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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
(a)
|
“Access
person” means (i) any director, trustee, officer, or employee of the
Mutual Fund or the Trust (or of any company in a control relationship
to
the Mutual Fund or the Trust) 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; and (ii) any natural person in a control relationship
to a Fund who obtains information concerning recommendations made
to the
Fund with regard to the purchase or sale of covered securities by
the
Fund.
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(c)
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“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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(d)
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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 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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(e)
|
“Control”
shall have the same meaning as that set forth in Section 2(a)(9)
of 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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(f)
|
“Covered
security” means a security as defined in Section 2(a)(36) of the 1940 Act,
except that it does not include:
|
(2)
|
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 Fund and the
Trust..
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(g)
|
“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.
|
(i)
|
“Independent
director” means a director of the Mutual Fund or a trustee of the Trust
who is not an “interested person” of the Mutual Fund or Trust within the
meaning of Section 2(a)(19) of the 1940 Act, and who would be required
to
make a report under Section 4 of this Code solely by reason of being
a
director of the Mutual Fund or trustee of the
Trust.
|
(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 Fund or the Trust means: (i) any employee of the Mutual
Fund or the Trust (or of any company in a control relationship to
the
Mutual Fund or the Trust) 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 a Fund and who obtains information concerning
recommendations regarding the purchase or sale of securities by the
Fund.
|
(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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·
|
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)
|
Except
as otherwise provided below, every access person shall report to
the
Mutual Fund or to the Trust, 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:
|
(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;
|
(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
|
(1)
|
Except
as otherwise provided below, every access person shall report to
the
Mutual Fund or to the Trust, no later than 30 days after the end
of each
calendar quarter, the following
information:
|
(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:
|
(i)
|
The
date of the transaction, the title, and as applicable the exchange
ticker
symbol or CUSIP number, interest rate and maturity date, and the
number of
shares (for equity securities) and the principal amount (for debt
securities) of each covered security
involved;
|
(ii)
|
The
nature of the transaction (i.e., purchase, sale or any other type
of
acquisition or disposition);
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(B)
|
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:
|
(2)
|
An
independent director need only report a transaction in a covered
security
in a quarterly transaction report if such independent director, at
the
time of that transaction, knew or, in the ordinary course of fulfilling
his or her official duties as a director, should have known that,
during
the 15-day period immediately before or after the date of the transaction
by the independent director, such covered security was purchased
or sold
by a Fund or was being considered by a Fund or the Adviser for purchase
or
sale.
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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 Mutual Fund or to the Trust 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;
|
(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
|
(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.
|
(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.
|
(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 Fund or the
Trust
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 Mutual Fund or the Trust. An access person need not make an annual
holdings report if the report would duplicate information contained
in
account statements received by the Mutual Fund or the Trust 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 Mutual Fund or the Trust. The Chief Compliance
Officer shall indicate his review of quarterly and annual transaction
reports by initialing account statements 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
|
(2)
|
Certifies
that the Mutual Fund and the Trust have adopted procedures reasonably
necessary to prevent access persons from violating this
Code.
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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 an access person under the code of ethics of Ameristock Mutual
Fund,
Inc. or Ameristock ETF Trust.
|
Date
|
Security
|
Bought/Sold
|
#
Shares
|
Price
|
Broker
|
—
|
During
the above period, I have not purchased or sold any securities in
my
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.
|
—
|
During
the above period, I have not opened any personal securities brokerage
account that I have not disclosed to Howard
Mah.
|
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 Mutual Fund, Inc. or by Ameristock ETF
Trust.
|
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__________
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This ‘N-1A/A’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on: | 6/11/07 | None on these Dates | ||
6/1/07 | ||||
List all Filings |