under whic |
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| May 31, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-23227 Syntax ETF Trust (Exact name of registrant as specified in charter) 110 E. |
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| December 28, 2018 |
8-A12B 1 tv5099818a12b.htm 8-A12B 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 Syntax ETF Trust (Exact name of registrant as specified in its charter) Delaware See Below (State of incorporation or organization) (I.R.S. Employer Identification |
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| November 7, 2018 |
Kathleen H Moriarty Partner 1270 Avenue of the Americas 30th Floor New York, New York 10020-1708 T 212. |
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| November 7, 2018 |
SYNTAX ETF TRUST 110 East 59th Street, 33rd Floor New York, NY 10022 SYNTAX ETF TRUST 110 East 59th Street, 33rd Floor New York, NY 10022 November 7, 2018 VIA EDGAR Securities and Exchange Commission Washington, D. |
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| October 23, 2018 |
Opinion and consent of counsel Exhibit (i) Kathleen H. Moriarty Partner 1270 Avenue of the Americas 30th Floor New York, NY 10020-1708 T 212.655.2548 F 646.571.0113 [email protected] October 23, 2018 Syntax ETF Trust 110 East 59th Street, 33rd Floor New York, NY 10022 Re: Syntax ETF Trust Ladies and Gentlemen: We have acted as counsel to the Syntax ETF Trust, a Delaware statutory trust (the “Trust”), with respect to the fili |
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| October 23, 2018 |
Kathleen H Moriarty Partner 1270 Avenue of the Americas 30th Floor New York, New York 10020-1708 T 212. |
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| October 23, 2018 |
Consent of Independent Registered Public Accounting Firm Exhibit (j)(i) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm under the captions “Independent Registered Public Accounting Firm” in the Prospectus and “Counsel and Independent Registered Public Accounting Firm” in the Statement of Additional Information and to the inclusion of our report, dated October 22, 2018, on the statement of assets and liabilities of Syntax Stratified LargeCap ETF (comprising Syntax ETF Trust) as of September 30, 2018, included in Pre-Effective Amendment No. |
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| October 23, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A N-1A/A 1 tv505166n1aa.htm N-1A/A As filed with the Securities and Exchange Commission on October 23, 2018 1933 Act Registration No. 333-215607 1940 Act Registration No. 811-23227 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 þ Pre-Effective Amendment No. 6 þ Post-Effective Amendment No. ¨ and/or REGISTRATIO |
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| October 23, 2018 |
Consent of Independent Auditors Exhibit (j)(ii) CONSENT OF INDEPENDENT AUDITORS We consent to the references to our firm under the caption “Independent Auditors” in the Prospectus and “Independent Auditors” in the Statement of Additional Information in the Registration Statement (Form N-1A No. |
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| August 22, 2018 |
Kathleen H Moriarty Partner 1270 Avenue of the Americas 30th Floor New York, New York 10020-1708 T 212. |
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| August 22, 2018 |
Exhibit (d)(ii) INVESTMENT SUB-ADVISORY AGREEMENT This Investment Sub-Advisory Agreement (this “Agreement”) is made and entered into on March 2, 2018 by and among Syntax Advisors, LLC a Limited Liability Corporation located at 110 E. |
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| August 22, 2018 |
Exhibit (g) Execution copy Master Custodian Agreement This Agreement is made as of July 20, 2017 (this “Agreement”), between each management investment company identified on Appendix A and each management investment company which becomes a party to this Agreement in accordance with the terms hereof (in each case, a “Fund”), including, if applicable, each series of the Fund identified on Appendix A and each series which becomes a party to this Agreement in accordance with the terms hereof, and State Street Bank and Trust Company, a Massachusetts trust company (the “Custodian”). |
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| August 22, 2018 |
Exhibit (p)(ii) APPENDIX C Syntax Advisor, LLC and Syntax ETF Trust Joint Code of Ethics Section I: Statement of General Fiduciary Principles This Joint Code of Ethics (the "Code") has been adopted by Syntax ETF Trust (the “Trust”)1 and Syntax Advisor, LLC, the investment Advisor of the Trust ("Syntax”). |
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| August 22, 2018 |
Exhibit (h)(iii) FUND CCO AND AMLO AGREEMENT THIS AGREEMENT is made as of July 24, 2017, by and between Syntax ETF Trust, a Delaware statutory trust with its principal office and place of business at 110 East 59th Street, 31st Floor, New York, NY 10022 (the “Fund Company”), and Foreside Fund Officer Services, LLC, a Delaware limited liability company, with its principal office and place of business at Three Canal Plaza, Portland, Maine 04101 (“Foreside”). |
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| August 22, 2018 |
Exhibit (h)(i) Execution copy ADMINISTRATION AGREEMENT This Administration Agreement (?Agreement?) dated and effective as of July 20, 2017, is by and between State Street Bank and Trust Company, a Massachusetts trust company (the ?Administrator?), and each of the Syntax entities listed on Schedule A attached hereto (each, a ?Trust?). |
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| August 22, 2018 |
Kathleen H Moriarty Partner 1270 Avenue of the Americas 30th Floor New York, New York 10020-1708 T 212. |
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| August 22, 2018 |
EX-99.(M) 10 tv499452ex99-m.htm RULE 12B-1 PLAN Exhibit (m) SYNTAX ETF TRUST Rule 12b-1 Distribution and Service Plan 1. The Trust. Syntax ETF Trust (the "Trust") is an open-end management investment company registered as such under the Investment Company Act of 1940, as amended (the "1940 Act"), and organized as a series trust (each such series is referred to herein as a "Fund"). 2. The Plan. The |
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| August 22, 2018 |
EX-99.(Q) 15 tv499452ex99-q.htm POWER OF ATTORNEY Exhibit (q) SYNTAX ETF TRUST POWER OF ATTORNEY Each of the undersigned Trustees and Officers of Syntax ETF Trust (the "Trust") hereby constitutes and appoints Kathleen Cuocolo and Carly Arison, each of them with full powers of substitution, as his or her true and lawful attorney-in-fact and agent to execute in his or her name and on his or her beha |
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| August 22, 2018 |
Code of Ethics of Foreside Fund Services, LLC Exhibit (p)(iv) Code of Ethics Exhibit (p)(iv) Code of Ethics INTRODUCTION 1 1. STANDARDS OF PROFESSIONAL CONDUCT 2 (a) Fiduciary Duties 2 (b) Compliance with Laws 2 (c) Corporate Culture 2 (d) Professional Misconduct 3 (e) Disclosure of Conflicts 3 (f) Undue Influence 3 (g) Confidentiality and Protection of Material Nonpublic Information 3 (h) Personal Securities Transactions 4 (i) Gifts 4 (j) Se |
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| August 22, 2018 |
Exhibit (d)(iii) SYNTAX ETF TRUST EXPENSE LIMITATION AND REIMBURSEMENT AGREEMENT AGREEMENT made as of March 28, 2018 by and between Syntax ETF Trust (the "Trust"), on behalf of the series listed on Schedule A (the ?Fund?), and Syntax Advisors, LLC (the "Advisor"): W I T N E S S E T H: WHEREAS, the Trust is registered as such under the Investment Company Act of 1940, as amended (the "1940 Act"); and a management investment company; and WHEREAS, the Advisor is registered as an investment adviser under the Investment Advisers Act of 1940, and will serve as the investment adviser of the Fund; NOW, THEREFORE, the parties hereto agree as follows: 1. |
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| August 22, 2018 |
EX-99.(P)(I) 11 tv499452ex99-pi.htm CODE OF ETHICS OF THE REGISTRANT Exhibit (p)(i) SYNTAX ETF TRUST (the “Trust”) Code of Ethics Pursuant to Rule 17j-1 of the Investment Company Act of 1940 A. Definitions 1. “1940 Act” shall mean the Investment Company Act of 1940, as amended. 2. “Access Person” shall have the same meaning as that set forth in Rule 17j-1(a)(1) of the 1940 Act. 3. “Adviser” shall |
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| August 22, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A N-1A/A 1 tv499452n1aa.htm N-1A/A As filed with the Securities and Exchange Commission on August 22, 2018 1933 Act Registration No. 333-215607 1940 Act Registration No. 811-23227 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 þ Pre-Effective Amendment No. 5 þ Post-Effective Amendment No. ¨ and/or REGISTRATION |
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| August 22, 2018 |
Exhibit (d)(i) INVESTMENT ADVISORY AGREEMENT This Investment Advisory Agreement (this "Agreement") is made and entered into on August 1, 2017, to be effective upon the commencement of operations of the portfolios of the Trust listed on Schedule A attached hereto, by and between - Syntax ETF Trust, a Delaware statutory trust organized on June 27, 2013 ("Trust"), and Syntax Advisors, LLC, a Limited Liability Corporation ("Advisor"). |
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| August 22, 2018 |
Exhibit (h)(ii) Execution copy TRANSFER AGENCY AND SERVICE AGREEMENT THIS AGREEMENT is made as of the 20th day of July, 2017, by and between STATE STREET BANK AND TRUST COMPANY, Massachusetts trust company having its principal office and place of business at One Lincoln Street, Boston, Massachusetts 02111 (“State Street” or the “Transfer Agent”), and each of the entities listed on Schedule A attached hereto (each, a “Trust). |
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| August 22, 2018 |
Exhibit (e) ETF DISTRIBUTION AGREEMENT This Distribution Agreement (the “Agreement”) is made as of July 24, 2017, by and between Syntax ETF Trust, a Delaware statutory trust (the “Trust”) having its principal place of business at 110 East 59th Street, 31st Floor, New York, NY 10022, and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”) having its principal place of business at Three Canal Plaza, Suite 100, Portland, ME 04101. |
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| August 22, 2018 |
Exhibit (p)(iii) Vantage Consulting Group, Inc. Code of Ethics and Insider Trading Adopted February 23, 2016 1 Exhibit (p)(iii) Definitions The following defined terms are used throughout this Manual and Code of Ethics. Other terms are defined within specific sections of the Manual or Code. • Access Person - An Access Person is an Employee who has access to non-public information regarding trading |
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| December 6, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A As filed with the Securities and Exchange Commission on December 6 , 2017 1933 Act Registration No. |
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| June 20, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A As filed with the Securities and Exchange Commission on June 20, 2017 1933 Act Registration No. |
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| June 16, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A N-1A/A 1 v469031n1aa.htm N-1A/A As filed with the Securities and Exchange Commission on June 16, 2017 1933 Act Registration No. 333-215607 1940 Act Registration No. 811-23227 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 þ Pre-Effective Amendment No. 2 þ Post-Effective Amendment No. ¨ and/or REGISTRATION ST |
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| June 16, 2017 |
Kathleen H. Moriarty Partner +1 212.836.8276 Direct [email protected] June 16, 2017 VIA EDGAR Edward P. Bartz Senior Counsel Securities and Exchange Commission 100 F. Street, NE Washington, D.C. 20549 Re: Syntax ETF Trust - File Nos. 333-215607 and 811-23227 Dear Mr. Bartz: On behalf of Syntax ETF Trust (the “Trust”), and together with this correspondence, we are filing with the Securitie |
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| March 24, 2017 |
Kathleen H. Moriarty Attorney +1 212 836-8276 Direct [email protected] March 24, 2017 VIA EDGAR CORRESPONDENCE Mr. Edward P. Bartz, Senior Counsel United States Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, DC 20549-0102 RE: Syntax ETF Trust ? SEC File Nos. 333-215607 and 811-23227 (the ?Registrant?) Dear Mr. Bartz: On behalf of the Regi |
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| March 24, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A As filed with the Securities and Exchange Commission on March 24, 2017 1933 Act Registration No. |
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| January 18, 2017 |
Kathleen H. Moriarty Attorney +1 212 836-8276 Direct [email protected] January 18, 2017 VIA EDGAR Securities and Exchange Commission Washington, D.C. 20549 Re: Form N-1A Filing for Syntax ETF Trust Registration No.: [ ] Dear Sir or Madam: On behalf of our client, Syntax ETF Trust (“Trust”), filed with this correspondence is a registration statement on Form N-1A concerning the registration |
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| January 18, 2017 |
N-1A 1 v456836n1a.htm N-1A As filed with the Securities and Exchange Commission on January 18, 2017 1933 Act Registration No. [] 1940 Act Registration No. 811-23227 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 þ Pre-Effective Amendment No. o Post-Effective Amendment No. o and/or REGISTRATION STATEMENT UNDE |
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| January 18, 2017 |
Exhibit (a) SYNTAX ETF TRUST DECLARATION OF TRUST This DECLARATION OF TRUST (hereinafter ?Declaration of Trust?) is made as of January 12, 2017 by the trustees party hereto (together with all other persons from time to time duly elected, qualified and serving as Trustees in accordance with Article 5 hereof, the ?Trustees?). |
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| January 18, 2017 |
Exhibit (b) SYNTAX ETF TRUST BYLAWS These Bylaws of Syntax ETF Trust, a Delaware statutory trust (the “Trust”), are subject to the Declaration of Trust, dated January 12, 2017, as from time to time amended, supplemented or restated (the “Trust Agreement”). |
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| January 18, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-8A NOTIFICATION OF REGISTRATION FILED PURSUANT TO SECTION 8(a) OF THE INVESTMENT COMPANY ACT OF 1940 The undersigned investment company hereby notifies the Securities and Exchange Commission that it registers under and pursuant to the provisions of Section 8(a) of the Investment Company Act of 1940 and in connection wit |
