Statistik Asas
| LEI | 549300GRT204D6PN7T64 |
| CIK | 1604813 |
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 TrimTabs ETF Trust - FCF US Quality ETF
SEC Filings (Chronological Order)
Halaman ini menyediakan senarai kronologi lengkap bagi Pemfailan SEC, tidak termasuk pemfailan pemilikan yang kami sediakan di tempat lain.
| June 4, 2025 |
2005 Market Street Suite 2600 Philadelphia, PA 19103 T: 215.564.8000 Joel Corriero Partner [email protected] 215.564.8528 June 4, 2025 Via EDGAR Transmission Daniel Greenspan Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Abacus FCF ETF Trust (the “Trust”) File Nos. 333-198603 and 811-22995 Dear Mr. Greenspan: I am writi |
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| February 18, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Abacus FCF ETF Trust (Exact name of registrant as specified in its charter) Delaware (State of incorporation or organization) See Below (I.R.S. Employer Identification Number) 2101 Park Center Driv |
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| February 18, 2025 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103 Telephone 215. |
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| February 7, 2025 |
CORRESP 1 filename1.htm Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103 Telephone 215.564.8000 Fax 215.564.8120 www.stradley.com Joel D. Corriero Partner [email protected] 215.564.8528 February 7, 2025 Via EDGAR Transmission Daniel Greenspan Senior Counsel Ken Ellington Staff Accountant U.S. Securities and Exchange Commission Division of Investment Ma |
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| September 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confide |
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| September 12, 2024 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103 Telephone 215. |
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| August 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confide |
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| March 29, 2024 |
March 29, 2024 VIA EDGAR TRANSMISSION U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, DC 20549 Re: TrimTabs ETF Trust (the “Registrant”) File Nos. 811-22995; 333-198603 Dear Sir or Madam: Pursuant to Rule 477 under the Securities Act of 1933 (the “1933 Act”), the Registrant respectfully requests the withdrawal of: (a) the post-effective amendm |
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| November 29, 2022 |
TrimTabs ETF Trust 1345 Avenue of the Americas 2nd Floor New York, NY 10105 AW 1 trimtabsetftrustformawnove.htm AW TrimTabs ETF Trust 1345 Avenue of the Americas 2nd Floor New York, NY 10105 November 29, 2022 Filed Via EDGAR (CIK 0001604813) Filing Desk U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 RE: TrimTabs ETF Trust (“Registrant”) File Nos. 333-198603 and 811-22995 Dear Sir or Madam: I am writing on behalf of the above-referenced R |
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| June 29, 2022 |
FCF International Quality ETF Schedule of Investments April 30, 2022 (Unaudited) Shares Value COMMON STOCKS - 96. |
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| June 29, 2022 |
FCF US Quality ETF Schedule of Investments April 30, 2022 (Unaudited) Shares Value COMMON STOCKS - 96. |
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| June 29, 2022 |
Donoghue Forlines Yield Enhanced Real Asset ETF Schedule of Investments April 30, 2022 (Unaudited) Shares Value COMMON STOCKS - 69. |
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| June 29, 2022 |
Donoghue Forlines Tactical High Yield ETF Schedule of Investments April 30, 2022 (Unaudited) Shares Value EXCHANGE-TRADED FUNDS - 99. |
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| June 29, 2022 |
Donoghue Forlines Risk Managed Innovation ETF Schedule of Investments April 30, 2022 (Unaudited) Shares Value COMMON STOCKS - 99. |
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| December 30, 2021 |
Donoghue Forlines Tactical High Yield ETF (formerly, TrimTabs Donoghue Forlines Tactical High Yield ETF) Schedule of Investments October 31, 2021 (Unaudited) Shares Value EXCHANGE-TRADED FUNDS - 99. |
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| December 30, 2021 |
FCF International Quality ETF (formerly, TrimTabs International Free Cash Flow Quality ETF) Schedule of Investments October 31, 2021 (Unaudited) Shares Value COMMON STOCKS - 97. |
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| December 30, 2021 |
Donoghue Forlines Risk Managed Innovation ETF (formerly, TrimTabs Donoghue Forlines Risk Managed Innovation ETF) Schedule of Investments October 31, 2021 (Unaudited) Shares Value COMMON STOCKS - 99. |
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| December 30, 2021 |
FCF US Quality ETF (formerly, TrimTabs U.S. Free Cash Flow Quality ETF) Schedule of Investments October 31, 2021 (Unaudited) Shares Value COMMON STOCKS - 97.2% Communications - 3.6% Alphabet, Inc. - Class A (a) 1,253 $ 3,710,033 Interpublic Group of Cos., Inc. 42,496 1,554,079 Omnicom Group, Inc. (d) 12,000 816,960 Sirius XM Holdings, Inc. (d) 86,644 527,662 World Wrestling Entertainment, Inc. - C |
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| November 24, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 TrimTabs ETF Trust (Exact name of registrant as specified in its Trust Instrument) Delaware See Below (State of incorporation or organization) (I.R.S. Employer Identification No.) 1345 Avenue of th |
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| June 29, 2021 |
TrimTabs International Free Cash Flow Quality ETF Schedule of Investments April 30, 2021 (Unaudited) Shares Value COMMON STOCKS - 94. |
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| June 29, 2021 |
TrimTabs Donoghue Forlines Risk Managed Innovation ETF Schedule of Investments April 30, 2021 (Unaudited) Shares Value COMMON STOCKS - 99. |
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| June 29, 2021 |
TrimTabs U.S. Free Cash Flow Quality ETF Schedule of Investments April 30, 2021 (Unaudited) Shares Value COMMON STOCKS - 97.7% Communications - 4.4% Alphabet, Inc. - Class A (a) 1,113 $ 2,619,446 AMC Networks, Inc. - Class A (a) 5,225 262,713 Electronic Arts, Inc. 8,712 1,237,801 Match Group, Inc. (a) 9,180 1,428,683 Sirius XM Holdings, Inc. 93,211 568,587 Take-Two Interactive Software, Inc. (a) 5 |
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| June 29, 2021 |
TrimTabs Donoghue Forlines Tactical High Yield ETF Schedule of Investments April 30, 2021 (Unaudited) Shares Value EXCHANGE-TRADED FUNDS - 100. |
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| May 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| December 15, 2020 |
TrimTabs U.S. Free Cash Flow Quality ETF (formerly, TrimTabs All Cap U.S. Free-Cash-Flow ETF) Schedule of Investments October 31, 2020 (Unaudited) Shares Value COMMON STOCKS - 99.9% Communications - 5.9% Activision Blizzard, Inc. 13,620 $ 1,031,443 Alphabet, Inc. - Class A (a) 1,211 1,957,109 Facebook, Inc. - Class A (a) 12,750 3,354,653 The Walt Disney Co. 15,878 1,925,207 Zillow Group, Inc. - Cl |
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| December 15, 2020 |
TrimTabs All Cap International Free-Cash-Flow ETF (formerly, TrimTabs All Cap International Free-Cash-Flow ETF) Schedule of Investments October 31, 2020 (Unaudited) Shares Value COMMON STOCKS - 96. |
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| November 16, 2020 |
8-A12B 1 trimtabsnewfundsform8-a.htm 8-A12B As filed with the Securities and Exchange Commission on November 16, 2020 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 TrimTabs ETF Trust (Exact name of registrant as specified in its Trust Instrume |
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| November 10, 2020 |
Stradley Ronon Stevens & Young, LLP 2005 Market Street, Suite 2600 Philadelphia, PA 19103 Telephone 215. |
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| August 14, 2020 |
Stradley Ronon Stevens & Young, LLP Suite 2600 2005 Market Street Philadelphia, PA 19103-7018 Telephone 215. |
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| June 25, 2020 |
TrimTabs All Cap U.S. Free-Cash-Flow ETF Schedule of Investments April 30, 2020 (Unaudited) Shares Value COMMON STOCKS - 94.8% Communication Services - 5.5% Alphabet, Inc. - Class A (a) 1,477 $ 1,989,076 AT&T, Inc. 28,139 857,395 Facebook, Inc. - Class A (a) 8,475 1,734,917 The Walt Disney Co. 7,656 827,997 5,409,385 Consumer Discretionary - 13.7% Alibaba Group Holding Ltd. - ADR (a) 8,888 1,801,3 |
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| June 25, 2020 |
TrimTabs All Cap International Free-Cash-Flow ETF Schedule of Investments April 30, 2020 (Unaudited) Shares Value COMMON STOCKS - 91. |
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| December 26, 2019 |
I, Janet F. Johnston, certify that: CERTIFICATION I, Janet F. Johnston, certify that: 1. I have reviewed this report on Form N-Q of TrimTabs ETF Trust; 1. 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 covere |
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| December 26, 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: 811-22995 TrimTabs ETF Trust (Exact name of registrant as specified in charter) 1345 Avenue of the Americas 2nd fl New York, NY 10105 (Address of principal executive offices) (Zip code) Derin Cohen |
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| June 21, 2019 |
N-Q 1 tt-etfnq.htm QUARTERLY NOTICE 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: 811-22995 TrimTabs ETF Trust (Exact name of registrant as specified in charter) 1345 Avenue of the Americas 2nd fl New York, NY 10105 (Addre |
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| June 21, 2019 |
I, Theodore M. Theodore, certify that: EX-99.CERT 2 certs.htm OFFICER CERTIFICATIONS Exhibit 99.CERT CERTIFICATION I, Theodore M. Theodore, certify that: 1. I have reviewed this report on Form N-Q of TrimTabs ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such state |
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| March 27, 2019 |
Trimtabs Etf Trust AMENDMENT WITHDRAWAL REQUEST AW 1 ttaw.htm AMENDMENT WITHDRAWAL REQUEST TrimTabs ETF Trust c/o U.S. Bank Global Fund Services 615 E. Michigan St. Milwaukee, WI 53202 March 27, 2019 VIA EDGAR TRANSMISSION U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: TrimTabs ETF Trust (the “Trust”) File Nos. 333-198603 and 811-22995 Request for Withdrawal of Post-Effective A |
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| December 14, 2018 |
I, Theodore M. Theodore, certify that: Exhibit 99.CERT CERTIFICATION I, Theodore M. Theodore, certify that: 1. I have reviewed this report on Form N-Q of TrimTabs ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect t |
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| December 14, 2018 |
Trimtabs Etf Trust QUARTERLY NOTICE OF PORTFOLIO HOLDINGS (Quarterly Schedule of Portfolio Holdings) N-Q 1 ttetnq.htm QUARTERLY NOTICE 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: 811-22995 TrimTabs ETF Trust (Exact name of registrant as specified in charter) 1345 Avenue of the Americas 2nd fl New York, NY 10105 (Address |
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| June 6, 2018 |
Trimtabs Etf Trust QUARTERLY NOTICE OF PORTFOLIO HOLDINGS (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: 811-22995 TrimTabs ETF Trust (Exact name of registrant as specified in charter) 1345 Avenue of the Americas 2nd fl New York, NY 10105 (Address of principal executive offices) (Zip code) Jeff Lazar 1 |
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| June 6, 2018 |
I, Theodore M. Theodore, certify that: Exhibit 99.CERT CERTIFICATION I, Theodore M. Theodore, certify that: 1. I have reviewed this report on Form N-Q of TrimTabs ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect t |
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| December 14, 2017 |
I, Theodore M. Theodore, certify that: CERTIFICATION I, Theodore M. Theodore, certify that: 1. I have reviewed this report on Form N-Q of TrimTabs ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period cov |
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| December 14, 2017 |
Trimtabs Etf Trust - QUARTERLY NOTICE 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: 811-22995 TrimTabs ETF Trust (Exact name of registrant as specified in charter) 1345 Avenue of the Americas 2nd fl New York, NY 10105 (Address of principal executive offices) (Zip code) Jeff Lazar 1 |
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| September 27, 2017 |
EX-99.77B ACCT LTTR 2 trimtabsn-sar73117.htm EX-99.77B ACCT LTTR REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Trustees of TrimTabs ETF Trust and the Shareholders of TrimTabs Float Shrink ETF and TrimTabs All Cap International Free-Cash-Flow ETF In planning and performing our audits of the financial statements of TrimTabs Float Shrink ETF and TrimTabs All Cap Internationa |
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| June 21, 2017 |
8-A12B 1 trimtabs-cshflw8a12b.htm NOTIFICATION OF REGISTRATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 TrimTabs ETF Trust (Exact name of registrant as specified in its charter) Delaware See Below (State of incorporation or organization) |
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| June 8, 2017 |
Trimtabs Etf Trust - QUARTERLY NOTICE 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: 811-22995 TrimTabs ETF Trust (Exact name of registrant as specified in charter) 1345 Avenue of the Americas 2nd fl New York, NY 10105 (Address of principal executive offices) (Zip code) Jeff Lazar 1 |
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| June 8, 2017 |
I, Theodore M. Theodore, certify that: CERTIFICATION I, Theodore M. Theodore, certify that: 1. I have reviewed this report on Form N-Q of TrimTabs ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period cov |
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| December 21, 2016 |
N-Q 1 s104986nq.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: 811-22995 TrimTabs ETF Trust (Exact name of registrant as specified in charter) 1345 Avenue of the Americas 2nd fl New York, NY 10105 (Address of principal executive offices) |
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| December 21, 2016 |
I, Charles Biderman, certify that: EX-99 2 s104986ex99-cert.htm EXHIBIT 99 CERT Exhibit 99.CERT CERTIFICATION I, Charles Biderman, certify that: 1. I have reviewed this report on Form N-Q of TrimTabs ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements |
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| November 7, 2016 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The NYSE Archipelago Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on November 18, 2016, pursuant to the provisions of Rule 12d2-2 (a). |
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| September 23, 2016 |
8-A12B 1 v4492858a12b.htm FORM 8-A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 TrimTabs ETF Trust (Exact name of registrant as specified in its charter) Delaware See Below (State of incorporation or organization) (I.R.S. Employer Identificat |
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| September 20, 2016 |
K&L Gates LLP 1601 K Street, N.W. Washington, DC 20006 T +1 202 778 9000 F +1 202 778 9100 klgates.com September 20, 2016 VIA EDGAR Dominic Minore Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: TrimTabs ETF Trust: TrimTabs Float Shrink ETF (File Nos. 333-198603 and 811-22995) Dear Mr. Minore: On June 14, 2016, TrimTabs ETF Trus |
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| August 15, 2016 |
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 811-22995 TrimTabs ETF Trust (Exact name of registrant as specified in charter) 1345 Avenue of the Americas 2nd fl New York, NY 10105 (Address of principal executive offices) (Zip code) Stellar Corpo |
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| August 15, 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, Charles Biderman, certify that: 1. |
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| June 14, 2016 |
K&L Gates LLP 1601 K Street, N.W. Washington, DC 20006 T +1 202 778 9000 F +1 202 778 9100 klgates.com June 14, 2016 EDGAR FILING U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: TrimTabs ETF Trust File Nos. 333-198603 and 811-22995 Post-Effective Amendment No. 4 Ladies and Gentlemen: Pursuant to Section 8(c) of the Securities Act of 1933, as amended (the “Secu |
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| February 23, 2016 |
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 811-22995 TRIMTABS ETF TRUST (Exact name of registrant as specified in charter) 1350 Avenue of the Americas Suite 248 New York, NY 10019 (Address of principal executive offices) (Zip code) Stellar Co |
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| February 23, 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, Charles Biderman, certify that: 1. I have reviewed this report on Form N-Q of TRIMTABS 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 |
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| August 25, 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 811-22995 TRIMTABS ETF TRUST (Exact name of registrant as specified in charter) 3 Harbor Way Suite 112 Sausalito, CA 94965 (Address of principal executive offices) (Zip code) Stellar Corporate Servic |
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| August 25, 2015 |
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, Charles Biderman, certify that: 1. I have reviewed this report on Form N-Q of TRIMTABS 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 |
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| May 28, 2015 |
8-A12B 1 v4118928a12b.htm 8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 TrimTabs ETF Trust (Exact name of registrant as specified in its charter) Delaware See Below (State of incorporation or organization) (I.R.S. Employer Identificatio |
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| December 16, 2014 |
Trimtabs Etf Trust N-1A/A - - N-1A/A N-1A/A 1 v396453n1aa.htm N-1A/A AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON DECEMBER 15, 2014. No. 811-22995 No. 333-198603 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. 1 x Post-Effective Amendment No. o and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY AC |
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| December 16, 2014 |
Exhibit 99.l TRIMTABS ASSET MANAGEMENT, LLC 3 Harbor Way, Suite 112 Sausalito, CA 94965 December 10, 2014 TrimTabs ETF Trust 3 Harbor Way, Suite 112 Sausalito, CA 94965 Ladies and Gentlemen: In order to provide TrimTabs ETF Trust (the “Trust”) with initial capital, we have purchased from the Trust the amount of shares of each series of the Trust at the price per share as follows: Fund Number of Sh |
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| December 16, 2014 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 99.j CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the use in this Pre-Effective Amendment No. 1 to Registration Statement No. 333-198603 on Form N-1A of our report dated December 15, 2014, relating to the financial statements of TrimTabs Intl Free-Cash-Flow ETF appearing in the Statement of Additional Information, which is part of such Registration Statement, and |
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| December 16, 2014 |
EX-99.D 2 v396453ex99-d.htm INVESTMENT ADVISORY AGREEMENT Exhibit 99.d INVESTMENT ADVISORY AGREEMENT Agreement made as of [ ], 2014, between TRIMTABS ETF TRUST, a Delaware statutory trust (“Trust”), and TrimTabs Asset Management, LLC (“Adviser”), a registered investment adviser under the Investment Advisers Act of 1940, as amended (“Advisers Act”). WHEREAS, the Trust is registered under the Invest |
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| December 16, 2014 |
FORESIDE FINANCIAL GROUP, LLC CODE OF ETHICS APPENDIX A FORESIDE COMPANIES Exhibit 99.p.iii 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 Miscondu |
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| December 16, 2014 |
Exhibit 99.p.ii TRIMTABS ASSET MANAGEMENT LLC CODE OF ETHICS, pOLICY ON INSIDER TRADING AND GIFTS AND ENTERTAINMENT POLICY Statement of General Policy This Code of Ethics (“Code”) has been adopted by TrimTabs Asset Management LLC (the “Adviser”), and is designed to comply with Rule 204A-1 under the Investment Advisers Act of 1940 (“Advisers Act”). This Code establishes rules of conduct for all man |
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| December 16, 2014 |
K&L Gates LLP 1601 K Street, N.W. Washington, DC 20006 T +1 202 778 9000 F +1 202 778 9100 klgates.com December 15, 2014 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: TrimTabs ETF Trust – Pre-Effective Amendment No. 1 to the Registration Statement on Form N-1A (File Nos. 333-198603 and 811-22995) Dear Sir or Madam: Please find enclosed for filing on |
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| December 16, 2014 |
EX-99.I 8 v396453ex99-i.htm OPINION AND CONSENT OF COUNSEL Exhibit 99.i K&L Gates LLP 1601 K Street, N.W. Washington, DC 20006 T +1 202 778 9000 F +1 202 778 9100 klgates.com December 15, 2014 TrimTabs ETF Trust 3 Harbor Way, Suite 112 Sausalito, CA 94965 Ladies and Gentlemen: We have acted as counsel to TrimTabs ETF Trust, a Delaware statutory trust (the “Trust”), in connection with the Trust’s r |
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| December 16, 2014 |
istrant. (Incorporated by reference to Registrant’s Pre-Effective Amendment Exhibit 99.p.i TRIMTABS ETF TRUST CODE OF ETHICS Adopted Under Rule 17j-1 While affirming its confidence in the integrity and good faith of all of its officers and trustees, TrimTabs ETF Trust (the “Trust”), recognizes that the knowledge of present or future portfolio transactions and, in certain instances, the power to influence portfolio transactions which may be possessed by certain of officers |
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| December 16, 2014 |
Trimtabs Etf Trust CORRESP - - K&L Gates LLP 1601 K Street, N.W. Washington, DC 20006 T +1 202 778 9000 F +1 202 778 9100 klgates.com December 15, 2014 VIA EDGAR Dominic Minore Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: TrimTabs ETF Trust: TrimTabs U.S. Free-Cash-Flow ETF and TrimTabs Intl Free-Cash-Flow ETF (File Nos. 333-198603 and 811-22955) Dear Mr. |
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| December 16, 2014 |
FUND ADMINISTRATION AND ACCOUNTING AGREEMENT Exhibit 99.h.ii EXECUTION COPY FUND ADMINISTRATION AND ACCOUNTING AGREEMENT THIS AGREEMENT is made as of November 1, 2014 by and between TrimTabs ETF Trust, a Delaware statutory trust (the “Trust”) and The Bank of New York Mellon, a New York corporation authorized to do a banking business (“BNY Mellon”). WITNESSETH : WHEREAS, the Trust is an investment company registered under the Investment Compa |
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| December 16, 2014 |
EX-99.G 5 v396453ex99-g.htm CUSTODY AGREEMENT Exhibit 99.g EXECUTION COPY CUSTODY AGREEMENT by and between TRIMTABS ETF TRUST and THE BANK OF NEW YORK MELLON TABLE OF CONTENTS Page SECTION 1 CUSTODY ACCOUNTS; INSTRUCTIONS 1 1.1 Definitions 1 1.2 Establishment of Account 3 1.3 Representations and Warranties 4 1.4 Distributions 5 1.5 Authorized Instructions 5 1.6 Authentication 6 1.7 On-Line Systems |
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| December 16, 2014 |
Trimtabs etf Trust Distribution and Service Plan Exhibit 99.m Trimtabs etf Trust Distribution and Service Plan WHEREAS, TrimTabs 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; WHEREAS, the Board of Trustees of the Trust (“Trustees”) desires to adopt a plan of distribution pursuant to Rule l2b-1 under th |
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| December 16, 2014 |
Exhibit 99.other POWER OF ATTORNEY I, Stephen J. Posner, the undersigned Trustee of TrimTabs ETF Trust (the “Trust”) hereby revoke all previous powers of attorney I have signed, if any, and otherwise act in my name and behalf in matters involving the Trust and do hereby constitute and appoint Charles Biderman, and Stacy L. Fuller and each of them singularly, my true and lawful attorneys-in-fact, w |
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| December 16, 2014 |
TRIMTABS ETF TRUST DISTRIBUTION AGREEMENT EX-99.E.I 3 v396453ex99-e1.htm DISTRIBUTION AGREEMENT Exhibit 99.e.i TRIMTABS ETF TRUST DISTRIBUTION AGREEMENT This Distribution Agreement (the “Agreement”) is made this day of 2014 by and between TrimTabs ETF Trust, a Delaware statutory trust (the “Trust”) having its principal place of business at 3 Harbor Drive, Suite 112, Sausalito, CA 94965 and Foreside Fund Services, LLC, a Delaware limited l |
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| December 16, 2014 |
TRIMTABS ETF TRUST AUTHORIZED PARTICIPANT AGREEMENT Exhibit 99.e.ii TRIMTABS ETF TRUST AUTHORIZED PARTICIPANT AGREEMENT This Authorized Participant Agreement (the “Agreement”) is entered into by and between Foreside Fund Services, LLC (the “Distributor”) and [ ] (the “Participant”) and is subject to acceptance by The Bank of New York Mellon (the “Index Receipt Agent”) as index receipt agent for TrimTabs ETF Trust (the “Trust”). The Index Receipt Ag |
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| December 16, 2014 |
TRANSFER AGENCY AND SERVICE AGREEMENT Exhibit 99.h.i EXECUTION COPY TRANSFER AGENCY AND SERVICE AGREEMENT THIS AGREEMENT is made as of the 1st day of November, 2014, by and between TrimTabs ETF Trust, a Delaware statutory trust (the “Trust,” with each series thereof listed on Appendix A hereto (as such Appendix be amended from time to time), a “Fund”) and THE BANK OF NEW YORK MELLON, a New York corporation authorized to do a banking b |
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| September 5, 2014 |
Exhibit 99.a.ii TRIMTABS ETF TRUST 2320 Marinship Way, Suite 120 Sausalito, California 94965 TRUST INSTRUMENT Table of Contents ARTICLE I FORMATION AND DEFINITIONS 1 Section 1. FORMATION AND NAME 1 Section 2. DEFINITIONS 1 ARTICLE II PURPOSE AND THE TRUSTEES 3 Section 1. MANAGEMENT OF THE TRUST 3 Section 2. INITIAL TRUSTEES; ELECTION AND NUMBER OF TRUSTEES 3 Section 3. TERM OF OFFICE OF TRUSTEES 3 |
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| September 5, 2014 |
TTAC / TrimTabs All Cap U.S. Free-Cash-Flow ETF N-8A - - N-8A N-8A 1 v388506n8a.htm N-8A 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 |
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| September 5, 2014 |
TRIMTABS ETF TRUST As adopted April 2, 2014 TABLE OF CONTENTS Exhibit 99.b TRIMTABS ETF TRUST BY-LAWS As adopted April 2, 2014 TABLE OF CONTENTS Page Article I PRINCIPAL OFFICE AND SEAL 1 Section 1. Principal Office 1 Section 2. Delaware Office 1 Section 3. Seal 1 Article II TRUSTEES 1 Section 1. Powers 1 Section 2. Compensation of Trustees 1 Section 3. Place of Meetings and Meetings by Telephone 1 Section 4. Regular Meetings 2 Section 5. Special Meetings 2 |
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| September 5, 2014 |
AMENDED AND RESTATED CERTIFICATE OF TRUST TRIMTABS ETF TRUST Exhibit 99.a.i AMENDED AND RESTATED CERTIFICATE OF TRUST OF TRIMTABS ETF TRUST This Amended and Restated Certificate of Trust of TrimTabs ETF Trust (the “Trust”), dated as of July 10, 2014, is being duly executed and filed by the undersigned for purposes of reflecting a change in the business address of a trustee of the Trust, and otherwise restating the Certificate of Trust of the Trust which was |
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| September 5, 2014 |
COVER 7 filename7.htm K&L Gates LLP 1601 K Street, N.W. Washington, DC 20006 T +1 202 778 9000 F +1 202 778 9100 klgates.com September 5, 2014 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: TrimTabs ETF Trust Initial Registration Statement on Form N-1A Ladies and Gentlemen: Transmitted herewith for filing on behalf of TrimTabs ETF Trust (the “Trust”), |
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| September 5, 2014 |
Trimtabs Etf Trust N-1A - - N-1A AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON SEPTEMBER 5, 2014. No. 811-22995 No. 333-[ ] 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. o Post-Effective Amendment No. o and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 x Amendment No. o (Check ap |
