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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 9/15/21 Direxion Shares ETF Trust 485APOS 1:1.3M Donnelley … Solutions/FA → Direxion mRNA ETF ⇒ MSGR |
Document/Exhibit Description Pages Size 1: 485APOS Post-Effective Amendment of a Form N-1 or N-1A HTML 853K Registration
485APOS |
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 |
[ X
] | |
Pre-Effective Amendment No. |
___ |
[ ] |
Post-Effective Amendment No. |
310 |
[ X
] |
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 |
[ X
] | |
Amendment No. |
312 |
[ X ] |
Angela
Brickl |
Stacy L.
Fuller |
Rafferty Asset Management, LLC |
K&L Gates LLP |
1301 Avenue
of the Americas (6th Avenue) |
1601 K
Street, NW |
28th Floor |
|
|
[ ] |
immediately upon filing pursuant to paragraph (b) |
[ ] |
on (date) pursuant to paragraph (b) |
[ ] |
60 days after filing pursuant to paragraph (a)(1) |
[ ] |
on (date) pursuant to paragraph (a)(1) |
[ X ] |
75 days after filing pursuant to paragraph (a)(2) |
[ ] |
on (date) pursuant to paragraph (a)(2) of Rule 485. |
[ ] |
This post-effective amendment designates a new effective date for a previously filed
post-effective amendment. |
Management Fees |
[
]% |
Distribution and/or Service (12b-1) Fees |
0.00% |
Other Expenses (Operating Services Fees)(1),(2)
|
0.05% |
Total Annual Fund Operating Expenses |
[ ]% |
1 Year |
3 Years |
$[ ] |
$[ ] |
Portfolio Managers |
Years of Service with the
Fund |
Primary Title |
Paul Brigandi |
Since Inception |
Portfolio Manager |
Tony Ng |
Since
Inception |
Portfolio
Manager |
Write to: |
Direxion Shares ETF Trust |
|
|
Call: |
(866) 476-7523 |
By Internet: |
|
Page |
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53 | |
53 | |
53 | |
53 | |
58 | |
A-1 |
Name, Address
and Age |
Position(s) Held
with Fund |
Term of Office
and Length of Time Served |
Principal Occupation(s) During
Past Five Years |
# of Portfolios
in Direxion
Family of Investment
Companies Overseen
by Trustee(2) |
Other Trusteeships/
Directorships Held by Trustee
During Past Five Years |
Age: 53 |
Chairman of the Board of
Trustees |
Lifetime of Trust until
removal or resignation; Since 2008
|
Chief Executive Officer,
Rafferty Asset
Management,
LLC, since 2021;
Managing
Director, Rafferty
Asset
Management,
LLC, January 1999
– January 2019
and Direxion
Advisors, LLC,
November 2017
–
January 2019.
|
[ ] |
None. |
Name, Address
and Age |
Position(s) Held
with Fund |
Term of Office
and Length of Time Served |
Principal Occupation(s) During
Past Five Years |
# of Portfolios
in Direxion
Family of Investment
Companies Overseen
by Trustee(3) |
Other Trusteeships/
Directorships Held by Trustee
During Past Five Years |
Age: 52 |
Trustee |
Lifetime of Trust until
removal or resignation; Since 2014
|
Partner, King Associates,
LLP, since 2004; Board
Advisor, University
Common Real
Estate, since 2012;
Principal, Grey
Oaks LLP, since
2003; Member,
Kendrick LLC,
since 2006.
|
[ ] |
None. |
Age: 73 |
Trustee |
Lifetime of Trust until
removal or resignation; Since 2014
|
Managing Director, Loomis
& Co., since 2012. |
[ ] |
None. |
Name, Address and Age |
Position(s) Held with Fund |
Term of Office and Length of Time Served |
Principal Occupation(s) During Past Five Years |
# of Portfolios in Direxion Family of Investment Companies Overseen by Trustee(3) |
Other Trusteeships/ Directorships Held by Trustee During Past Five Years |
Age: 58 |
Trustee |
Lifetime of Trust until
removal or resignation; Since
2017 |
Managing Partner, Grove
Hill Partners LLC, since
2016. |
[ ] |
None. |
Age: 54 |
Trustee |
Lifetime of Trust until
removal or resignation; Since
2019 |
Manager – Trusts
& Estates, Rynkar,
Vail & Barrett,
LLC, since 2018;
Financial Advisor,
Lee, Nolan &
Koroghlian Life
Planning Group,
2010-2017.
|
[ ] |
None. |
Name, Address
and Age |
Position(s)
Held with Fund |
Term of
Office and Length of
Time Served |
Principal Occupation(s) During
Past Five Years |
# of Portfolios
in the Direxion
Family of Investment
Companies Overseen
by Trustee(2) |
Other Trusteeships/
Directorships Held by Trustee During
Past Five Years |
Age: 53 |
Chief Executive
Officer |
One Year; Since
2021 |
Chief Executive Officer,
Rafferty Asset
Management,
LLC, since 2021;
Managing
Director of
Rafferty Asset
Management,
LLC, January 1999
– January 2019
and Direxion
Advisors, LLC,
November 2017
–
January 2019.
|
N/A |
N/A |
Age: 48 |
Principal Executive
Officer
Principal Financial
Officer |
One Year; Since
2018 One Year;
Since 2010 |
Senior Vice President,
since March 2013,
Rafferty Asset
Management,
LLC.
|
N/A |
N/A |
Age: 45 |
Chief Compliance
Officer
Secretary |
One Year; Since
2018 One Year;
Since 2011 |
General Counsel, Rafferty
Asset Management LLC,
since October
2010; Chief
Compliance
Officer, Rafferty
Asset
Management,
LLC, since
September 2012.
|
N/A |
N/A |
Dollar Range of Equity
Securities Owned: |
Interested Trustee: |
Independent Trustees: | |||
|
Daniel D. O’Neill |
David L. Driscoll |
Jacob C. Gaffey |
Henry W. Mulholland |
Kathleen M. Berkery |
Aggregate Dollar Range of
Equity Securities in the
Direxion Family of Investment
Companies(1) |
Over $100,000
|
$0 |
$0 |
$0 |
$0 |
Name of Person, Position |
Aggregate
Compensation From the
Trust(1) |
Pension or
Retirement Benefits Accrued As Part of
the Trust’s Expenses |
Estimated
Annual Benefits Upon Retirement |
Aggregate
Compensation From the Direxion
Family of Investment
Companies Paid to the Trustees(2)
|
Interested Trustee | ||||
$0 |
$0 |
$0 |
$0 | |
Independent Trustees | ||||
$105,469 |
$0 |
$0 |
$140,625 | |
$105,469 |
$0 |
$0 |
$140,625 | |
$105,469 |
$0 |
$0 |
$140,625 | |
$105,469 |
$0 |
$0 |
$140,625 |
Accounts |
Total Number
of Accounts |
Total Assets (In Billions) |
Total Number of
Accounts with Performance
Based Fees |
Total Assets
of Accounts with Performance
Based Fees |
Registered Investment Companies |
[ ] |
$[ ] |
0 |
$0 |
Other Pooled Investment Vehicles |
0 |
$0 |
0 |
$0 |
Other Accounts |
0 |
$0 |
0 |
$0 |
Direxion Shares ETF Trust |
Fixed Transaction Fee |
Maximum
Additional
Charge for
Redemptions* | ||
|
In-Kind |
Cash | ||
NSCC |
Outside NSCC |
Outside
NSCC | ||
Direxion mRNA ETF |
$250 |
Up to 300% of NSCC Amount |
$250 |
Up to 2.00% |
(a) |
(i) |
|
|
(ii) |
|
(b) |
|
|
(c) |
|
Shareholders’ Rights are contained in Articles IV, V, VI, IX, and X of the Trust’s Trust Instrument and
Articles V, VI, VII, VIII and IX of the Trust’s By-Laws. |
(d) |
(A) |
|
|
(B) |
Amended Schedule A to the Investment Advisory Agreement between the Trust and RAM
– to be
filed by Amendment. |
(e) |
(i)(A) |
|
|
(i)(B) |
Amended Appendix A to the Distribution Agreement – to be filed by Amendment. |
|
(ii) |
|
(f) |
|
Bonus, profit sharing contracts – None. |
(g) |
(A) |
|
|
(B) |
Amended Schedule II to the Custody Agreement – to be filed by Amendment. |
|
(ii) |
|
(h) |
(i)(A) |
|
|
(i)(B) |
Amended Appendix I to the Transfer Agency and Service Agreement – to be filed by Amendment. |
|
(ii) |
|
|
(iii) |
|
|
(iv)(A) |
|
|
(iv)(B) |
Amended Exhibit A to the Fund Accounting Agreement between the Trust and BONY
– to be filed
by Amendment. |
|
(v)(A) |
|
|
(v)(B) |
Amended Schedule A to the Advisory Fee Waiver Agreement between the Trust and RAM
– to be
filed by Amendment. |
|
(vi)(A) |
|
|
(vi)(B) |
Amended Appendix A to the Fourth Amended and Restated Operating Expense Limitation
Agreement between the Trust and RAM – to be filed by Amendment. |
|
(vii)(A) |
|
|
(vii)(B) |
Amended Schedule A to the Management Services Agreement between the Trust and RAM
– to be
filed by Amendment. |
|
(vii)(C) |
|
|
(viii)(A) |
|
|
(viii)(B) |
Amended Schedule A to the Operating Services Agreement between the Trust and RAM
– to be
filed by Amendment. |
(i) |
|
Opinion and consent of counsel – to be filed by Amendment. |
(j) |
|
|
(k) |
|
Financial Statements omitted from prospectus – None. |
(l) |
|
|
(m) |
(i)(A) |
|
|
(i)(B) |
Amended Appendix A to the Rule 12b-1 Distribution Plan – to be filed by Amendment. |
(n) |
|
Rule 18f-3 Plan – None. |
(o) |
|
Reserved. |
(p) |
|
Name |
Business Address |
Position with Underwriter |
Position with Registrant |
Richard J. Berthy |
President,
Treasurer
and Manager |
None | |
Mark A. Fairbanks |
Vice President |
None | |
Teresa Cowan |
Vice President |
None | |
Jennifer K. DiValerio |
Vice President |
None | |
Nanette K. Chern |
Vice President and Chief
Compliance
Officer |
None | |
Jennifer E. Hoopes |
Secretary |
None |
DIREXION SHARES ETF TRUST | |
By: |
/s/ Patrick J. Rudnick* |
|
|
|
Principal Executive Officer |
Signature |
Title |
Date |
/s/ Daniel D. O’Neill* |
Chairman of the Board |
|
|
| |
/s/ Jacob C. Gaffey* |
Trustee |
|
|
| |
/s/ David L. Driscoll* |
Trustee |
|
|
| |
/s/ Henry W. Mulholland* |
Trustee |
|
|
| |
/s/ Kathleen M. Berkery* |
Trustee |
|
|
| |
/s/ Patrick J. Rudnick* |
Principal Executive Officer
and Principal Financial Officer |
|
| ||
*By: /s/ Angela Brickl |
|
|
This ‘485APOS’ Filing | Date | Other Filings | ||
---|---|---|---|---|
1/1/26 | ||||
6/30/23 | ||||
1/19/22 | 485APOS, 497J, 497K | |||
1/1/22 | ||||
12/31/21 | ||||
10/31/21 | 24F-2NT, N-CEN, N-CSR, NPORT-P | |||
Filed on: | 9/15/21 | |||
3/5/21 | 497J | |||
2/25/21 | 485BPOS | |||
1/19/21 | ||||
12/31/20 | 485APOS | |||
10/31/20 | 24F-2NT, N-CEN, N-CSR, NPORT-P | |||
10/7/20 | ||||
1/31/20 | 497J, 8-A12B, NPORT-P | |||
11/26/19 | ||||
9/10/19 | ||||
1/1/18 | ||||
12/31/17 | ||||
7/27/17 | ||||
6/23/16 | 497 | |||
4/1/12 | ||||
12/31/11 | ||||
12/23/10 | ||||
8/13/08 | ||||
4/23/08 | ||||
List all Filings |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 11/24/21 Direxion Shares ETF Trust 485BXT 1:28K Donnelley … Solutions/FA |