SEC Info - 1290 Funds, et al. - ‘N-1A’ on 4/18/14

SEC Info℠

Home

Help

Please Sign In

1290 Funds, et al. – ‘N-1A’ on 4/18/14 – ‘EX-99.(A)(1)’

On: Friday, 4/18/14, at 5:12pm ET · Private-to-Public: Document/Exhibit `¶` – Release Delayed · Accession #: 1193125-14-149194 · File #s: 811-22959, 333-195390

  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 4/18/14  1290 Funds                        N-1A¶                  4:1.2M                                   Donnelley … Solutions/FA
          → 1290 GAMCO Small/Mid Cap Value Fund  ⇒ Class A (TNVAX)  — Class I (TNVIX)  — Class R (TNVRX)  — Class T (TNVCX) 
          → 1290 High Yield Bond Fund  ⇒ Class A (TNHAX)  — Class I (TNHIX)  — Class R (TNHRX)  — Class T (TNHCX) 
          → 1290 SmartBeta Equity Fund  ⇒ Class A (TNBAX)  — Class I (TNBIX)  — Class R (TNBRX)  — Class T (TNBCX)

Registration Statement by an Open-End Management Investment Company — Form N-1A
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: N-1A        1290 Funds                                          HTML    875K 
 4: COVER     ¶ Comment-Response or Cover Letter to the SEC         HTML      8K 
 2: EX-99.(A)(1)  Certificate of Trust                              HTML     12K 
 3: EX-99.(A)(2)  Certificate of Amendment to the Certificate of    HTML      7K 
                Trust

‘EX-99.(A)(1)’ — Certificate of Trust

This Exhibit is an HTML Document rendered as filed. [ Alternative Formats ]

Certificate of Trust

STATE of DELAWARE

CERTIFICATE of TRUST

This Certificate of Trust is being duly executed and filed on behalf of the statutory trust formed hereby by the undersigned, all of the trustees of the Trust, to form a statutory trust pursuant to the Delaware Statutory Trust Act (12 Del. C. § 3801 et seq.).

FIRST: The name of the statutory trust formed hereby is “1290 Funds Trust” (the “Trust”).

SECOND: The name and business address of a trustee of the Trust is:

Steven M. Joenk

c/o 1290 Funds Trust

1290 Avenue of the Americas

New York, New York, 10104

THIRD: The Trust is, or will become prior to or within 180 days following the first issuance of beneficial interests, a registered investment company under the Investment Company Act of 1940, as amended (15 U.S.C. ss. 80a-1 et seq.).

FOURTH: The address of the registered office of the Trust in the State of Delaware is:

The Corporation Trust Company

Corporation Trust Center

1209 Orange Street

Wilmington, Delaware 19801

FIFTH: The address of the registered agent for service of process on the Trust in the State of Delaware is:

The Corporation Trust Company

Corporation Trust Center

1209 Orange Street

Wilmington, Delaware 19801

The name of the registered agent at such address is The Corporation Trust Company.

SIXTH: The “governing instrument” of the Trust, within the meaning of the Delaware Act, (the “Trust Instrument”) provides for the issuance of one or more series of shares of beneficial interest in the Trust. Separate and distinct records shall be maintained by the Trust for each series and the assets associated solely with any such series shall be held in such separate and distinct records (directly or indirectly, including through a nominee or otherwise) and accounted for in such separate and distinct records separately from the assets of the Trust generally or any other series. As provided in the Trust Instrument, (i) the debts, liabilities, obligations and expenses incurred, contracted for or otherwise existing with respect to a particular series shall be enforceable against the assets of such series only, and not against the

assets of the Trust generally or any other series and (ii) none of the debts, liabilities, obligations and expenses incurred, contracted for otherwise existing with respect to the Trust generally or any other series thereof shall be enforceable against the assets of such series.

SEVENTH: This Certificate of Trust shall become effective upon filing in the Office of the Secretary of State of Delaware.

IN WITNESS WHEREOF, the Trustee named below does hereby execute this Certificate of Trust as of the 1^st day of March, 2013.


By:		/s/ *Steven M. Joenk*
		Trustee

Name:		Steven M. Joenk

By:		/s/ *Mary E. Cantwell*
		Trustee


Name:		Mary E. Cantwell

By:		/s/ *Brian E. Walsh*
		Trustee

Name:		Brian E. Walsh

- 2 -

11 Subsequent Filings that Reference this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 2/22/24  1290 Funds                        485BPOS     3/01/24   48:93M                                    Donnelley … Solutions/FA
 2/07/24  1290 Funds                        485BXT                 2:416K                                   Donnelley … Solutions/FA
12/11/23  1290 Funds                        485APOS               53:44M                                    Donnelley … Solutions/FA
 2/23/23  1290 Funds                        485BPOS     3/01/23   58:95M                                    Donnelley … Solutions/FA
 2/01/23  1290 Funds                        485BXT                 1:270K                                   Donnelley … Solutions/FA
12/12/22  1290 Funds                        485APOS               15:14M                                    Donnelley … Solutions/FA
 7/08/22  1290 Funds                        485BPOS     7/11/22   27:22M                                    Donnelley … Solutions/FA
 4/25/22  1290 Funds                        485APOS                6:13M                                    Donnelley … Solutions/FA
 2/24/22  1290 Funds                        485BPOS     3/01/22   52:57M                                    Donnelley … Solutions/FA
 2/25/21  1290 Funds                        485BPOS     3/01/21  149:49M                                    Donnelley … Solutions/FA
 5/15/14  SEC                               UPLOAD¶     9/29/17    1:92K  1290 Funds

↑Top

Filing Submission 0001193125-14-149194 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)