Statistik Asas
| CIK | 1573496 |
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 Siren ETF Trust - Siren DIVCON Dividend Defender ETF
SEC Filings (Chronological Order)
Halaman ini menyediakan senarai kronologi lengkap bagi Pemfailan SEC, tidak termasuk pemfailan pemilikan yang kami sediakan di tempat lain.
| November 9, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy State |
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| October 26, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy State |
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| September 25, 2020 |
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 05, 2020, pursuant to the provisions of Rule 12d2-2 (a). |
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| September 25, 2020 |
Schedule of Investments Reality Shares NASDAQ NexGen Economy ETF July 31, 2020 (Unaudited) Shares Value Common Stocks — 98. |
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| September 25, 2020 |
Schedule of Investments Reality Shares DIVCON Dividend Defender ETF July 31, 2020 (Unaudited) Shares Value Common Stocks(a) — 74. |
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| September 25, 2020 |
Schedule of Investments Reality Shares DIVS ETF July 31, 2020 (Unaudited) Principal / Shares Value Treasury Bills — 61. |
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| September 25, 2020 |
Schedule of Investments Reality Shares DIVCON Leaders Dividend ETF July 31, 2020 (Unaudited) Shares Value Common Stocks — 99. |
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| May 15, 2020 |
Exhibit 12 March 30, 2020 Board of Trustees Reality Shares ETF Trust 402 West Broadway, Suite 2800 San Diego, California 92101 Re: Agreement and Plan of Reorganization, dated as of March 27, 2020 (the “Agreement”), by and between (i) Reality Shares ETF Trust, a Delaware statutory trust (the “Trust”), on behalf of its series, the DIVCON Dividend Guard ETF (the “Acquired Fund”); (ii) the Trust, on behalf of its series, the DIVCON Dividend Defender ETF (the “Surviving Fund” and together with the Acquired Fund, the “Funds”); and (iii) solely for the purposes of Sections 14(b) and 18(b) of the Agreement, Reality Shares Advisors, LLC (“Reality Shares”) the investment adviser to the Funds. |
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| May 15, 2020 |
Agreement and Plan of Reorganization dated March 27, 2020 is filed herewith. EX-4 2 tm2019642d1ex4.htm EXHIBIT 4 Exhibit 4 AGREEMENT AND PLAN OF REORGANIZATION THIS AGREEMENT AND PLAN OF REORGANIZATION (the “Agreement”) is made as of this 27th day of March, 2020, by and between Reality Shares ETF Trust, a Delaware statutory trust (the “Trust”), on behalf of the DIVCON Dividend Guard ETF (the “Acquired Fund”), and the Trust, on behalf of the DIVCON Dividend Defender ETF (th |
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| May 15, 2020 |
Securities Act File No. 333-235943 As filed with the Securities and Exchange Commission on May 15, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 x Pre-Effective Amendment No. ¨ Post-Effective Amendment No. 2 x REALITY SHARES ETF TRUST (Exact Name of Registrant as Specified in Charter) 402 West Broadway |
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| March 27, 2020 |
DIVY / REALITY SHARES DIVS ETF N-Q - Quarterly Schedule of Portfolio Holdings - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22911 Reality Shares ETF Trust (Exact name of registrant as specified in charter) 402 West Broadway, Suite 2800 San Diego, CA 92101 (Address of principal executive offices) (Zip code) Eric R. Erv |
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| March 27, 2020 |
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, Eric R. |
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| March 20, 2020 |
DIVY / REALITY SHARES DIVS ETF AW - - AW Reality Shares ETF Trust 402 West Broadway, Suite 2800 San Diego, California 92101 March 20, 2020 VIA EDGAR U. |
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| February 28, 2020 |
Laura E. Flores Partner +1.202.373.6101 [email protected] FILED AS EDGAR CORRESPONDENCE February 28, 2020 John Ganley Chad Eskildsen U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: Reality Shares ETF Trust (File No. 333-235943) Dear Messrs. Ganley and Eskildsen: This letter responds to comments provided with respect to the registration statement filed |
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| January 16, 2020 |
Laura E. Flores +1.202.373.6101 [email protected] January 16, 2020 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Reality Shares ETF Trust (File No. 333- ) Registration Statement on Form N-14 Ladies and Gentlemen: On behalf of our client, Reality Shares ETF Trust (the ?Trust?), we are hereby filing the Trust?s Registration Statement under |
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| January 16, 2020 |
Consent of independent registered public accountants, Cohen & Company, Ltd. EX-99.14 5 tm201880d1ex99-14.htm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS Exhibit 99.14 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-14 of our report dated December 27, 2019 relating to the financial statements and financial highlights of Reality Shares DIVCON Dividend Guard ETF and |
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| January 16, 2020 |
Exhibit 99.11 January 16, 2020 Reality Shares ETF Trust 402 West Broadway, Suite 2800 San Diego, CA 92101 Ladies and Gentlemen: We have acted as counsel to Reality Shares ETF Trust, a Delaware statutory trust (the “Trust”), on behalf of the Reality Shares DIVCON Dividend Defender ETF (the “Surviving Fund”), a separate series of the Trust, in connection with the Trust’s Registration Statement on Fo |
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| January 16, 2020 |
EX-99.13G 4 tm201880d1ex99-13g.htm EXPENSE LIMITATION AGREEMENT Exhibit 99.13G EXPENSE LIMITATION AGREEMENT EXPENSE LIMITATION AGREEMENT (the “Agreement”), effective as of March 10, 2016 by and between Reality Shares Advisors. LLC (the “Adviser”) and Reality Shares ETF Trust (the “Trust”), on behalf of each series of the Trust set forth in Schedule A attached hereto, as may be amended from time to |
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| January 16, 2020 |
Form of opinion and consent of counsel, Morgan, Lewis & Bockius LLP, regarding certain tax matters Exhibit 99.12 [●], 2020 Board of Trustees Reality Shares ETF Trust 402 West Broadway, Suite 2800 San Diego, California 92101 Re: Agreement and Plan of Reorganization, dated as of [●], 2020 (the “Agreement”), by and between (i) Reality Shares ETF Trust, a Delaware statutory trust (the “Trust”), on behalf of its series, the DIVCON Dividend Guard ETF (the “Acquired Fund”); (ii) the Trust, on behalf o |
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| January 16, 2020 |
Securities Act File No. 333- As filed with the Securities and Exchange Commission on January 16, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [X] Pre-Effective Amendment No. o Post-Effective Amendment No. o REALITY SHARES ETF TRUST (Exact Name of Registrant as Specified in Charter) 402 West Broadway, |
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| October 29, 2019 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE Arca hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on November 11, 2019, pursuant to the provisions of Rule 12d2-2 (a). |
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| September 26, 2019 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Eric R. Ervin, certify that: 1. I have reviewed this report on Form N-Q of Reality Shares 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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| September 26, 2019 |
Reality Shares Etf Trust N-Q - Quarterly Schedule of Portfolio Holdings - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22911 Reality Shares ETF Trust (Exact name of registrant as specified in charter) 402 West Broadway, Suite 2800 San Diego, CA 92101 (Address of principal executive offices) (Zip code) Eric R. Erv |
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| March 28, 2019 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 tv515736ex99-cert.htm CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Eric R. Ervin, certify that: 1. I have reviewed this report on Form N-Q of Reality Shares 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 |
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| March 28, 2019 |
Reality Shares Etf Trust N-Q (Quarterly Schedule of Portfolio Holdings) N-Q 1 tv515736nq.htm N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22911 Reality Shares ETF Trust (Exact name of registrant as specified in charter) 402 West Broadway, Suite 2800 San Diego, CA 92101 (Address of principal executive office |
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| February 12, 2019 |
Reality Shares ETF Trust 402 West Broadway, Suite 2800 San Diego, California 92101 February 12, 2019 VIA EDGAR U. |
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| October 31, 2018 |
Reality Shares Etf Trust CORRESP Laura E. Flores Partner +1.202.373.6101 [email protected] VIA EDGAR October 31, 2018 Ms. Anu Dubey U.S. Securities and Exchange Commission Division of Investment Management, Disclosure Review Office 100 F Street NE Washington, DC 20549 Re: Reality Shares ETF Trust – Post Effective Amendment No. 22 (File Nos. 333-192288 and 811-22911) Dear Ms. Dubey: This letter responds to comments conv |
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| October 31, 2018 |
Laura E. Flores +1.202.373.6101 [email protected] October 31, 2018 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Reality Shares ETF Trust (File Nos. 333-192288 and 811-22911): Filing Pursuant to Rule 485(b) Ladies and Gentlemen: On behalf of our client, Reality Shares ETF Trust (the “Trust”), we are filing, pursuant to Rule 485(b) under |
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| October 29, 2018 |
Reality Shares Etf Trust 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 Reality Shares ETF Trust - (Exact name of registrant as specified in its charter) Delaware - (State of incorporation or organization) See Below - (IRS Employer Identification No.) 402 West Broadway |
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| September 26, 2018 |
Reality Shares Etf Trust N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22911 Reality Shares ETF Trust (Exact name of registrant as specified in charter) 402 West Broadway, Suite 2800 San Diego, CA 92101 (Address of principal executive offices) (Zip code) Eric R. Erv |
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| September 26, 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, Eric R. Ervin, certify that: 1. I have reviewed this report on Form N-Q of Reality Shares 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 |
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| August 17, 2018 |
Laura E. Flores +1.202.373.6101 [email protected] August 17, 2018 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Reality Shares ETF Trust (File Nos. 333-192288 and 811-22911) Filing Pursuant to Rule 485(a) Ladies and Gentlemen: On behalf of our client, Reality Shares ETF Trust (the “Trust”), we are filing, pursuant to Rule 485(a) under th |
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| June 19, 2018 |
Reality Shares Etf Trust 8-A12B 8-A12B 1 tv4967278a12b.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 Reality Shares ETF Trust - (Exact name of registrant as specified in its charter) Delaware - (State of incorporation or organization) See Below - (IRS Employer Ide |
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| March 27, 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, Eric R. Ervin, certify that: 1. I have reviewed this report on Form N-Q of Reality Shares 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 |
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| March 27, 2018 |
Reality Shares Etf Trust N-Q (Quarterly Schedule of Portfolio Holdings) N-Q 1 tv488271nq.htm N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22911 Reality Shares ETF Trust (Exact name of registrant as specified in charter) 402 West Broadway, Suite 2800 San Diego, CA 92101 (Address of principal executive office |
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| January 16, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) or (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Reality Shares ETF Trust - (Exact name of registrant as specified in its charter) Delaware - (State of incorporation or organization) See Below - (IRS Employer Identification No.) 402 West Broadway |
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| September 21, 2017 |
Reality Shares Etf Trust - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22911 Reality Shares ETF Trust (Exact name of registrant as specified in charter) 402 West Broadway, Suite 2800 San Diego, CA 92101 (Address of principal executive offices) (Zip code) Eric R. Erv |
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| September 21, 2017 |
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, Eric R. Ervin, certify that: 1. I have reviewed this report on Form N-Q of Reality Shares 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 |
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| March 16, 2017 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 v461262ex99-cert.htm CERTIFICATIONS Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Eric R. Ervin, certify that: 1. I have reviewed this report on Form N-Q of Reality Shares 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 ne |
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| March 16, 2017 |
Reality Shares Etf Trust - QUARTERLY REPORT 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 811-22911 Reality Shares ETF Trust (Exact name of registrant as specified in charter) 402 West Broadway, Suite 2800 San Diego, CA 92101 (Address of principal executive offices) (Zip code) Eric R. Erv |
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| September 21, 2016 |
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, Eric R. Ervin, certify that: 1. I have reviewed this report on Form N-Q of Reality Shares 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 |
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| September 21, 2016 |
Reality Shares Etf Trust - N-Q N-Q 1 v448381nq.htm N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22911 Reality Shares ETF Trust (Exact name of registrant as specified in charter) 402 West Broadway, Suite 2800 San Diego, CA 92101 (Address of principal executive offices |
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| April 8, 2016 |
Reality Shares ETF Trust 402 West Broadway, Suite 2800 San Diego, CA 92101 Reality Shares ETF Trust 402 West Broadway, Suite 2800 San Diego, CA 92101 FILED AS EDGAR CORRESPONDENCE April 8, 2016 Chad Eskilden U. |
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| March 21, 2016 |
Reality Shares Etf Trust - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22911 Reality Shares ETF Trust (Exact name of registrant as specified in charter) 402 West Broadway, Suite 2800 San Diego, CA 92101 (Address of principal executive offices) (Zip code) Eric R. Erv |
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| March 21, 2016 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 v433468ex99-cert.htm CERTIFICATIONS Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Eric R. Ervin, certify that: 1. I have reviewed this report on Form N-Q of Reality Shares 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 ne |
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| February 26, 2016 |
Morgan, Lewis & Bockius LLP 1701 Market Street Philadelphia, PA 19103-2921 Tel. +1.215.963.5000 Fax: +1.215.963.5001 www.morganlewis.com David W. Freese Associate +1.215.963.5862 [email protected] FILED AS EDGAR CORRESPONDENCE February 26, 2016 Amy Miller, Esq. U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: Reality Shares ETF Trust 485(a) Filing (File Nos |
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| January 11, 2016 |
Reality Shares ETF Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| January 4, 2016 |
Reality Shares ETF Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| December 30, 2015 |
Transmittal Letter Morgan, Lewis & Bockius LLP 1701 Market Street Philadelphia, PA 19103-2921 Tel. |
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| December 10, 2015 |
Morgan, Lewis & Bockius LLP 1701 Market Street Philadelphia, PA 19103-2921 Tel. +1.215.963.5000 Fax: +1.215.963.5001 www.morganlewis.com David W. Freese Associate +1.215.963.5862 [email protected] FILED AS EDGAR CORRESPONDENCE December 10, 2015 Amy Miller, Esq. U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: Reality Shares ETF Trust 485(a) Filing (File Nos |
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| December 10, 2015 |
Letter of Transmittal Morgan, Lewis & Bockius LLP 2020 K Street, NW Washington, DC 20006 Tel. |
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| September 22, 2015 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certifications Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Eric R. |
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| September 22, 2015 |
Reality Shares Etf Trust - REALITY SHARES ETF TRUST N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22911 Reality Shares ETF Trust (Exact name of registrant as specified in charter) 402 West Broadway, Suite 2800 San Diego, CA 92101 (Address of principal executive offices) (Zip code) Eric R. Erv |
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| September 2, 2015 |
Letter of Transmittal Morgan, Lewis & Bockius LLP 1701 Market Street Philadelphia, PA 19103-2921 Tel. |
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| March 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, Eric Ervin, certify that: 1. |
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| March 23, 2015 |
Reality Shares Etf Trust - REALITY SHARES ETF TRUST N-Q 1 d888586dnq.htm REALITY SHARES ETF TRUST UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22911 Reality Shares ETF Trust (Exact name of registrant as specified in charter) 402 West Broadway, Suite 2800 San Diego, CA 92101 (Address of princ |
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| December 11, 2014 |
Reality Shares Etf Trust 8-A12B - - REALITY SHARES ETF TRUST 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 Reality Shares ETF Trust - (Exact name of registrant as specified in its charter) Delaware - (State of incorporation or organization) See Below - (IRS Employer Identification No.) 402 West Broadway |
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| November 20, 2014 |
Reality Shares Etf Trust CORRESP - - Reality Shares ETF Trust Acceleration Request Reality Shares ETF Trust 402 West Broadway, Suite 2800 San Diego, CA 92101 November 20, 2014 VIA EDGAR U. |
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| November 12, 2014 |
Opinion and Consent of Morgan Lewis & Bockius LLP Morgan, Lewis & Bockius LLP Morgan Lewis 1701 Market Street COUNSELORS AT LAW Philadelphia, PA 19103-2921 Tel: 215. |
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| November 12, 2014 |
Reality Shares Etf Trust N-1A/A - - REALITY SHARES ETF TRUST Reality Shares ETF Trust AS FILED WITH THE U.S. SECURITIES AND EXCHANGE COMMISSION ON NOVEMBER 12, 2014 File No. 333-192288 File No. 811-22911 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. 4 /X/ AND REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 /X/ AMENDMENT NO. 4 /X |
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| November 12, 2014 |
FORM OF AMENDED AND RESTATED SCHEDULE A LIST OF PORTFOLIOS EX-99.28(A)(4) 2 d623143dex9928a4.htm FORM OF AMENDED AND RESTATED SCHEDULE A TO REGISTRANTS AGREEMENT & DECLARATION FORM OF AMENDED AND RESTATED SCHEDULE A LIST OF PORTFOLIOS Reality Shares NASDAQ-100 DIVS Index ETF Reality Shares DIVS Index ETF Reality Shares DIVS ETF A-1 |
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| November 12, 2014 |
FORM OF AMENDED AND RESTATED APPENDIX A LIST OF PORTFOLIOS EX-99.28(E)(2) 3 d623143dex9928e2.htm FORM OF AMENDED AND RESTATED APPENDIX A FORM OF AMENDED AND RESTATED APPENDIX A LIST OF PORTFOLIOS Reality Shares NASDAQ-100 DIVS Index ETF Reality Shares DIVS Index ETF Reality Shares DIVS ETF A-1 |
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| November 12, 2014 |
Initial Capital Agreement INITIAL CAPITAL AGREEMENT Reality Shares ETF Trust (the “Trust”), a Delaware statutory trust, and Reality Shares, Inc. |
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| November 12, 2014 |
Reality Shares Etf Trust COVER - - SEC Transmittal Letter Morgan, Lewis & Bockius LLP 101 Park Avenue New York, NY 10178-0060 Tel. |
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| November 12, 2014 |
Consent of Independent Registered Public Accounting Firm Consent of Ernst & Young LLP Consent of Independent Registered Public Accounting Firm We consent to the reference to our firm under the caption “Independent Registered Public Accounting Firm” and to the use of our report dated November 5, 2014, with respect to the October 22, 2014 statement of assets and liabilities of Reality Shares DIVS ETF in the Registration Statement (Form N-1A) (Pre-Effective Amendment No. |
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| November 12, 2014 |
Reality Shares Etf Trust CORRESP - - Response Letter Morgan, Lewis & Bockius LLP 101 Park Avenue New York, NY 10178-0060 Tel. |
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| July 3, 2014 |
Exhibit 28(h)(3) TRANSFER AGENCY AND SERVICE AGREEMENT AGREEMENT made as of this 21st day of January, 2014, by and between Reality Shares ETF Trust, a Delaware statutory trust having its principal office and place of business at 402 West Broadway, Suite 2800, San Diego, CA 92101 (the “Trust”), on behalf of each Series of the Trust listed on Appendix I hereto (as such Appendix be amended from time to time), and THE BANK OF NEW YORK MELLON, a New York banking company having its principal office and place of business at One Wall Street, New York, New York 10286 (the “Bank”). |
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| July 3, 2014 |
AMENDMENT TO FUND ADMINISTRATION AND ACCOUNTING AGREEMENT Amendment to the Administration Agreement Exhibit 28(h)(2) AMENDMENT TO FUND ADMINISTRATION AND ACCOUNTING AGREEMENT This Amendment, dated as of May 30, 2014. |
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| July 3, 2014 |
Administration Agreement Exhibit 28(h)(1) FUND ADMINISTRATION AND ACCOUNTING AGREEMENT AGREEMENT made as of this 21st day of January, 2014, by and between each entity listed on Exhibit A hereto (each a “Fund”, collectively the “Funds”), and The Bank of New York Mellon, a New York banking organization (“BNY”). |
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| July 3, 2014 |
AMENDMENT TO TRANSFER AGENCY AND SERVICE AGREEMENT Exhibit 28(h)(4) AMENDMENT TO TRANSFER AGENCY AND SERVICE AGREEMENT This Amendment, dated as of May 30, 2014. |
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| July 3, 2014 |
Investment Advisory Agreement Exhibit 28(d)(1) EXECUTION COPY ADVISORY AGREEMENT ADVISORY AGREEMENT (the “Agreement”) made as of this 9th day of January, 2014 by and between REALITY SHARES 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 REALITY SHARES ADVISORS, LLC, a Delaware limited liability company with its principal place of business at 402 West Broadway, Suite 2800 San Diego, CA 92101 (the “Adviser”). |
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| July 3, 2014 |
DIVY / REALITY SHARES DIVS ETF CORRESP - - CORRESP 1 filename1.htm Morgan, Lewis & Bockius LLP 101 Park Avenue New York, NY 10178-0060 Tel. 212.309.6000 Fax: 212.309.6001 www.morganlewis.com Richard F. Morris Partner 212.309.6650 [email protected] July 3, 2014 VIA EDGAR Amy W. Miller Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D.C. 20549-6010 Re: Reality Shares ETF Trust, F |
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| July 3, 2014 |
AMENDMENT TO CUSTODY AGREEMENT EX-99.28(G)(2) 6 d623143dex9928g2.htm AMENDMENT TO THE CUSTODY AGREEMENT Exhibit 28(g)(2) AMENDMENT TO CUSTODY AGREEMENT This Amendment, dated as of May 30, 2014, between Reality Shares ETF Trust, (the “Trust”), each Fund listed on Schedule II of the Custody Agreement dated January 21, 2014, (the “Fund”) severally and not jointly, and The Bank of New York Mellon (the “Custodian”), who are parties |
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| July 3, 2014 |
EX-99.28(G)(1) 5 d623143dex9928g1.htm CUSTODY AGREEMENT Exhibit 28(g)(1) CUSTODY AGREEMENT AGREEMENT, dated as of this 21st day of January, 2014 between Reality Shares ETF Trust, a Delaware statutory trust, having its principal office and place of business at 402 West Broadway, Suite 2800, San Diego, CA 92101 (the “Trust”) and The Bank of New York Mellon, a New York corporation authorized to do a |
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| July 3, 2014 |
QQDV / Reality Shares NASDAQ-100 DIVS Index ETF COVER - - SEC TRANSMITTAL LETTER Morgan, Lewis & Bockius LLP 101 Park Avenue New York, NY 10178-0060 Tel. |
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| July 3, 2014 |
QQDV / Reality Shares NASDAQ-100 DIVS Index ETF N-1A/A - - REALITY SHARES ETF TRUST Reality Shares ETF Trust AS FILED WITH THE U.S. SECURITIES AND EXCHANGE COMMISSION ON July 3, 2014 File No. 333-192288 File No. 811-22911 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. 3 /X/ AND REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 /X/ AMENDMENT NO. 3 /X/ REA |
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| July 3, 2014 |
EX-99.28(A)(2) 2 d623143dex9928a2.htm CERTIFICATE OF AMENDMENT TO CERTIFICATE OF TRUST OF THE REGISTRANT Exhibit 28(a)(2) STATE OF DELAWARE CERTIFICATE OF AMENDMENT TO CERTIFICATE OF TRUST Pursuant to Title 12, Section 3810(b) of the Delaware Statutory Trust Act, the undersigned Trust executed the following Certificate of Amendment: 1. Name of Statutory Trust: ERNY Financial ETF Trust 2. The Certi |
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| July 3, 2014 |
Amendment and Restated Schedule A to the Investment Advisory Agreement Exhibit 28(d)(2) AMENDED AND RESTATED SCHEDULE A dated June 30, 2014 to the ADVISORY AGREEMENT dated January 9, 2014 between REALITY SHARES ETF TRUST and REALITY SHARES ADVISORS, LLC The Trust will pay to the Adviser as compensation for the Adviser’s services rendered, a fee, computed daily at an annual rate based on the average daily net assets of the respective Fund in accordance the following fee schedule: Fund Rate Reality Shares NASDAQ-100 DIVS Index ETF 0. |
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| May 1, 2014 |
AS FILED WITH THE U.S. SECURITIES AND EXCHANGE COMMISSION ON MAY 1, 2014 File No. 333-192288 File No. 811-22911 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. 2 AND /X/ REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 /X/ AMENDMENT NO. 2 /X/ REALITY SHARES ETF TRUST (Exa |
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| May 1, 2014 |
COVER 6 filename6.htm Morgan, Lewis & Bockius LLP 101 Park Avenue New York, NY 10178-0060 Tel. 212.309.6000 Fax: 212.309.6001 www.morganlewis.com Richard F. Morris Partner 212.309.6650 [email protected] May 1, 2014 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Reality Shares ETF Trust: Pre-Effective Amendment No. 2 to Registration Stat |
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| May 1, 2014 |
REALITY SHARES ETF TRUST POWER OF ATTORNEY Power of Attorney For Michael Rosen REALITY SHARES ETF TRUST POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that the undersigned trustee and/or officer of the above referenced trust (the “Trust”), a statutory trust organized under the laws of the State of Delaware, hereby constitutes and appoints Eric Ervin and Tom Trivella, and each of them singly, his true and lawful attorney-in-fact and |
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| May 1, 2014 |
Morgan, Lewis & Bockius LLP 101 Park Avenue New York, NY 10178-0060 Tel. 212.309.6000 Fax: 212.309.6001 www.morganlewis.com Richard F. Morris Partner 212.309.6650 [email protected] May 1, 2014 VIA EDGAR Amy W. Miller Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D.C. 20549-6010 Re: Reality Shares ETF Trust, File Nos. 333-192288 and 8 |
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| February 7, 2014 |
FORM OF ADVISORY AGREEMENT ADVISORY AGREEMENT (the “Agreement”) made as of this day of , 20 by and between REALITY SHARES 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 REALITY SHARES ADVISORS, LLC, a Delaware limited liability company with its principal place of business at 402 West Broadway, Suite 2800 San Diego, CA 92101 (the “Adviser”). |
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| February 7, 2014 |
FORM OF FUND ADMINISTRATION AND ACCOUNTING AGREEMENT EX-99.28(H)(1) 6 d623143dex9928h1.htm FORM OF ADMINISTRATION AGREEMENT BET THE REGISTRANT AND THE BANK OF NEW YORK MEL FORM OF FUND ADMINISTRATION AND ACCOUNTING AGREEMENT AGREEMENT made as of , by and between each entity listed on Exhibit A hereto (each a “Fund”, collectively the “Funds”), and The Bank of New York Mellon, a New York banking organization (“BNY”). W I T N E S S E T H : WHEREAS, eac |
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| February 7, 2014 |
REALITY SHARES ETF TRUST (the “Trust”) CODE OF ETHICS EX-99.28(P)(1) 10 d623143dex9928p1.htm CODE OF ETHICS FOR THE REGISTRANT REALITY SHARES ETF TRUST (the “Trust”) CODE OF ETHICS I. PURPOSE OF THE CODE OF ETHICS This code is based on the principle that, you as an access person of the Trust, will conduct your personal investment activities in accordance with: • the duty at all times to place the interests of each Investment Company’s shareholders fi |
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| February 7, 2014 |
FORM OF TRANSFER AGENCY AND SERVICE AGREEMENT EX-99.28(H)(2) 7 d623143dex9928h2.htm FORM OF TRANSFER AGENCY AGREEMENT BET THE REGISTRANT &THE BANK OF N.Y. MELLON FORM OF TRANSFER AGENCY AND SERVICE AGREEMENT AGREEMENT made as of the day of , 2013, by and between Reality Shares ETF Trust, a Delaware statutory trust having its principal office and place of business at 402 West Broadway, Suite 2800, San Diego, CA 92101 (the “Trust”), on behalf o |
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| February 7, 2014 |
FORM OF INITIAL CAPITAL AGREEMENT EX-99.28(L) 9 d623143dex9928l.htm FORM OF INITIAL CAPITAL AGREEMENT FORM OF INITIAL CAPITAL AGREEMENT Reality Shares ETF Trust (the “Trust”), a Delaware statutory trust, and [insert purchaser] (“[ ]”), a [insert organizational form], hereby agree as of [insert date], as follows: 1. In order to provide the Trust with the initial capital required pursuant to Section 14 of the Investment Company Act |
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| February 7, 2014 |
Code of Ethics for the Adviser REALITY SHARES ADVISORS, LLC CODE OF ETHICS DATED: December 12, 2013 This Code of Ethics (the “Code”) is based on the principle that Reality Shares Advisors, LLC (“RSA” or the “Firm”) and all its officers, directors and employees have a fiduciary duty to place the interest of clients ahead of their own. |
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| February 7, 2014 |
REALITY SHARES ETF TRUST POWER OF ATTORNEY POWER OF ATTORNEY REALITY SHARES ETF TRUST POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that the undersigned trustee and/or officer of the above referenced trust (the “Trust”), a statutory trust organized under the laws of the State of Delaware, hereby constitutes and appoints Eric Ervin and Tom Trivella, and each of them singly, his true and lawful attorney-in-fact and agent with full po |
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| February 7, 2014 |
Code of Ethics for ALPS Distributors, Inc. XXVII. Code of Ethics A. Policy Statement & Background ADI applies the following Code of Ethics administration procedures and controls to ensure that ADI: • Properly administers the Code of Ethics as required by Rule17j-1 of the Investment Company Act of 1940; • Obtains the reports required for Access Persons under the Code of Ethics as required by Rule 1 |
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| February 7, 2014 |
FORM OF DISTRIBUTION AGREEMENT Form of Distribution Agreement between the Registrant and ALPS Distributors, Inc FORM OF DISTRIBUTION AGREEMENT THIS AGREEMENT is made as of , 2013, between Reality Shares ETF Trust, a statutory trust organized pursuant to the laws of Delaware (the “Fund”), and ALPS Distributors, Inc. |
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| February 7, 2014 |
AS FILED WITH THE U.S. SECURITIES AND EXCHANGE COMMISSION ON FEBRUARY 6, 2014 File No. 333-192288 File No. 811-22911 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 AND /X/ REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 /X/ AMENDMENT NO. 1 /X/ REALITY SHARES ETF TRUST |
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| February 7, 2014 |
SEC TRANSMITTAL LETTER Morgan, Lewis & Bockius LLP 101 Park Avenue New York, NY 10178-0060 Tel. |
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| February 7, 2014 |
FORM OF AUTHORIZED PARTICIPANT AGREEMENT REALITY SHARES ETF TRUST Form of Authorized Participation Agreement FORM OF AUTHORIZED PARTICIPANT AGREEMENT FOR REALITY SHARES ETF TRUST This Authorized Participant Agreement (this “Agreement”) is entered into by and between ALPS Distributors, Inc. |
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| February 7, 2014 |
Form of Custodian Agreement bet the Registrant and The Bank of New York Mellon FORM OF CUSTODY AGREEMENT AGREEMENT, dated as of , 2013 between Reality Shares ETF Trust, a Delaware statutory trust, having its principal office and place of business at 402 West Broadway, Suite 2800, San Diego, CA 92101 (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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| February 7, 2014 |
12 Duties of Chief Compliance Officer EX-99.28(H)(3) 8 d623143dex9928h3.htm FORM OF CHIEF COMPLIANCE OFFICER SERVICES AGMNT BET THE REGISTRANT & ALPS FUNDS FORM OF CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT (this “Agreement) dated , between REALITY SHARES ETF TRUST, a Delaware statutory trust (the “Trust”), and ALPS FUND SERVICES, INC. (“ALPS”), a Colorado corporation. The “Effective Date” of this Agreement is , . In a joint effort b |
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| February 6, 2014 |
Reality Shares ETF Trust Morgan, Lewis & Bockius LLP 101 Park Avenue New York, NY 10178-0060 Tel. |
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| November 12, 2013 |
Cover Letter Morgan, Lewis & Bockius LLP 101 Park Avenue New York, NY 10178-0060 Tel. |
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| November 12, 2013 |
Registrant's Amended and Restated By-Laws. AMENDED AND RESTATED BY-LAWS OF REALITY SHARES ETF TRUST ARTICLE 1 Agreement and Declaration of Trust and Offices 1.1. AGREEMENT AND DECLARATION OF TRUST. These By-Laws shall be subject to the Agreement and Declaration of Trust, as from time to time in effect (the “Declaration of Trust”), of Reality Shares ETF Trust (the “Trust”), the Delaware statutory t |
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| November 12, 2013 |
Registrant's Amended & Restated Agreement and Declaration of Trust. AGREEMENT AND DECLARATION OF TRUST OF REALITY SHARES ETF TRUST WHEREAS, THIS AGREEMENT AND DECLARATION OF TRUST is made and entered into as of the date set forth below by the Trustees named hereunder for the purpose of forming a Delaware statutory trust in accordance with the provisions hereinafter set forth, to be effective upon |
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| November 12, 2013 |
EX-99.28(A)(1) 2 d623143dex9928a1.htm REGISTRANT'S CERTIFICATE OF TRUST. State of Delaware Certificate of Trust This Certificate of Trust of ERNY Financial ETF Trust, a statutory trust (the “Trust”), executed by the undersigned trustee, and filed under and in accordance with the provisions of the Delaware Statutory Trust Act (Title 12 of the Delaware Code, Section 3801 et seq.) (the “Act”), sets f |
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| November 12, 2013 |
Reality Shares ETF Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 12, 2013 |
AS FILED WITH THE U.S. SECURITIES AND EXCHANGE COMMISSION ON NOVEMBER 12, 2013 File No. 033- File No. 811-22911 U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 x POST-EFFECTIVE AMENDMENT NO. ¨ AND REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 x AMENDMENT NO. ¨ REALITY SHARES ETF TRUST (Exact Name of |
