Statistici de bază
| CIK | 1595106 |
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 Innovator ETFs Trust - Innovator S&P Investment Grade Preferred ETF
SEC Filings (Chronological Order)
Această pagină oferă o listă completă, cronologică, a dosarelor SEC, cu excepția dosarelor de proprietate pe care le oferim în altă parte.
| June 7, 2022 | ||
| May 5, 2022 | ||
| March 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-8F Application for Deregistration of Certain Registered Investment Companies I. General Identifying Information 1. Reason fund is applying to deregister (check only one; for descriptions, see Instruction I above): ? Merger ? Liquidation ? Abandonment of Registration (Note: Abandonments of Registration answer only questi |
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| October 28, 2021 |
October 28, 2021 Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Form RW - Request to Withdrawal RW Innovator ETFs Trust II Registration on Form N-1A (Registration Statement File Nos. |
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| October 26, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-8F Application for Deregistration of Certain Registered Investment Companies I. General Identifying Information 1. Reason fund is applying to deregister (check only one; for descriptions, see Instruction I above): ? Merger ? Liquidation ? Abandonment of Registration (Note: Abandonments of Registration answer only questi |
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| October 26, 2021 |
October 26, 2021 Via EDGAR Correspondence Filing Securities and Exchange Commission 100 F Street, N. |
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| October 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 333-201473 Innovator ETFs Trust II/Cboe BZX Exchange, Inc. (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or registered) 109 N |
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| October 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 333-201473 Innovator ETFs Trust II/Cboe BZX Exchange, Inc. (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or registered) 109 N |
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| September 28, 2021 |
Innovator S&P Investment Grade Preferred ETF Innovator S&P Investment Grade Preferred ETF Schedule of Investments July 31, 2021 (Unaudited) Shares Value PREFERRED STOCKS - 99. |
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| September 28, 2021 |
Innovator Laddered Fund of S&P 500® Power Buffer ETFs Innovator Laddered Fund of S&P 500® Power Buffer ETFs Schedule of Investments July 31, 2021 (Unaudited) Shares Value AFFILIATED EXCHANGE TRADED FUNDS - 99. |
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| August 25, 2021 |
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 Innovator ETFs Trust II (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 109 North Hale Street Wheaton, I |
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| August 25, 2021 |
I.R.S. Employer Identification No. Exhibit 1 Fund I.R.S. Employer Identification No. Innovator Laddered Fund of U.S. Equity Power Buffer ETFsTM 81-3958734 |
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| March 31, 2021 |
Innovator Laddered Fund of S&P 500® Power Buffer ETFs Innovator Laddered Fund of S&P 500® Power Buffer ETFs Schedule of Investments January 31, 2021 (Unaudited) Shares Value EXCHANGE TRADED FUNDS - 99. |
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| March 31, 2021 |
Innovator S&P Investment Grade Preferred ETF Innovator S&P Investment Grade Preferred ETF Schedule of Investments January 31, 2021 (Unaudited) Shares Value PREFERRED STOCKS - 99. |
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| September 25, 2020 |
Innovator S&P Investment Grade Preferred ETF Innovator S&P Investment Grade Preferred ETF Schedule of Investments July 31, 2020 (Unaudited) Shares Value PREFERRED STOCKS - 99. |
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| September 25, 2020 |
Innovator Lunt Low Vol/High Beta Tactical ETF Innovator Lunt Low Vol/High Beta Tactical ETF Schedule of Investments July 31, 2020 (Unaudited) Shares Value COMMON STOCKS - 95. |
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| August 6, 2020 |
[Chapman and Cutler LLP Letterhead] August 6, 2020 [Chapman and Cutler LLP Letterhead] August 6, 2020 VIA EDGAR CORRESPONDENCE Kimberly Browning United States Securities and Exchange Commission 100 F Street, N. |
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| August 3, 2020 |
[Chapman and Cutler LLP Letterhead] August 3, 2020 [Chapman and Cutler LLP Letterhead] August 3, 2020 VIA EDGAR CORRESPONDENCE Kimberly Browning United States Securities and Exchange Commission 100 F Street, N. |
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| July 27, 2020 |
[Chapman and Cutler LLP Letterhead] July 27, 2020 [Chapman and Cutler LLP Letterhead] July 27, 2020 VIA EDGAR CORRESPONDENCE Kimberly Browning United States Securities and Exchange Commission 100 F Street, N. |
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| July 10, 2020 |
[Chapman and Cutler LLP Letterhead] July 10, 2020 [Chapman and Cutler LLP Letterhead] July 10, 2020 VIA EDGAR CORRESPONDENCE Kimberly Browning United States Securities and Exchange Commission 100 F Street, N. |
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| June 22, 2020 |
[Chapman and Cutler LLP Letterhead] June 22, 2020 [Chapman and Cutler LLP Letterhead] June 22, 2020 VIA EDGAR CORRESPONDENCE Kimberly Browning United States Securities and Exchange Commission 100 F Street, N. |
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| May 18, 2020 |
[CHAPMAN AND CUTLER LETTERHEAD] May 18, 2020 [CHAPMAN AND CUTLER LETTERHEAD] May 18, 2020 Securities and Exchange Commission 100 F Street, N. |
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| March 25, 2020 |
CERTIFICATION I, Bruce Bond, certify that: 1. I have reviewed this report on Form N-Q of Innovator ETFs Trust II; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered |
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| March 25, 2020 |
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 811-22926 Innovator ETFs Trust II (Exact name of registrant as specified in charter) 109 N. Hale Street Wheaton, IL 60187 (Address of principal executive offices) (Zip code) Chapman and Cutler LLP 11 |
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| September 30, 2019 |
CERTIFICATION I, Bruce Bond, certify that: 1. I have reviewed this report on Form N-Q of Innovator ETFs Trust II; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered |
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| September 30, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22926 Innovator ETFs Trust II (Exact name of registrant as specified in charter) 120 N. Hale Street, Suite 200 Wheaton, IL 60187 (Address of principal executive offices) (Zip code) Chapman and Cu |
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| August 28, 2019 |
CERTIFICATION I, Bruce Bond, certify that: 1. I have reviewed this report on Form N-Q of Innovator ETFs Trust II; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered |
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| August 28, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22926 Innovator ETFs Trust II (Exact name of registrant as specified in charter) 120 N. Hale Street, Suite 200 Wheaton, IL 60187 (Address of principal executive offices) (Zip code) Chapman and Cu |
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| August 7, 2019 |
DWAC / ELKHORN ETF TR CORRESP - - [Chapman and Cutler LLP Letterhead] August 7, 2019 VIA EDGAR CORRESPONDENCE Ken Ellington United States Securities and Exchange Commission 100 F Street, N. |
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| March 1, 2019 |
DWAC / ELKHORN ETF TR FORM 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 811-22926 Innovator ETFs Trust II (formerly, Elkhorn ETF Trust) (Exact name of registrant as specified in charter) 120 N Hale Street, Suite 200 Wheaton, IL 60187 (Address of principal executive offic |
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| March 1, 2019 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce Bond, certify that: 1. I have reviewed this report on Form N-Q of Innovator ETFs Trust II (formerly, Elkhorn 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 sta |
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| March 1, 2019 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 ex136247.htm EXHIBIT 99.CERT Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce Bond, certify that: 1. I have reviewed this report on Form N-Q of Innovator ETFs Trust II (formerly, Elkhorn ETF Trust); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state |
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| March 1, 2019 |
DWAC / ELKHORN ETF TR FORM 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 811-22926 Innovator ETFs Trust II (formerly, Elkhorn ETF Trust) (Exact name of registrant as specified in charter) 120 N Hale Street, Suite 200 Wheaton, IL 60187 (Address of principal executive offic |
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| August 24, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce Bond, certify that: 1. I have reviewed this report on Form N-Q of Innovator ETFs Trust II (formerly, Elkhorn 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 sta |
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| August 24, 2018 |
DWAC / ELKHORN ETF TR FORM 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 811-22926 Innovator ETFs Trust II (formerly, Elkhorn ETF Trust) (Exact name of registrant as specified in charter) 120 N Hale Street, Suite 200 Wheaton, IL 60187 (Address of principal executive offic |
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| August 24, 2018 |
DWAC / ELKHORN ETF TR FORM 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 811-22926 Innovator ETFs Trust II (formerly, Elkhorn ETF Trust) (Exact name of registrant as specified in charter) 120 N Hale Street, Suite 200 Wheaton, IL 6018 (Address of principal executive office |
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| August 24, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce Bond, certify that: 1. I have reviewed this report on Form N-Q of Innovator ETFs Trust II (formerly, Elkhorn 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 sta |
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| May 30, 2018 |
Sub-Item 77Q1: Exhibits (d) Copies of all constituent instruments defining the rights of the holders of any new class of securities and of any amendments to constituent instruments referred to in answer to sub-item On March 30, 2018 the Board of Trustees ("Board") of Elkhorn ETF Trust (the "Trust") approved the Amended and Restated Establishment and Designation of Series of Shares of Beneficial Interest for the Trust, dated March 30, 2018. |
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| May 30, 2018 |
Sub-Item 77I: Terms of new or amended securities At its March 30, 2018 Special Meeting of the Board of Trustees, the Board approved the termination of the Elkhorn Fundamental Commodity Strategy ETF and the Elkhorn Commodity Rotation Strategy ETF, each an additional series of Elkhorn ETF Trust (the "Trust"). |
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| May 30, 2018 |
INTERIM INVESTMENT SUB-ADVISORY AGREEMENT INTERIM INVESTMENT SUB-ADVISORY AGREEMENT made this 30th day of March, 2018, by and among ELKHORN ETF TRUST, a Massachusetts business trust (the "Trust"), INNOVATOR CAPITAL MANAGEMENT, LLC, a Delaware limited liability company (the "Adviser"), and PENSERRA CAPITAL MANAGEMENT LLC, a Delaware limited liability company (the "Sub-Adviser"). |
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| May 30, 2018 |
ELKHORN ETF TRUST (a Massachusetts Business Trust) AMENDED AND RESTATED ESTABLISHMENT AND DESIGNATION OF SERIES OF SHARES OF BENEFICIAL INTEREST (Effective as of March 30, 2018) WHEREAS, the initial Trustee of the Trust, acting pursuant to Section 4. |
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| May 30, 2018 |
INTERIM INVESTMENT MANAGEMENT AGREEMENT INVESTMENT MANAGEMENT AGREEMENT made this 30th day of March, 2018, by and between ELKHORN ETF TRUST, a Massachusetts business trust (the "Trust"), and INNOVATOR CAPITAL MANAGEMENT, LLC, a Delaware limited liability company (the "Adviser"). |
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| May 18, 2018 |
DWAC / ELKHORN ETF TR FORM DEF 14A 1940 Act File No. 811-22926 U.S. 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 |
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| May 16, 2018 |
[On Chapman and Cutler LLP letterhead] May 16, 2018 Via EDGAR Transmission Kimberly Browning U. |
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| May 11, 2018 |
[On Chapman and Cutler LLP letterhead] May 11, 2018 Via EDGAR Transmission Kimberly Browning U. |
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| May 9, 2018 |
DWAC / ELKHORN ETF TR FORM 15-12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 15 CERTIFICATE AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934. Commission File Number 333-201473 Innovator ETFs Trust II (Exact name of registrant as specified |
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| May 9, 2018 |
DWAC / ELKHORN ETF TR FORM 15-12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 15 CERTIFICATE AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934. Commission File Number 333-201473 Innovator ETFs Trust II (Exact name of registrant as specified |
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| April 26, 2018 |
DWAC / ELKHORN ETF TR FORM PRE 14A 1940 Act File No. 811-22926 U.S. 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 |
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| March 1, 2018 |
DWAC / ELKHORN ETF TR FORM 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 811-22926 Elkhorn ETF Trust (Exact name of registrant as specified in charter) 207 Reber Street, Suite 201 Wheaton, IL 60187 (Address of principal executive offices) (Zip code) Benjamin T. Fulton Elk |
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| March 1, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Benjamin T. Fulton, certify that: 1. I have reviewed this report on Form N-Q of Elkhorn 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 th |
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| March 1, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Benjamin T. Fulton, certify that: 1. I have reviewed this report on Form N-Q of Elkhorn 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 th |
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| March 1, 2018 |
DWAC / ELKHORN ETF TR FORM 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 811-22926 Elkhorn ETF Trust (Exact name of registrant as specified in charter) 207 Reber Street, Suite 201 Wheaton, IL 60187 (Address of principal executive offices) (Zip code) Benjamin T. Fulton Elk |
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| December 27, 2017 |
DWAC / ELKHORN ETF TR FORM 8-K (Current Report) elkhorn201712218k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date earliest event reported): December 20, 2017 ELKHORN ETF TRUST (Exact name of issuer as specified in its charter) Massachusetts 333-201473 81-3255469 (State or other jurisdiction (Commission |
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| November 29, 2017 |
EX-99.77I NEW SECUR 2 elkSEMI77i.txt Sub-Item 77I: Terms of new or amended securities At its August 17, 2017 Special Meeting of the Board of Trustees, the Board approved the termination of the Elkhorn S&P MidCap Consumer Discretionary Portfolio, the Elkhorn S&P MidCap Energy Portfolio, the Elkhorn S&P MidCap Financials Portfolio, the Elkhorn S&P MidCap Health Care Portfolio, the Elkhorn S&P MidCap |
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| November 8, 2017 |
November 8, 2017 Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Form AW - Request for Withdrawal Elkhorn ETF Trust Registration on Form N-1A Post-Effective Amendment Nos. |
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| September 13, 2017 |
[CHAPMAN AND CUTLER LETTERHEAD] September 13, 2017 [CHAPMAN AND CUTLER LETTERHEAD] September 13, 2017 Securities and Exchange Commission 100 F Street, N. |
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| September 13, 2017 |
[CHAPMAN AND CUTLER LETTERHEAD] September 13, 2017 [CHAPMAN AND CUTLER LETTERHEAD] September 13, 2017 Securities and Exchange Commission 100 F Street, N. |
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| August 28, 2017 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 fp0027426ex99cert.htm Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Benjamin T. Fulton, certify that: 1. I have reviewed this report on Form N-Q of Elkhorn 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 m |
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| August 28, 2017 |
[CHAPMAN AND CUTLER LETTERHEAD] August 28, 2017 [CHAPMAN AND CUTLER LETTERHEAD] August 28, 2017 Securities and Exchange Commission 100 F Street, N. |
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| August 28, 2017 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Benjamin T. |
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| August 28, 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 811-22926 Elkhorn ETF Trust (Exact name of registrant as specified in charter) 207 Reber Street, Suite 201 Wheaton, IL 60187 (Address of principal executive offices) (Zip code) Benjamin T. Fulton Elk |
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| August 28, 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 811-22926 Elkhorn ETF Trust (Exact name of registrant as specified in charter) 207 Reber Street, Suite 201 Wheaton, IL 60187 (Address of principal executive offices) (Zip code) Benjamin T. Fulton Elk |
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| August 15, 2017 |
[CHAPMAN AND CUTLER LETTERHEAD] August 15, 2017 [CHAPMAN AND CUTLER LETTERHEAD] August 15, 2017 Securities and Exchange Commission 100 F Street, N. |
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| June 12, 2017 |
[On Chapman and Cutler LLP Letterhead] June 12, 2017 [On Chapman and Cutler LLP Letterhead] June 12, 2017 Securities and Exchange Commission 100 F Street, N. |
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| May 30, 2017 |
INVESTMENT MANAGEMENT AGREEMENT INVESTMENT MANAGEMENT AGREEMENT made this 7th day of April, 2015, by and between ELKHORN ETF TRUST, a Massachusetts business trust (the "Trust"), and ELKHORN INVESTMENTS, LLC, a Delaware limited liability company (the "Adviser"). |
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| May 30, 2017 |
Sub-Item 77I: Terms of new or amended securities At its December 16, 2016 Meeting of the Board of Trustees, the Board approved the creation of the Elkhorn Roubini Country Rotation ETF, an additional series of Elkhorn ETF Trust (the "Trust"). |
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| May 30, 2017 |
ELKHORN ETF TRUST (a Massachusetts Business Trust) AMENDED AND RESTATED ESTABLISHMENT AND DESIGNATION OF SERIES OF SHARES OF BENEFICIAL INTEREST (Effective as of March 8, 2017) WHEREAS, the initial Trustee of the Trust, acting pursuant to Section 4. |
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| May 30, 2017 |
Sub-Item 77Q1: Exhibits (d) Copies of all constituent instruments defining the rights of the holders of any new class of securities and of any amendments to constituent instruments referred to in answer to sub-item On December 16, 2016 Elkhorn ETF Trust (the "Trust") approved The Amended and Restated Establishment and Designation of Series of Shares of Beneficial Interest for the Trust, dated December 16, 2016. |
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| May 12, 2017 |
8-A12B 1 fp00258078a12b.htm 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 Elkhorn ETF Trust (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 207 Reber |
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| May 12, 2017 |
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 Elkhorn ETF Trust (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 207 Reber Street, Suite 201 Wheaton, |
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| April 21, 2017 |
[CHAPMAN AND CUTLER LETTERHEAD] April 21, 2017 [CHAPMAN AND CUTLER LETTERHEAD] April 21, 2017 Securities and Exchange Commission 100 F Street, N. |
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| April 7, 2017 |
[CHAPMAN AND CUTLER LETTERHEAD] April 7, 2017 [CHAPMAN AND CUTLER LETTERHEAD] April 7, 2017 Securities and Exchange Commission 100 F Street, N. |
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| March 24, 2017 |
CORRESP 1 filename1.htm March 24, 2017 VIA EDGAR CORRESPONDENCE Asaf Barouk Senior Counsel Division of Investment Management Securities and Exchange Commission 100 F Street N.E. Washington, D.C. 20549 RE: Elkhorn ETF Trust File Nos.: 333-207937; 811-23108 Dear Mr. Barouk: On behalf of the Elkhorn ETF Trust (the “Registrant” or the “Trust”), we are transmitting this response letter concerning the R |
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| March 9, 2017 |
[Chapman and Cutler LLP] March 9, 2017 [Chapman and Cutler LLP] March 9, 2017 Securities and Exchange Commission 100 F Street, N. |
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| March 9, 2017 |
[Chapman and Cutler LLP] March 9, 2017 [Chapman and Cutler LLP] March 9, 2017 Securities and Exchange Commission 100 F Street, N. |
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| February 28, 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 811-22926 Elkhorn ETF Trust (Exact name of registrant as specified in charter) 207 Reber Street, Suite 201 Wheaton, IL 60187 (Address of principal executive offices) (Zip code) Benjamin T. Fulton Elk |
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| February 28, 2017 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Benjamin T. |
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| February 28, 2017 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Benjamin T. |
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| February 28, 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 811-22926 Elkhorn ETF Trust (Exact name of registrant as specified in charter) 207 Reber Street, Suite 201 Wheaton, IL 60187 (Address of principal executive offices) (Zip code) Benjamin T. Fulton Elk |
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| December 29, 2016 |
[CHAPMAN AND CUTLER LETTERHEAD] December 29, 2016 [CHAPMAN AND CUTLER LETTERHEAD] December 29, 2016 Securities and Exchange Commission 100 F Street, N. |
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| December 27, 2016 |
[CHAPMAN AND CUTLER LETTERHEAD] December 27, 2016 [CHAPMAN AND CUTLER LETTERHEAD] December 27, 2016 Securities and Exchange Commission 100 F Street, N. |
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| November 28, 2016 |
Sub-Item 77I: Terms of new or amended securities At its September 23, 2016 Meeting of the Board of Trustees, the Board approved the creation of the Elkhorn Lunt Low Vol/High Beta Tactical ETF and the Elkhorn Dorsey Wright MidCap Sector Rotation ETF, each an additional series of Elkhorn ETF Trust (the "Trust"). |
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| November 28, 2016 |
EX-99.77Q1 OTHR EXHB 4 elk77q12.txt INVESTMENT MANAGEMENT AGREEMENT INVESTMENT MANAGEMENT AGREEMENT made this 7th day of April, 2015, by and between ELKHORN ETF TRUST, a Massachusetts business trust (the "Trust"), and ELKHORN INVESTMENTS, LLC, a Delaware limited liability company (the "Adviser"). WHEREAS, the Trust is registered under the Investment Company Act of 1940, as amended ("1940 Act"), as |
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| November 28, 2016 |
Sub-Item 77Q1: Exhibits (d) Copies of all constituent instruments defining the rights of the holders of any new class of securities and of any amendments to constituent instruments referred to in answer to sub-item 77I The Amended and Restated Establishment and Designation of Series of Shares of Beneficial Interest for Elkhorn ETF Trust (the "Trust") was previously filed with the Securities and Exchange Commission ("SEC") as exhibit 28(A)(2) to the Post-Effective Amendment to the Trust's Registration Statement on Form N-1A ("Registration Statement"), filed with the SEC on September 6, 2016 (SEC Accession No. |
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| October 3, 2016 |
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 Elkhorn ETF Trust (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 207 Reber Street, Suite 201 Wheaton, |
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| September 1, 2016 |
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 Elkhorn ETF Trust (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 207 Reber Street, Suite 201 Wheaton, |
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| September 1, 2016 |
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 Elkhorn ETF Trust (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 207 Reber Street, Suite 201 Wheaton, |
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| August 22, 2016 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Benjamin T. |
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| August 22, 2016 |
ELKHORN ETF TR (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 811-22926 Elkhorn ETF Trust (Exact name of registrant as specified in charter) 207 Reber Street, Suite 201 Wheaton, IL 60187 (Address of principal executive offices) (Zip code) Benjamin T. Fulton Elk |
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| August 22, 2016 |
ELKHORN ETF TR (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 811-22926 Elkhorn ETF Trust (Exact name of registrant as specified in charter) 207 Reber Street, Suite 201 Wheaton, IL 60187 (Address of principal executive offices) (Zip code) Benjamin T. Fulton Elk |
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| August 22, 2016 |
ELKHORN ETF TR (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 811-22926 Elkhorn ETF Trust (Exact name of registrant as specified in charter) 207 Reber Street, Suite 201 Wheaton, IL 60187 (Address of principal executive offices) (Zip code) Benjamin T. Fulton Elk |
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| August 22, 2016 |
ELKHORN ETF TR (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 811-22926 Elkhorn ETF Trust (Exact name of registrant as specified in charter) 207 Reber Street, Suite 201 Wheaton, IL 60187 (Address of principal executive offices) (Zip code) Benjamin T. Fulton Elk |
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| August 22, 2016 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Benjamin T. |
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| July 22, 2016 |
[CHAPMAN AND CUTLER LETTERHEAD] July 22, 2016 [CHAPMAN AND CUTLER LETTERHEAD] July 22, 2016 Securities and Exchange Commission 100 F Street, N. |
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| June 9, 2016 |
ELKHORN ETF TR ELKHORN ETF TRUST 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 Elkhorn ETF Trust (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 207 Reber Street, Suite 201 Wheaton, |
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| May 31, 2016 |
Sub-Item 77Q1: Exhibits (a) Copies of any material amendments to the registrant's charter or by-laws The Amended and Restated Establishment and Designation of Series of Shares of Beneficial Interest for Elkhorn ETF Trust (the "Trust") was previously filed with the Securities and Exchange Commission ("SEC") as exhibit 99(A)(2) to the Post-Effective Amendment to the Trust's Registration Statement on Form N-1A ("Registration Statement") filed with the SEC on October 25, 2015 (SEC Accession No. |
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| May 31, 2016 |
INVESTMENT MANAGEMENT AGREEMENT INVESTMENT MANAGEMENT AGREEMENT made this 7th day of April, 2015, by and between ELKHORN ETF TRUST, a Massachusetts business trust (the "Trust"), and ELKHORN INVESTMENTS, LLC, a Delaware limited liability company (the "Adviser"). |
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| May 31, 2016 |
EX-99.77I NEW SECUR 2 elkhorn77i.txt Sub-Item 77I: Terms of new or amended securities At its October 23, 2015 Special Meeting of the Board of Trustees, the Board approved the creation of Elkhorn S&P Preferred Thoroughbreds ETF, Elkhorn FTSE RAFI U.S. Equity Income ETF, Elkhorn FTSE RAFI Developed ex-U.S. Equity Income ETF, Elkhorn FTSE RAFI Emerging Equity Income ETF (each a "Fund" and, collective |
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| May 18, 2016 |
111 West Monroe Street Chicago, IL 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com May 18, 2016 Deborah O?Neal-Johnson Senior Counsel Division of Investment Management Securities and Exchange Commission 100 F Street N.E. Washington, D.C. 20549 RE: Elkhorn ETF Trust File Nos.: 333?201473; 811?22926 Dear Ms. O?Neal-Johnson: On behalf of the Elkhorn ETF Trust (the ?Registrant? or the ?Trust? |
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| May 13, 2016 |
ELKHORN ETF TR ELKHORN ETF TRUST 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 Elkhorn ETF Trust (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 207 Reber Street, Suite 201 Wheaton, |
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| May 6, 2016 |
[Chapman and Cutler LLP] May 6, 2016 Securities and Exchange Commission 100 F Street, N. |
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| April 27, 2016 |
Unassociated Document [Chapman and Cutler LLP Letterhead] April 27, 2016 VIA EDGAR CORRESPONDENCE Ms. |
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| April 27, 2016 |
[Chapman and Cutler LLP] April 27, 2016 [Chapman and Cutler LLP] April 27, 2016 Securities and Exchange Commission 100 F Street, N. |
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| April 15, 2016 |
[Chapman and Cutler LLP] April 15, 2016 Securities and Exchange Commission 100 F Street, N. |
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| March 25, 2016 |
Unassociated Document [Chapman and Cutler LLP] March 25, 2016 Securities and Exchange Commission 100 F Street, N. |
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| March 4, 2016 |
[CHAPMAN AND CUTLER LETTERHEAD] March 4, 2016 [CHAPMAN AND CUTLER LETTERHEAD] March 4, 2016 Securities and Exchange Commission 100 F Street, N. |
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| March 4, 2016 |
cover.htm [Chapman and Cutler LLP] March 4, 2016 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Elkhorn ETF Trust Ladies and Gentlemen: On behalf of the Elkhorn ETF Trust (the ?Registrant?), we are transmitting for electronic filing under the Securities Act of 1933, as amended (the ?Securities Act?), Post-Effective Amendment No. 25 and under the Investment Company A |
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| February 24, 2016 |
ELKHORN ETF TR ELKHORN FTSE RAFI U.S. EQUITY INCOME 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 811-22926 Elkhorn ETF Trust (Exact name of registrant as specified in charter) 207 Reber Street, Suite 201 Wheaton, IL 60187 (Address of principal executive offices) (Zip code) Benjamin T. Fulton Elk |
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| February 24, 2016 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Benjamin T. |
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| February 24, 2016 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Benjamin T. |
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| February 24, 2016 |
N-Q 1 elkcapx-nq.htm ELKHORN S&P 500 CAPITAL EXPENDITURES PORTFOLIO 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 811-22926 Elkhorn ETF Trust (Exact name of registrant as specified in charter) 207 Reber Street, Suite 201 Wheaton, IL 60187 (Addre |
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| February 19, 2016 |
cover.htm [Chapman and Cutler LLP] February 19, 2016 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Elkhorn ETF Trust Ladies and Gentlemen: On behalf of the Elkhorn ETF Trust (the ?Registrant?), we are transmitting for electronic filing under the Securities Act of 1933, as amended (the ?Securities Act?), Post-Effective Amendment No. 22 and under the Investment Compa |
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| February 19, 2016 |
COVER 2 filename2.htm [Chapman and Cutler LLP] February 19, 2016 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Elkhorn ETF Trust Ladies and Gentlemen: On behalf of the Elkhorn ETF Trust (the “Registrant”), we are transmitting for electronic filing under the Securities Act of 1933, as amended (the “Securities Act”), Post-Effective Amendment No. 23 and under the Inve |
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| February 18, 2016 |
[CHAPMAN AND CUTLER LETTERHEAD] February 18, 2016 [CHAPMAN AND CUTLER LETTERHEAD] February 18, 2016 Securities and Exchange Commission 100 F Street, N. |
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| February 9, 2016 |
Unassociated Document [Chapman and Cutler LLP] February 9, 2016 Securities and Exchange Commission 100 F Street, N. |
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| February 5, 2016 |
cover.htm [Chapman and Cutler LLP] February 5, 2016 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re:Elkhorn ETF Trust Ladies and Gentlemen: On behalf of the Elkhorn ETF Trust (the ?Registrant?), we are transmitting for electronic filing under the Securities Act of 1933, as amended (the ?Securities Act?), Post-Effective Amendment No. 19 and under the Investment Company |
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| January 29, 2016 |
cover.htm [Chapman and Cutler LLP] January 29, 2016 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re:Elkhorn ETF Trust Ladies and Gentlemen: On behalf of the Elkhorn ETF Trust (the ?Registrant?), we are transmitting for electronic filing under the Securities Act of 1933, as amended (the ?Securities Act?), Post-Effective Amendment No. 18 and under the Investment Company |
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| January 22, 2016 |
cover.htm [Chapman and Cutler LLP] January 22, 2016 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Elkhorn ETF Trust Ladies and Gentlemen: On behalf of the Elkhorn ETF Trust (the ?Registrant?), we are transmitting for electronic filing under the Securities Act of 1933, as amended (the ?Securities Act?), Post-Effective Amendment No. 17 and under the Investment Compan |
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| January 21, 2016 |
COVER 2 filename2.htm [Chapman and Cutler LLP] January 21, 2016 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Elkhorn ETF Trust Ladies and Gentlemen: On behalf of the Elkhorn ETF Trust (the “Registrant”), we are transmitting for electronic filing under the Securities Act of 1933, as amended (the “Securities Act”), Post-Effective Amendment No. 16 and under the Inves |
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| January 7, 2016 |
cover.htm [Chapman and Cutler LLP] January 7, 2016 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Elkhorn ETF Trust Ladies and Gentlemen: On behalf of the Elkhorn ETF Trust (the ?Registrant?), we are transmitting for electronic filing under the Securities Act of 1933, as amended (the ?Securities Act?), Post-Effective Amendment No. 14 and under the Investment Company |
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| December 3, 2015 |
cover.htm [Chapman and Cutler LLP] December 3, 2015 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re:Elkhorn ETF Trust Ladies and Gentlemen: On behalf of the Elkhorn ETF Trust (the ?Registrant?), we are transmitting for electronic filing under the Securities Act of 1933, as amended (the ?Securities Act?), Post-Effective Amendment No. 10 and under the Investment Company |
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| November 30, 2015 |
ELKHORN ETF TR ELKHORN ETF TRUST elk63479-8a12b.htm 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 Elkhorn ETF Trust (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 207 Reber Street, S |
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| November 23, 2015 |
cover.htm [Chapman and Cutler LLP] November 23, 2015 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Elkhorn ETF Trust Ladies and Gentlemen: On behalf of the Elkhorn ETF Trust (the ?Registrant?), we are transmitting for electronic filing under the Securities Act of 1933, as amended (the ?Securities Act?), Post-Effective Amendment No. 8 and under the Investment Compan |
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| November 18, 2015 |
elk63429-corresp.htm Chapman and Cutler LLP Attorneys at Law ? Focused on Finance? 111 West Monroe Street Chicago, IL 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com November 18, 2015 Deborah O?Neal-Johnson Senior Counsel Division of Investment Management Securities and Exchange Commission 100 F Street N.E. Washington, D.C. 20549 RE: Elkhorn ETF Trust File Nos.: 333-201473; 811-22926 Dear |
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| November 10, 2015 |
[CHAPMAN AND CUTLER LETTERHEAD] November 10, 2015 [CHAPMAN AND CUTLER LETTERHEAD] November 10, 2015 Securities and Exchange Commission 100 F Street, N. |
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| November 10, 2015 |
[CHAPMAN AND CUTLER LETTERHEAD] November 10, 2015 [CHAPMAN AND CUTLER LETTERHEAD] November 10, 2015 Securities and Exchange Commission 100 F Street, N. |
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| October 27, 2015 |
elk63245-corresp.htm October 27, 2015 Deborah O?Neal-Johnson Senior Counsel Division of Investment Management Securities and Exchange Commission 100 F Street N.E. Washington, D.C. 20549 RE:Elkhorn ETF Trust File Nos.: 333-201473; 811-22926 Dear Ms. O?Neal-Johnson: On behalf of the Elkhorn ETF Trust (the ?Registrant?), we are transmitting a response to a comment regarding the Registrant?s registrat |
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| October 19, 2015 |
[ Letterhead of Chapman and Cutler llp] October 19, 2015 Deborah O?Neal-Johnson Senior Counsel Division of Investment Management Securities and Exchange Commission 100 F Street N. |
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| August 20, 2015 |
ELKHORN ETF TR ELKHORN ETF TRUST (Quarterly Schedule of Portfolio Holdings) elk62638-nq.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 811-22926 Elkhorn ETF Trust (Exact name of registrant as specified in charter) 207 Reber Street, Suite 201 Wheaton, IL 60187 (Address of principal executive offices) (Zip code) Benjam |
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| August 20, 2015 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act ex99cert.htm Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Benjamin T. Fulton, certify that: 1. I have reviewed this report on Form N-Q of Elkhorn 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 c |
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| May 20, 2015 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ex99j.htm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have issued our report dated April 28, 2015, with respect to the financial statement of the Elkhorn S&P 500 Capital Expenditures Portfolio, which comprises the Elkhorn ETF Trust, contained in this Pre-Effective Amendment No. 2 to the Registration Statement No. 333-201473 on Form N-1A (the ?Registration Statement?). We consent to |
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| May 20, 2015 |
Elkhorn ETF Trust Elkhorn S&P 500 Capital Expenditures Portfolio Power of Attorney ex99q.htm Elkhorn ETF Trust Elkhorn S&P 500 Capital Expenditures Portfolio Power of Attorney Know All Men By These Presents, that the undersigned, a trustee of the above-referenced organization, hereby constitutes and appoints Graham Day and Philip L. Ziesemer and each of them (with full power to each of them to act alone) his true and lawful attorney-in-fact and agent, for him on his behalf and i |
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| May 20, 2015 |
cover.htm 111 West Monroe Street Chicago, IL 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com May 20, 2015 Alison White Senior Counsel Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 RE:Elkhorn ETF Trust File Nos.: 333-201473; 811-22926 Dear Ms. White: On behalf of the Elkhorn ETF Trust (the ?Registrant?), we are transmitting pre |
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| May 20, 2015 |
elk61170-corresp.htm Elkhorn ETF Trust 207 Reber Street, Suite 201 Wheaton, IL 60187 May 20, 2015 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Elkhorn S&P 500 Capital Expenditures Portfolio (the ?Fund?) Ladies and Gentlemen: The undersigned, Elkhorn ETF Trust (the ?Registrant?) and ALPS Distributors, Inc., the principal underwriter of the Fund, pursuant to the pro |
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| May 20, 2015 |
ELKHORN ETF TR ELKHORN ETF TRUST As filed with the Securities and Exchange Commission on May 20, 2015. No. 333-201473 No. 811-22926 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [ ] Pre-Effective Amendment No. 2 [X] Post-Effective Amendment No. [ ] and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [ ] Amendment No. 2 [ |
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| May 15, 2015 |
ELKHORN ETF TR ELKHORN ETF TRUST [On Chapman and Cutler LLP Letterhead] May 15, 2015 Securities and Exchange Commission 100 F Street, N. |
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| April 28, 2015 |
111 West Monroe Street Chicago, IL 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com 111 West Monroe Street Chicago, IL 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com April 28, 2015 Alison White Senior Counsel Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 RE: Elkhorn ETF Trust File Nos.: 333-201473; 811-22926 Dear Ms. White: On behalf of Elkhorn ETF Trust (the ?Registrant?), we are transmitting Amendment No. |
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| April 28, 2015 |
April 28, 2015 Elkhorn ETF Trust 207 South Reber Street, Suite 201 Wheaton, Illinois 60187 Re: Elkhorn ETF Trust Ladies and Gentlemen: We have acted as special Massachusetts counsel to Elkhorn ETF Trust (the "Trust") on behalf of its series, Elkhorn S&P 500 Capital Expenditures Portfolio (the “Fund”), in connection with the Trust's Pre-Effective Amendment to its Registration Statement on Form N-1A to be filed with the Securities and Exchange Commission on or about April 28, 2015 (as proposed to be amended, the "Registration Statement") with respect to the Fund’s common shares of beneficial interest, $. |
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| April 28, 2015 |
Registration Statement on Form N-1A (File No. 333-201473) filed on April 28, 2015. Elkhorn ETF Trust Subscription Agreement This Subscription Agreement (the ?Agreement?) made this 7th day of April, 2015 by and between Elkhorn ETF Trust, a Massachusetts business trust (the ?Trust?), on behalf of its series, Elkhorn S&P 500 Capital Expenditures Portfolio (the ?Fund?), and Elkhorn Investments, LLC, a Delaware limited liability company (the ?Subscriber?). |
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| April 28, 2015 |
Elkhorn Investments, LLC Code of Ethics September 1, 2013 Table of Contents Section Heading Page I. |
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| April 28, 2015 |
Elkhorn ETF Trust Power of Attorney Elkhorn ETF Trust Power of Attorney Know All Men By These Presents, that the undersigned, a trustee of the above-referenced organization, hereby constitutes and appoints Graham Day and Philip L. |
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| April 28, 2015 |
Registration Statement on Form N-1A (File No. 333-201473) filed on April 28, 2015. Elkhorn ETF Trust Distribution and Service Plan 1.The Trust. Elkhorn 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 Trust desires to adopt a plan of distribution pursuant to Rule 12b-1 u |
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| April 28, 2015 |
FUND ADMINISTRATION AND ACCOUNTING AGREEMENT EXECUTION FUND ADMINISTRATION AND ACCOUNTING AGREEMENT THIS AGREEMENT is made as of April 21, 2015 by and between each Trust listed on the signature page hereto (each a ?Trust?, and collectively the ?Trusts? as applicable) and The Bank of New York Mellon, a New York corporation authorized to do a banking business (?BNY Mellon?). |
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| April 28, 2015 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have issued our report dated April 28, 2015, with respect to the financial statement of the Elkhorn S&P 500 Capital Expenditures Portfolio, which comprises the Elkhorn ETF Trust, contained in this Pre-Effective Amendment No. |
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| April 28, 2015 |
Registration Statement on Form N-1A (File No. 333-201473) filed on April 28, 2015. EX-99.(A)(2) 3 ex99a2.htm AMENDED AND RESTATED DECLARATION OF TRUST AMENDED AND RESTATED DECLARATION OF TRUST OF ELKHORN ETF TRUST (a Massachusetts Business Trust) Dated as of April 7, 2015 TABLE OF CONTENTS ARTICLE I – Name and Definitions Section 1 Name 1 Section 2 Definitions 1 ARTICLE II – Nature and Purpose of Trust 3 ARTICLE III – Registered Agent; Principal Place of Business 3 ARTICLE IV – |
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| April 28, 2015 |
Registration Statement on Form N-1A (File No. 333-201473) filed on April 28, 2015. AUTHORIZED PARTICIPANT AGREEMENT FOR ELKHORN ETF TRUST This Authorized Participant Agreement (this ?Agreement?) is entered into by and between ALPS Distributors, Inc. |
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| April 28, 2015 |
Registration Statement on Form N-1A (File No. 333-201473) filed on April 28, 2015. BY-LAWS OF ELKHORN ETF TRUST Dated: April 7, 2015 ARTICLE 1 Declaration of Trust and Principal Office 1. |
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| April 28, 2015 |
EXECUTION CUSTODY AGREEMENT AGREEMENT, dated as of April 21, 2015 between Elkhorn ETF Trust, a business trust organized and existing under the laws of the Commonwealth of Massachusetts, having its principal office and place of business at 207 Reber Street, Wheaton, IL 60187 (the ?Trust?) and The Bank of New York Mellon, a New York corporation authorized to do a banking business, having its principal office and place of business at One Wall Street, New York, New York 10286 (?Custodian?). |
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| April 28, 2015 |
ALPS Code of Ethics Dated: May 1, 2010 Amended Last: December 19, 2014 ALPS Code of Ethics Table of Contents Introduction 3 Applicability 4 General Standards of Business Conduct 8 Conflicts of Interest 8 Protecting Confidential Information 8 Insider Trading and Tipping 9 Excess Trading 9 Front Running 9 Gifts and Entertainment 9 Improper Payments or Rebates 10 Service on a Board of Directors/Outsi |
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| April 28, 2015 |
As filed with the Securities and Exchange Commission on April 28, 2015. N-1A/A 1 elk61170-n1aa.htm ELKHORN ETF TRUST As filed with the Securities and Exchange Commission on April 28, 2015. No. 333-201473 No. 811-22926 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [ ] Pre-Effective Amendment No. 1 [X] Post-Effective Amendment No. [ ] and/or REGISTRATION STATEMENT UNDER THE INVES |
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| April 28, 2015 |
DISTRIBUTION AGREEMENT THIS AGREEMENT is made as of , 2015, between Elkhorn ETF Trust, a Massachusetts business trust (the ?Fund?), and ALPS Distributors, Inc. |
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| April 28, 2015 |
Investment Management Agreement Investment Management Agreement Investment Management Agreement made this [ ] day of [ ], 2015, by and between Elkhorn ETF Trust, a Massachusetts business trust (the ?Trust?), and Elkhorn Investments, LLC, a Delaware limited liability company (the ?Adviser?). |
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| April 28, 2015 |
[On Chapman and Cutler LLP letterhead] April 28, 2015 [On Chapman and Cutler LLP letterhead] April 28, 2015 Elkhorn ETF Trust 207 Reber Street, Suite 201 Wheaton, Illinois 60187 Re: Elkhorn ETF Trust Ladies and Gentlemen: We have served as counsel for the Elkhorn ETF Trust (the ?Trust?), which proposes to offer and sell shares of its series (the ?Shares?), Elkhorn S&P 500 Capital Expenditures Portfolio (the ?Fund?), in the manner and on the terms set forth in Amendment No. |
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| February 9, 2015 |
February 7, 2015 VIA E-MAIL Morrison C. Warren, Esq. Chapman and Cutler LLP 111 West Monroe Street Chicago, IL 60603 RE: Elkhorn ETF Trust File Nos.: 333-201473; 811-22926 Dear Mr. Warren: We have reviewed the registration statement on Form N-1A filed with the Commission on January 13, 2015 on behalf of the above-referenced registrant. The filing was made for the purpose of registering shares of t |
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| January 13, 2015 |
Declaration of Trust Elkhorn ETF Trust EX-99.(A)(1) 3 ex99a1.htm DECLARATION OF TRUST Declaration of Trust of Elkhorn ETF Trust This Declaration of Trust (this “Declaration”) is made as of this 17th day of December, 2013 by the initial Trustee hereunder. Now, Therefore, the Trustee and any successor Trustees elected or appointed in accordance with the applicable provisions hereof hereby declare that they will hold all cash, securities |
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| January 13, 2015 |
DWAC / ELKHORN ETF TR N-1A - - ETF TRUST As filed with the Securities and Exchange Commission on January 13, 2015. No. 333-[] No. 811-22926 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [x] Pre-Effective Amendment No. [ ] Post-Effective Amendment No. [ ] and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [x] Amendment No. [ ] E |
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| January 13, 2015 |
DWAC / ELKHORN ETF TR COVER - - January 13, 2015 Securities and Exchange Commission 100 F Street, NE Washington, D. |
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| December 27, 2013 |
Form N-8A Securities and Exchange Commission Washington, D.C. 20549 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 with such notific |
