Grundläggande statistik
| CIK | 1610817 |
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 Source EURO STOXX 50 ETF
SEC Filings (Chronological Order)
Denna sida innehåller en komplett, kronologisk lista över SEC-arkiveringar, exklusive ägande-arkiveringar som vi tillhandahåller på andra ställen.
| January 23, 2015 |
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: 811-22977 SOURCE ETF TRUST (Exact name of registrant as specified in charter) 125 Park Avenue 25th Floor New York, NY 10017 (Address of principal executive offices) (Zip code) Brown Brothers Harrima |
|
| January 23, 2015 |
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, J. |
|
| September 16, 2014 |
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 Source ETF Trust (Exact name of registrant as specified in its charter) Delaware (State of incorporation or organization) See below (IRS Employer Identification No.) Source ETF Trust 125 Park Avenu |
|
| September 12, 2014 |
SOURCE ETF TRUST AUTHORIZED PARTICIPANT AGREEMENT SOURCE ETF TRUST AUTHORIZED PARTICIPANT AGREEMENT This Authorized Participant Agreement (the “Agreement”) is entered into by and between Fund Source US, LLC (the “Distributor”) and [Authorized Participant Firm] (the “Participant”) and is subject to acceptance by Brown Brothers Harriman & Co. |
|
| September 12, 2014 |
ESTX / Source EURO STOXX 50 ETF EX-99.28.D.3 - - INVESTMENT SUB-ADVISORY AGREEMENT with Mellon Capital Management Corporation This INVESTMENT SUB-ADVISORY AGREEMENT (the “Agreement”) is made as of this 10th day of September, 2014 by and between Source Exchange Traded Investments LLC, a company incorporated in Delaware with its principal place of business at 125 Park Avenue, 25th Floor, New York, NY 10017 (the “Adviser”), Source ETF Trust (the “Trust”), and MELLON CAPITAL MANAGEMENT CORPORATION, a Delaware corporation with its principal place of business located at 50 Fremont Street, San Francisco, California 984105 (the “Sub-Adviser”). |
|
| September 12, 2014 |
ADVISORY AGREEMENT ADVISORY AGREEMENT (the “Agreement”) made as of this 10th day of September, 2014 by and among SOURCE ETF TRUST (the “Trust”), a Delaware statutory trust registered as an investment company under the Investment Company Act of 1940, as amended (the “1940 Act”), EXCHANGE TRADED CONCEPTS, LLC, an Oklahoma limited liability company with its principal place of business at 2545 S. |
|
| September 12, 2014 |
ADVISER’S CODE OF ETHICS 1 PERSONAL TRADING POLICY/CODE OF ETHICS Dated January, 2013 Rule 204A-1 under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), requires an investment adviser registered with the U. |
|
| September 12, 2014 |
September 12, 2014 Source ETF Trust 125 Park Avenue 25th Floor New York, New York 10017 Re: Source ETF Trust Ladies and Gentlemen: We have acted as counsel to Source ETF Trust, a Delaware statutory trust (the “Trust”), in connection with Pre-Effective Amendment Number 1 to the Trust’s Registration Statement on Form N-1A to be filed with the Securities and Exchange Commission (“Commission”) on or about September 12, 2014 (the “Registration Statement”), with respect to the issuance of shares of beneficial interest (the “Shares”) of the Source EURO STOXX 50 ETF (the “Fund”). |
|
| September 12, 2014 |
ADMINISTRATIVE AGENCY AGREEMENT ADMINISTRATIVE AGENCY AGREEMENT THIS AGREEMENT is made as of September 10, 2014, by and between BROWN BROTHERS HARRIMAN & CO. |
|
| September 12, 2014 |
ESTX / Source EURO STOXX 50 ETF COVER - - September 12, 2014 U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Source ETF Trust: Registration Statement on Form N-1A (File Nos. 333-196912 and 811-22977) Ladies and Gentlemen: On behalf of our client, Source ETF Trust (the “Registrant”), we are filing, pursuant to the Securities Act of 1933 (“1933 Act”), and under the Investment Company Act of 1940, Pre-Effect |
|
| September 12, 2014 |
ESTX / Source EURO STOXX 50 ETF N-1A/A - - AS FILED WITH THE U.S. SECURITIES AND EXCHANGE COMMISSION ON SEPTEMBER 12, 2014 File No. 333-196912 File No. 811-22977 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 (X) PRE-EFFECTIVE AMENDMENT NO. 1 (X) POST-EFFECTIVE AMENDMENT NO. ( ) and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 (X) AMENDM |
|
| September 12, 2014 |
Appendix A Requirements for Monitored Employees Corporate Policy l-A-045 Revised 14 March 2014 Personal Securities Trading Policy Summary Employees or other supervised persons (as defined in the Investment Advisers Act of 1940 - the “Advisers Act”) of the Bank of New York Mellon Corporation and its subsidiaries (the “Company”) are subject to certain laws and/or regulations governing personal securities trading, including the securities laws of various jurisdictions, Rule 204A-1 of the Advisers Act, and Rule 17j-1 of the Investment Company Act of 1940. |
|
| September 12, 2014 |
Source Exchange Traded Investments LLC Source Exchange Traded Investments LLC [SOURCE LOGO] 125 Park Avenue, 25th Floor New York, NY 10017 10 September, 2014 Source ETF Trust 125 Park Avenue New York, New York 10017 Re: Subscription for the Purchase of Shares of Beneficial Interest of the Source ETF Trust Ladies and Gentlemen: Source Exchange Traded Investments LLC (hereinafter, “we”) hereby subscribe to purchase shares of beneficial interest (the “Shares”) of the following series of Source ETF Trust (the “Trust”) in the aggregate amount of $100,000 as the initial capital of the Trust, as follows: Fund Number of Shares Price per Share Aggregate Price Source EURO STOXX 50 ETF 2,000 $50. |
|
| September 12, 2014 |
CUSTODIAN AGREEMENT THIS AGREEMENT, dated as of September 10, 2014, between Source ETF Trust, a management investment company organized under the laws of the State of Delaware and registered with the Commission under the Investment Company Act of 1940 (“the 1940 Act”) (the Fund, including on behalf of each series listed on Appendix A to this Agreement (each a Fund)), and BROWN BROTHERS HARRIMAN & CO. |
|
| September 12, 2014 |
ESTX / Source EURO STOXX 50 ETF CORRESP - - Source ETF Trust 125 Park Avenue 25th Floor New York, New York 10017 September 12, 2014 VIA EDGAR U. |
|
| September 12, 2014 |
Consent of Independent Registered Public Accounting Firm Consent of Independent Registered Public Accounting Firm We consent to the reference to our firm under the caption “Independent Public Registered Accounting Firm” in the Statement of Additional Information and to the inclusion of our report, dated September 11, 2014, on the Statement of Assets and Liabilities of Source EURO STOXX 50 ETF (the sole fund comprising Source ETF Trust) as of September 5, 2014, included in Pre-Effective Amendment No. |
|
| September 12, 2014 |
SOURCE ETF TRUST ETF DISTRIBUTION AGREEMENT SOURCE ETF TRUST ETF DISTRIBUTION AGREEMENT This Distribution Agreement (the “Agreement”) is made this 12th day of September 2014, by and between Source ETF Trust, a Delaware statutory trust (the “Trust”) having its principal place of business at 125 Park Avenue, 25th Floor, New York, NY 10017, and Fund Source US, LLC, a Delaware limited liability company (the “Distributor”) having its principal place of business at Three Canal Plaza, Suite 100, Portland, ME 04101. |
|
| September 12, 2014 |
ADVISORY AGREEMENT ADVISORY AGREEMENT (the “Agreement”) made as of this 10th day of September, 2014 by and between SOURCE ETF TRUST (the “Trust”), a Delaware statutory trust registered as an investment company under the Investment Company Act of 1940, as amended (the “1940 Act”), and SOURCE EXCHANGE TRADED INVESTMENTS LLC, a Delaware limited liability company with its principal place of business at 125 Park Avenue, 25th Floor, New York, New York 10017 (the “Adviser”). |
|
| September 12, 2014 |
ESTX / Source EURO STOXX 50 ETF CORRESP - - Christopher D. Menconi Direct Phone: +1.202.373.6173 Direct Fax: +1.202.373.6001 [email protected] September 12, 2014 John Grzeskiewicz Senior Counsel Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Source ETF Trust (the “Registrant”) File Nos. 333-196912 and 811-22977 Dear Mr. Grzeskiewicz: This letter responds to the com |
|
| September 12, 2014 |
DISTRIBUTION AND SERVICE PLAN August 27, 2014 This Distribution and Service Plan (the “Plan”) has been adopted, on the following terms and conditions, by the Board of Trustees (the “Trustees”) of Source ETF Trust (the “Trust”), a registered, open-end management investment company under the Investment Company Act of 1940, as amended (the “1940 Act”), pursuant to Rule l2b-1 under the 1940 Act and is effective with respect to the shares of beneficial interest (“Shares”) of each series of the Trust identified in Exhibit A hereto (each, a “Fund” and together the “Funds”). |
|
| September 12, 2014 |
FORESIDE FINANCIAL GROUP, LLC CODE OF ETHICS APPENDIX A FORESIDE COMPANIES Code of Ethics Copyright © 2014 Foreside Financial Group, LLC. All material contained herein is confidential and proprietary. Do not reproduce or distribute to any third party without written consent from Foreside. 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) Disclosu |
|
| September 12, 2014 |
LIMITED POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby constitutes and appoints J. |
|
| September 12, 2014 |
SOURCE EXCHANGE TRADED INVESTMENTS LLC CODE OF ETHICS EX-99.28.P.3 15 fp0011609ex9928p3.htm SOURCE EXCHANGE TRADED INVESTMENTS LLC CODE OF ETHICS This Code of Ethics (the “Code”) has been adopted by Source Exchange Traded Investments LLC (“Source”) in compliance with Rule 17j-1 under the Investment Company Act of 1940 (the “1940 Act”) (unless specifically identified, Rule 17j-1 is referred to as the “Rule”) and Rule 204A-1 under the Investment Advise |
|
| September 12, 2014 |
SOURCE ETF TRUST CODE OF ETHICS SOURCE ETF TRUST CODE OF ETHICS This Code of Ethics (the “Code”) has been adopted by Source ETF Trust (the “Trust”) in compliance with Rule 17j-1 under the Investment Company Act of 1940 (the “Act”) (unless specifically identified, Rule 17j-1 is referred to as the “Rule”). |
|
| June 19, 2014 |
DECLARATION OF TRUST as of June 17, 2014 of SOURCE ETF TRUST a Delaware Statutory Trust TABLE OF CONTENTS ARTICLE I Name and Definitions. |
|
| June 19, 2014 |
BY-LAWS SOURCE ETF TRUST ARTICLE I Fiscal Year and Offices BY-LAWS OF SOURCE ETF TRUST ARTICLE I Fiscal Year and Offices Section 1. Fiscal Year. The fiscal year of the Trust or any series thereof shall be established, re-established or changed from time to time by resolution of the Board of Trustees. The fiscal year of the Trust shall be the taxable year of each series of the Trust, unless otherwise determined by the Board of Trustees. Section 2.Delaware |
|
| June 19, 2014 |
AS FILED WITH THE U.S. SECURITIES AND EXCHANGE COMMISSION ON JUNE 19, 2014 File No. 333- File No. 811-22977 U.S. 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. ( ) S |
|
| June 19, 2014 |
CERTIFICATE OF TRUST Source ETF Trust CERTIFICATE OF TRUST of Source ETF Trust This Certificate of Trust for Source ETF Trust (the “Trust”), a statutory trust, is filed in accordance with the provisions of the Delaware Statutory Trust Act (12 Del. |
|
| June 19, 2014 |
June 19, 2014 U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Source ETF Trust: Initial Registration Statement on Form N-1A (File Nos. 333- and 811-22977) Ladies and Gentlemen: On behalf of our client, Source ETF Trust (the “Trust”), we are filing, pursuant to the Securities Act of 1933, and under the Investment Company Act of 1940, the Trust’s registration statem |
|
| June 19, 2014 |
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 |
