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As Of Filer Filing For·On·As Docs:Size Issuer Agent 6/11/07 Ameristock ETF Trust N-1A/A 11:1.9M Vintage/FA → Ameristock/Ryan 1-Year Treasury ETF ⇒ GKA → Ameristock/Ryan 10-Year Treasury ETF ⇒ GKD → Ameristock/Ryan 2-Year Treasury ETF ⇒ GKB → Ameristock/Ryan 20-Year Treasury ETF ⇒ GKE → Ameristock/Ryan 5-Year Treasury ETF ⇒ GKC |
Document/Exhibit Description Pages Size 1: N-1A/A Pre-Effective Amendment to Registration Statement HTML 521K of an Open-End Management Investment Company 2: EX-99.A(2) Miscellaneous Exhibit HTML 14K 3: EX-99.E(1) Miscellaneous Exhibit HTML 66K 4: EX-99.E(2) Miscellaneous Exhibit HTML 125K 5: EX-99.G Miscellaneous Exhibit HTML 184K 6: EX-99.H(1) Miscellaneous Exhibit HTML 159K 7: EX-99.I Miscellaneous Exhibit HTML 14K 8: EX-99.J Miscellaneous Exhibit HTML 8K 9: EX-99.L Miscellaneous Exhibit HTML 12K 10: EX-99.P(1) Miscellaneous Exhibit HTML 94K 11: EX-99.P(2) Miscellaneous Exhibit HTML 97K
(c)
|
“Advisory
person” means (i) any director, trustee, officer, or employee of the
Adviser (or of any company in a control relationship to the Adviser)
who,
in connection with his or her regular functions or duties, makes,
participates in, or obtains information regarding the purchase or
sale of
covered securities by a Fund, or whose functions relate to the making
of
any recommendations with respect to such purchases or sales; (ii)
any
natural person in a control relationship to the Adviser who obtains
information concerning recommendations made to a Fund with regard
to the
purchase or sale of covered securities by the Fund; and (iii) any
supervised person of the Adviser (A) who is involved in making securities
recommendations for a Fund, or (B) who has access to such recommendations
that are nonpublic, access to nonpublic information regarding a Fund’s
purchase or sale of securities, or access to nonpublic information
regarding the portfolio holdings of a
Fund.
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(d)
|
“Automatic
investment plan” means a program in which regular periodic purchases (or
withdrawals) are made automatically in (or from) investment accounts
in
accordance with a predetermined schedule and allocation. An automatic
investment plan includes a dividend reinvestment
plan.
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(e)
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“Beneficial
ownership” shall be interpreted in the same manner as it would be under
Rule 16a-1(a)(2) under the Securities Exchange Act of 1934, as amended
(the “1934 Act”) in determining whether a person is the beneficial owner
of a security for purposes of Section 16 of the 1934 Act and the
rules and
regulations thereunder. An access person may be deemed to have beneficial
ownership of securities owned by another person if, by reason of
any
contract, arrangement, understanding, relationship or otherwise,
the
access person can share in any profit from the securities. Securities
are
beneficially owned by a person if they are held by a family member
sharing
the same household, by a corporation controlled by the access person,
or
by certain trusts of which the access person is a trustee, beneficiary
or
settlor.
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(f)
|
“Control”
shall have the same meaning as that set forth in Section 2(a)(9)
of the
Investment Company Act of 1940, as amended (the “1940 Act”). In general, a
person is presumed to control a company if he or she beneficially
owns,
directly or indirectly, more than 25% of the voting securities of
the
company, and a natural person is presumed not to be controlled by
any
other person.
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(g)
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“Covered
security” means a security as defined in Section 2(a)(36) of the 1940 Act,
except that it does not include:
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(2)
|
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Bankers’
acceptances, bank certificates of deposit, commercial paper and high
quality short-term debt instruments, including repurchase agreements;
and
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(3)
|
Shares
issued by open-end registered investment companies excluding any
exchange-traded funds or the shares of the
Funds.
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(h)
|
“Exchange-traded
fund” means a registered investment company that operates pursuant to an
order from the SEC exempting it from certain provisions of the 1940
Act so
the exchange-traded fund may issue securities that trade on the secondary
market.
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(j)
|
“Initial
public offering” means an offering of securities registered under the
Securities Act of 1933, as amended (the “1933 Act”), the issuer of which,
immediately before the registration, was not subject to the reporting
requirements of Sections 13 or 15(d) of the 1934
Act.
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(k)
|
“Investment
personnel” of the Adviser means: (i) any employee of the Adviser (or of
any company in a control relationship to the Adviser) who, in connection
with his or her regular functions or duties, makes or participates
in
making recommendations regarding the purchase or sale of securities
by a
Fund; and (ii) any natural person who controls the Adviser and who
obtains
information concerning recommendations regarding the purchase or
sale of
securities by a Fund.
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(l)
|
“Limited
offering” means an offering that is exempt from registration under the
1933 Act pursuant to Section 4(2) or Section 4(6) or pursuant to
Rule 504,
Rule 505, or Rule 506 thereunder.
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(m)
|
“Purchase
or sale of a covered security” includes, among other things, the writing
of an option to purchase or sell a covered
security.
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(n)
|
“Portfolio
manager” means the person (or one of the persons) primarily responsible
for the day-to-day management of a
Fund.
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(o)
|
“Supervised
person” means any officer, director (or other person occupying a similar
status or performing similar functions), or employee of the Adviser,
or
other person who provides investment advice on behalf of the Adviser
and
is subject to the supervision and control of the
Adviser.
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·
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All
personal securities transactions must be conducted consistent with
this
Code and in such a manner as to avoid any actual or potential conflict
of
interest or any abuse of an individual’s position of trust and
responsibility;
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(1)
|
No
access person shall execute a transaction in a covered security on
a day
during which, to his knowledge, any Fund has a pending “buy” or “sell”
order in that same security until that order is executed or
withdrawn.
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(2)
|
No
portfolio manager shall buy or sell a covered security within at
least
seven calendar days before and after a Fund managed by the portfolio
manager trades in that security.
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(1)
|
Except
as otherwise provided below, every access person shall report to
the
Adviser, no later than 10 days after the person becomes an access
person,
the following information current as of a date no more than 45 days
prior
to the date the person becomes an access
person:
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(A)
|
The
title and type of security, and as applicable the exchange ticker
symbol
or CUSIP number, number of shares (for equity securities) and principal
amount (for debt securities) of each covered security in which the
access
person had any direct or indirect beneficial ownership when the person
became an access person;
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(B)
|
The
name of any broker, dealer or bank with whom the access person maintained
an account in which any securities were held for the direct or indirect
benefit of the access person as of the date the person became an
access
person; and
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(1)
|
Except
as otherwise provided below, every access person shall report to
the
Adviser, no later than 30 days after the end of each calendar quarter,
the
following information:
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(A)
|
With
respect to transactions during the quarter in any covered security
in
which such access person has, or by reason of such transaction acquires,
any direct or indirect beneficial
ownership:
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(i)
|
The
date of the transaction, the title, the exchange ticker symbol or
CUSIP
number, the interest rate and maturity date (if
applicable) and the number of shares (for equity securities) and
the
principal amount (for debt securities) of each covered security
involved;
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(ii)
|
The
nature of the transaction (i.e., purchase, sale or any other type
of
acquisition or disposition);
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(B)
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With
respect to any account established by the access person in which
any
securities were held during the quarter for the direct or indirect
benefit
of the access person:
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(1)
|
Except
as otherwise provided below, no later than February 14 of each year,
every
access person shall report to the Adviser the following information
(which
must be current as of December 31 of such
year).
|
(A)
|
The
title and type of security, and as applicable the exchange ticker
symbol
or CUSIP number, number of shares (for equity securities) and principal
amount (for debt securities) of each covered security in which the
access
person had any direct or indirect beneficial
ownership;
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(B)
|
The
name of any broker, dealer or bank with whom the access person maintains
an account in which any securities are held for the direct or indirect
benefit of the access person; and
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(1)
|
An
access person need not make a report under this section with respect
to
transactions effected for, and covered securities held in, any account
over which the person has no direct or indirect influence or
control.
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(2)
|
An
access person need not make a quarterly transaction report under
Section
4(b) with respect to purchases of covered securities that are part
of an
automatic investment plan.
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(3)
|
An
access person need not make a quarterly transaction report under
this
section if the report would duplicate information contained in trade
confirmations and/or account statements received by the Adviser with
respect to the access person during the applicable time period, provided
that all of the information required by Section 4(b)(1) is contained
in
the trade confirmations and or account statements received by the
Adviser.
An access person need not make an annual holdings report if the report
would duplicate information contained in account statements received
by
the Adviser with respect to the access person during the applicable
time
period, provided that all of the information required by Section
4(c)(1)
is contained in account statements received by the Adviser. The Chief
Compliance Officer shall indicate his review of annual and quarterly
transaction reports by initialing the reports, account statements
and/or
confirmations and indicating the date of
review.
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(1)
|
Describes
any issues arising under this Code or procedures since the last report
to
the Board, including, but not limited to, information about material
violations of this Code or procedures and sanctions imposed in response
to
the material violations; and
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(2)
|
Certifies
that the Adviser has adopted procedures reasonably necessary to prevent
access persons from violating this
Code.
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Title
and Type of Security
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Exchange
Ticker Symbol or CUSIP Number
|
Number
of Shares (for equity securities)
|
Principal
Amount (for debt securities)
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—
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I
have reported all personal securities holdings above or have provided
Howard Mah with a copy of brokerage statements reflecting all of
my
personal securities holdings as of ___________, 200__
.
|
—
|
As
of _______________, 200___, I do not have any direct or indirect
beneficial ownership in any securities. Beneficial interest is understood
to include securities transactions in the accounts of my spouse,
minor
children, or other family members residing in my household. However,
I
agree to promptly notify Howard Mah if I open such an account so
long as I
am employed by Ameristock
Corporation.
|
Date
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Title
and Type of Security
|
Exchange
Ticker Symbol or CUSIP Number
|
Bought/
Sold
|
Number
of Shares or Principal Amount
|
Price
|
Broker
|
—
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I
have reported all personal securities holdings above or have provided
Howard Mah with a copy of brokerage statements reflecting all of
my
personal securities transactions for the above referenced quarter.
|
—
|
During
the above period, I have not opened any personal securities brokerage
account that I have not disclosed to Howard
Mah.
|
—
|
During
the above period, I have not purchased or sold any securities in
any
personal brokerage account or in any account in which I have a direct
or
indirect beneficial interest. Beneficial interest is understood to
mean
securities transactions in the accounts of my spouse, minor children,
or
other family members residing in my
household.
|
—
|
I
do not currently have a personal securities brokerage account. However,
I
agree to promptly notify Howard Mah if I open such an account so
long as I
am employed by Ameristock
Corporation.
|
Title
and Type of Security
|
Exchange
Ticker Symbol or CUSIP Number
|
Number
of Shares (for equity securities)
|
Principal
Amount (for debt securities)
|
—
|
I
have reported all personal securities holdings above or have provided
Howard Mah with a copy of brokerage statements reflecting all of
my
personal securities holdings as of ___________, 200__
.
|
—
|
As
of _______________, 200___, I do not have any direct or indirect
beneficial ownership in any securities. Beneficial interest is understood
to mean securities transactions in the accounts of my spouse, minor
children, or other family members residing in my household. However,
I
agree to promptly notify Howard Mah if I open such an account so
long as I
am employed by Ameristock
Corporation.
|
2.
|
During
the year ended __________, I have reported all securities transactions
in
which I have, or any member of my immediate family has, a beneficial
interest.
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ACCOUNT
INFORMATION:
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|||||
NAME
OF EMPLOYEE:
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|||||
EMPLOYEE
ACCOUNT:
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|||||
(Name
& Number)
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OR
|
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||||
EMPLOYEE RELATED: | |||||
(“covered person”) |
(Account
Name & Number)
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BROKERAGE FIRM | |||||
OR BANK: | |||||
TRANSACTION
INFORMATION:
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|||||
SECURITY: | |||||
NUMBER OF SHARES: | |||||
TRADE IS TO: |
BUY
__________
|
SELL
__________
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OTHER INFORMATION: | |||||
TYPE OF ORDER: |
MARKET
__________
|
LIMIT__________
|
This ‘N-1A/A’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on: | 6/11/07 | None on these Dates | ||
6/1/07 | ||||
List all Filings |