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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 3/28/24 Alger ETF Trust 485BPOS 4/01/24 36:4.2M Donnelley … Solutions/FA → Alger AI Enablers & Adopters ETF ⇒ ALAI → Alger Concentrated Equity ETF ⇒ CNEQ |
Document/Exhibit Description Pages Size 1: 485BPOS Alger Etf Trust HTML 1.27M 4: EX-99.(A-10) Certificate of Amendment - the Alger Etf Trust HTML 16K 2: EX-99.(A-8) Certificate of Designation (Alger Concentrated HTML 19K Equity Etf), Dated Feb 20, 2024 3: EX-99.(A-9) Certificate of Designation(Alger Artificial HTML 19K Intelligenceetf),Dated Feb20,2024 5: EX-99.(D-3) Amendment to Ima, Dated February 20, 2024 HTML 19K 6: EX-99.(D-4) Contract to Support Fee Waiver/Expense HTML 20K Reimbursement, Dated February 20, 2024 7: EX-99.(E-3) Amendment to Amended & Restated Distribution HTML 16K Agreement, Dated February 20, 2024 8: EX-99.(G-1) Custody Agreement Between Registrant and Bny, HTML 268K Dated June 1, 2023 9: EX-99.(G-2) Amendment to Custody Agreement, Dated March 28, HTML 24K 2024 10: EX-99.(G-3) Foreign Custody Manager Agreement Between HTML 39K Registrant and Bny, Dated June 1, 2023 11: EX-99.(G-4) Amendment to Foreign Custody Manager Agreement, HTML 23K Dated March 28, 2024 12: EX-99.(H-1) Transfer Agency & Service Agreement Between HTML 81K Registrant & Bny, Dated June 1, 2023 13: EX-99.(H-2) Amendment to Transfer Agency and Service HTML 20K Agreement, Dated March 28, 2024 14: EX-99.(H-3) Fund Administration&Accounting Agreement Between HTML 193K Registrant&Bny,Dted June1, 2023 15: EX-99.(H-4) Amendment to Fund Administration &Accounting HTML 49K Agreement, Dated December 15, 2023 16: EX-99.(H-5) Amendment to Fund Administration & Accounting HTML 27K Agreement, Dated January 29, 2024 17: EX-99.(H-6) Amendment to Fund Administration and Accounting HTML 27K Agreement, Dated March 28, 2024 18: EX-99.(H-7) Form of Authorized Participant Agreement HTML 146K 19: EX-99.(I-3) Opinion of Sullivan & Worcester HTML 20K 20: EX-99.(I-4) Opinion of Sullivan & Worcester HTML 20K 21: EX-99.(J) Consent of Independent Registered Public HTML 13K Accounting Firm 22: EX-99.(M) Rule 12B-1 Plan, Dated February 20, 2024 HTML 19K 23: EX-99.(P) Amended and Restated Code of Ethics HTML 116K 33: R1 Document and Entity Information HTML 30K 34: R2 Risk/Return Detail Data- Alger Concentrated Equity HTML 155K ETF 35: R3 Risk/Return Detail Data- Alger Artificial HTML 167K Intelligence ETF 36: R4 Risk/Return Detail Data HTML 18K 29: XML IDEA XML File -- Filing Summary XML 25K 32: XML XBRL Instance -- d792915d485bpos_htm XML 198K 25: EX-101.CAL XBRL Calculations -- af-20240328_cal XML 23K 26: EX-101.DEF XBRL Definitions -- af-20240328_def XML 466K 27: EX-101.LAB XBRL Labels -- af-20240328_lab XML 416K 28: EX-101.PRE XBRL Presentations -- af-20240328_pre XML 433K 24: EX-101.SCH XBRL Schema -- af-20240328 XSD 36K 30: JSON XBRL Instance as JSON Data -- MetaLinks 106± 239K 31: ZIP XBRL Zipped Folder -- 0001193125-24-080662-xbrl Zip 560K
Alger ETF Trust |
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 |
☒ |
Pre-Effective Amendment No. |
☐ |
Post-Effective Amendment No. 9 |
☒ |
and/or |
|
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 |
☒ |
Amendment No. 10 |
☒ |
(Check appropriate box or boxes) |
|
(Address of Principal Executive Offices) |
(Zip Code) |
Tina Payne, Esq. Fred Alger Management, LLC 100 Pearl Street, 27th Floor (Name and Address of Agent for Service) |
☐ |
immediately upon filing pursuant to paragraph (b) |
☒ |
|
☐ |
60 days after filing pursuant to paragraph (a) |
☐ |
on (date) pursuant to paragraph (a) |
☐ |
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. |
|
Ticker Symbol |
Listing Exchange |
Alger Concentrated Equity ETF |
CNEQ |
NYSE Arca, Inc. |
Alger AI Enablers & Adopters ETF |
ALAI |
NYSE Arca, Inc. |
|
Alger Concentrated Equity ETF |
|
i None |
|
Alger Concentrated Equity ETF |
Management Fees |
i 0.45% |
Distribution and/or Service (12b-1) Fees* |
i None |
Other Expenses** |
i 0.57% |
Total Annual Fund Operating Expenses |
i 1.02% |
Fee Waiver and/or Expense Reimbursement*** |
( i 0.47)% |
Total Annual Fund Operating Expenses After Fee Waiver and/or Expense Reimbursement |
i 0.55% |
|
1 Year |
3 Years |
Alger Concentrated Equity ETF |
$ i 56 |
$ i 241 |
Investment Manager |
Portfolio Manager Primarily Responsible for Day-to-Day Management of the Fund |
Fred Alger Management, LLC |
Ankur Crawford, Ph.D. Executive Vice President and Portfolio Manager Since Inception (April 2024) |
|
Alger AI Enablers & Adopters ETF |
|
i None |
|
Alger AI Enablers & Adopters ETF |
Management Fees |
i 0.45% |
Distribution and/or Service (12b-1) Fees* |
i None |
Other Expenses** |
i 0.57% |
Total Annual Fund Operating Expenses |
i 1.02% |
Fee Waiver and/or Expense Reimbursement*** |
( i 0.47)% |
Total Annual Fund Operating Expenses After Fee Waiver and/or Expense Reimbursement |
i 0.55% |
|
1 Year |
3 Years |
Alger AI Enablers & Adopters ETF |
$ i 56 |
$ i 241 |
Investment Manager |
Portfolio Manager Primarily Responsible for Day-to-Day Management of the Fund |
Fred Alger Management, LLC |
Patrick Kelly, CFA Executive Vice President, Head of Alger Capital Appreciation and Spectra Strategies and Portfolio Manager Since Inception (April 2024) |
Fund |
Annual Fee as a Percentage of Average Daily Net Assets |
Alger Concentrated Equity ETF |
0.45% |
Alger AI Enablers & Adopters ETF |
0.45% |
Fund |
Portfolio Managers |
Since |
Alger Concentrated Equity ETF |
Ankur Crawford, Ph.D. |
Inception (April 2024) |
Alger AI Enablers & Adopters ETF |
Patrick Kelly, CFA |
Inception (April 2024) |
|
Year 1 |
Year 2 |
Year 3 |
Year 4 |
Year 5 |
Year 6 |
Year 7 |
Year 8 |
Year 9 |
Year 10 |
Expense Ratio |
0.55% |
1.02% |
1.02% |
1.02% |
1.02% |
1.02% |
1.02% |
1.02% |
1.02% |
1.02% |
Cumulative Gross Return |
5.00% |
10.25% |
15.76% |
21.55% |
27.63% |
34.01% |
40.71% |
47.75% |
55.13% |
62.89% |
Cumulative Net Return |
4.45% |
8.98% |
13.31% |
17.82% |
22.51% |
27.39% |
32.46% |
37.73% |
43.21% |
48.91% |
End Investment Balance |
$10,445 |
$10,898 |
$11,331 |
$11,782 |
$12,251 |
$12,739 |
$13,246 |
$13,773 |
$14,321 |
$14,891 |
Annual Expense |
$56 |
$71 |
$113 |
$118 |
$123 |
$127 |
$133 |
$138 |
$143 |
$149 |
|
Year 1 |
Year 2 |
Year 3 |
Year 4 |
Year 5 |
Year 6 |
Year 7 |
Year 8 |
Year 9 |
Year 10 |
Expense Ratio |
0.55% |
1.02% |
1.02% |
1.02% |
1.02% |
1.02% |
1.02% |
1.02% |
1.02% |
1.02% |
Cumulative Gross Return |
5.00% |
10.25% |
15.76% |
21.55% |
27.63% |
34.01% |
40.71% |
47.75% |
55.13% |
62.89% |
Cumulative Net Return |
4.45% |
8.98% |
13.31% |
17.82% |
22.51% |
27.39% |
32.46% |
37.73% |
43.21% |
48.91% |
End Investment Balance |
$10,445 |
$10,898 |
$11,331 |
$11,782 |
$12,251 |
$12,739 |
$13,246 |
$13,773 |
$14,321 |
$14,891 |
Annual Expense |
$56 |
$71 |
$113 |
$118 |
$123 |
$127 |
$133 |
$138 |
$143 |
$149 |
By Telephone: |
(800) 223-3810 |
By Mail: |
|
Online |
Text versions of Fund documents can be downloaded from the following sources: |
|
•The Funds: www.alger.com |
|
•SEC (EDGAR data base): www.sec.gov |
|
Ticker Symbol |
Listing Exchange |
Alger Concentrated Equity ETF (“Concentrated Equity ETF”) |
CNEQ |
NYSE Arca, Inc. |
Alger AI Enablers & Adopters ETF (“AI ETF”) |
ALAI |
NYSE Arca, Inc. |
Fund |
Shares Per Creation Unit |
Alger Concentrated Equity ETF |
12,500 |
Alger AI Enablers & Adopters ETF |
12,500 |
Fund |
Standard Creation Transaction Fee* |
Maximum Additional Charge for Creations |
Alger Concentrated Equity ETF |
$100 |
3% |
Alger AI Enablers & Adopters ETF |
$100 |
3% |
Fund |
Standard Redemption Transaction Fee |
Maximum Charge for Redemptions* |
Alger Concentrated Equity ETF |
$100 |
2% |
Alger AI Enablers & Adopters ETF |
$100 |
2% |
Name, (Year of Birth), and Address(1) |
Position(s) Held with the Trust and Length of Time Served |
Principal Occupation(s) During Past Five Years |
Number of Funds in the Alger Fund Complex(3) which are Overseen by Trustee |
Other Directorships Held by Trustee During Past Five Years |
Interested Trustee(2): |
|
|
|
|
Hilary M. Alger (1961) |
Trustee since 2020 |
Non-profit Fundraising Consultant since 2015, Schultz & Williams; Non-profit Fundraising Consultant since 2014, Hilary Alger Consulting; Emeritus Trustee since 2020 and Trustee from 2013 to 2020, Philadelphia Ballet; School Committee Member from 2017 to 2023, Germantown Friends School; Trustee, Target Margin Theatre from 1995 to 2023. |
32 |
Board of Directors, Alger Associates, Inc. |
Non-Interested Trustees: |
|
|
|
|
Charles F. Baird, Jr. (1953) |
Trustee since 2020 |
Managing Partner of North Castle Partners (private equity securities group). |
32 |
|
David Rosenberg (1962) |
Trustee since 2020 |
Associate Professor of Law since August 2000, Zicklin School of Business, Baruch College, City University of New York. |
32 |
|
Nathan E. Saint-Amand M.D. (1938) |
Trustee since 2020 |
Medical doctor in private practice since 1970; Member of the Board of the Manhattan Institute (non-profit policy research) since 1988. |
32 |
|
Name (Year of Birth), Position with Trust and Address(1) |
Principal Occupations |
Officer Since |
Officers(2): |
|
|
Executive Vice President, Chief Operating Officer (“COO”), and Secretary, Alger Management; COO and Secretary, Alger Associates, Inc. and Weatherbie Capital, LLC; COO, Vice President, Secretary and Manager, Alger Group Holdings, LLC and Alger Capital, LLC; Director, Alger SICAV; Executive Director and Chairman, Alger Management, Ltd.; Manager and Secretary, Alger Apple Real Estate LLC; Manager, Alger Partners Investors I, LLC, Alger Partners Investors II, LLC, Alger Partners Investors KEIGF, Alger Partners Investors-Crossbay LLC and Redwood Investments, LLC; Secretary, Alger Boulder
I LLC. |
2020 | |
Senior Vice President, General Counsel, Chief Compliance Officer (“CCO”) and Assistant Secretary, Alger Management; Senior Vice President, General Counsel and Secretary, Alger LLC; CCO, Alger Management, Ltd. and Redwood Investments, LLC; Assistant Secretary, Weatherbie Capital, LLC; Vice President and Assistant Secretary, Alger Group Holdings, LLC. |
2020 | |
Senior Vice President, Alger Management. |
2020 | |
Sergio M. Pavone (1961) Assistant Treasurer |
Vice President, Alger Management. |
2020 |
Mia G. Pillinger (1989) Assistant Secretary |
Vice President, Associate Counsel of Alger Management since 2020. Formerly, Associate at Willkie Farr & Gallagher, LLP, from 2016 to 2020. |
2020 |
Sushmita Sahu (1981) AML Compliance Officer |
Vice President, Alger Management. |
2021 |
Name of Person, Position |
Aggregate Compensation from the Trust* |
Total Compensation Paid to Trustee from The Alger Fund Complex*^ |
Charles F. Baird, Jr. |
$492 |
$169,000 |
David Rosenberg |
$492 |
$169,000 |
Nathan E. Saint-Amand |
$486 |
$169,000 |
Name of Trustee |
Concentrated Equity ETF |
AI ETF |
Aggregate Equity Securities of Funds in Alger Fund Complex Overseen by Trustee |
Interested Trustee: |
|
|
|
Hilary M. Alger |
A |
A |
E |
Independent Trustees: |
|
|
|
Charles F. Baird, Jr. |
A |
A |
E |
David Rosenberg |
A |
A |
C |
Nathan E. Saint-Amand |
A |
A |
E |
|
Registered Investment Companies |
Other Pooled Investment Vehicles |
Other Accounts | |||
Ankur Crawford* |
6 |
$8,803,048,171 |
8 |
$1,176,130,596 |
42 |
$2,560,512,447 |
Patrick Kelly* |
6 |
$8,803,048,171 |
8 |
$1,176,130,596 |
42 |
$2,560,512,447 |
Portfolio Manager |
Fund |
Range |
Ankur Crawford |
Concentrated Equity ETF |
A |
Patrick Kelly |
AI ETF |
A |
Exhibit No. |
Description of Exhibit |
(a) |
Articles of Incorporation: |
(a-1) |
Agreement and Declaration of Trust for The Alger ETF Trust (“Registrant”), dated March 24, 2020 |
(a-2) |
Certificate of Designation, dated March 24, 2020 (Incorporated by reference to the Registration Statement, |
(a-3) |
Certificate of Designation (Alger Mid Cap 40 ETF), dated August 13, 2020 (Incorporated by reference to |
(a-4) |
Certificate of Designation (Alger 25 ETF), dated August 13, 2020 (Incorporated by reference to the |
(a-5) |
Certificate of Termination (Alger Focus Fund) (Incorporated by reference to Pre-Effective Amendment No. |
(a-6) |
Certificate of Amendment (Alger 35 ETF), dated February 11, 2021 (Incorporated by reference to Pre- |
(a-7) |
Certificate of Designation (Alger Weatherbie Enduring Growth ETF), dated December 6, 2022 |
(a-8) |
Certificate of Designation (Alger Concentrated Equity ETF), dated February 20, 2024 (filed herewith) |
(a-9) |
Certificate of Designation (Alger Artificial Intelligence ETF), dated February 20, 2024 (filed herewith) |
(a-10) |
|
(b) |
By-laws: Amended and Restated By-laws of Registrant (Incorporated by reference to Pre-Effective |
(c) |
Instruments Defining Rights of Security Holders: See Exhibits (a) and (b) |
(d) |
Investment Advisory Contracts: |
(d-1) |
Amended & Restated Investment Management Agreement (“IMA”) between Registrant and Fred Alger Management, LLC (“FAM”), dated February 11, 2021 (Incorporated by reference to Pre-Effective |
(d-2) |
|
(d-3) |
|
(d-4) |
|
(d-5) |
Sub-Advisory Agreement between FAM and Weatherbie Capital, LLC, dated March 1, 2017 (Incorporated |
(d-6) |
Amendment to Sub-Advisory Agreement, dated September 29, 2020 (Incorporated by reference to Post- |
(d-7) |
Amendment to Sub-Advisory Agreement, dated December 6, 2022 (Incorporated by reference to Post- Effective Amendment No. 3 to the Registration Statement, filed with the SEC on November February 10, 2023) |
(e) |
Underwriting Contracts: |
(e-1) |
Amended & Restated Distribution Agreement, dated February 11, 2021 (Incorporated by reference to Pre- |
(e-2) |
Amendment to Amended & Restated Distribution Agreement, dated December 6, 2022 (Incorporated by |
Exhibit No. |
Description of Exhibit |
(e-3) |
|
(f) |
Bonus or Profit Sharing Contracts: Not applicable. |
(g) |
Custodian Agreements: |
(g-1) |
Custody Agreement between Registrant and The Bank of New York Mellon (“BNY”), dated June 1, 2023 |
(g-2) |
|
(g-3) |
|
(g-4) |
|
(h) |
Other Material Contracts: |
(h-1) |
Transfer Agency and Service Agreement between Registrant and BNY, dated June 1, 2023 (filed herewith) |
(h-2) |
|
(h-3) |
Fund Administration and Accounting Agreement between Registrant and BNY, dated June 1, 2023 (filed |
(h-4) |
|
(h-5) |
|
(h-6) |
|
(h-7) |
|
(h-8) |
Form of Authorized Participant Representative Agreement (Incorporated by reference to Pre-Effective |
(h-9) |
Form of Authorized Participant Representative Agreement (Clearing Broker) (Incorporated by reference to |
(i) |
Legal Opinions |
(i-1) |
Opinion of Sullivan & Worcester (Incorporated by reference to Pre-Effective Amendment No. 1 to the |
(i-2) |
Opinion of Sullivan & Worcester (Alger Weatherbie Enduring Growth ETF) (Incorporated by reference to |
(i-3) |
|
(i-4) |
|
(j) |
|
(k) |
Omitted Financial Statements: Not applicable. |
(l) |
Initial Capital Agreements: Purchase Agreement for Registrant, dated January 5, 2021 (Incorporated by |
(m) |
|
(n) |
Rule 18f-3 Plan: Not applicable. |
(o) |
Reserved. |
(p) |
|
(q) |
Powers of Attorney executed by Hal Liebes, Michael D. Martins, Hilary M. Alger, Charles F. Baird, Jr., Roger P. Cheever, David Rosenberg and Nathan E. Saint-Amand, M.D. (Incorporated by reference to Post- |
101.INS |
XBRL Instance Document – the instance document does not appear on the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document. |
101.SCH |
XBRL Taxonomy Extension Schema |
101.CAL |
XBRL Taxomony Extension Calculation Linkbase |
101.DEF |
XBRL Taxomony Extension Definition Linkbase |
101.LAB |
XBRL Taxomony Extension Label Linkbase |
101.PRE |
XBRL Taxonomy Extension Presentation Linkbase |
NAME AND POSITION WITH FAM |
OTHER SUBSTANTIAL BUSINESS, PROFESSION OR VOCATION |
Daniel C. Chung Chairman, President, Chief Executive Officer (“CEO”) |
President and CEO, Alger Associates, Inc., Weatherbie Capital, LLC, Alger Apple Real Estate, LLC and Alger Boulder I LLC; Director, Alger Management, Ltd. and Alger SICAV; President, CEO and Manager, Alger Group Holdings, LLC and Alger Capital, LLC; Manager, Redwood Investments, LLC |
Robert Kincel Chief Financial Officer (“CFO”), Senior Vice President, Treasurer |
CFO and Treasurer, Alger Associates, Inc.; CFO, Treasurer, Vice President and Manager, Alger Group Holdings, LLC and Alger Capital, LLC; CFO, Treasurer and Senior Vice President, Fred Alger & Company, LLC; Treasurer and CFO, Weatherbie Capital, LLC; Treasurer, Alger Apple Real Estate, LLC and Alger Boulder I LLC; Authorized Signer, Alger Management, Ltd. |
COO and Secretary, Alger Associates, Inc. and Weatherbie Capital, LLC; COO, Vice President, Secretary and Manager, Alger Group Holdings, LLC and Alger Capital, LLC; Director, Alger SICAV; Executive Director and Chairman, Alger Management, Ltd.; Manager and Secretary, Alger Apple Real Estate LLC; Manager, Alger Partners Investors I, LLC, Alger Partners Investors II, LLC, Alger Partners Investors KEIGF, Alger Partners Investors- Crossbay LLC and Redwood Investments, LLC; Secretary, Alger Boulder
I LLC | |
Chief Compliance Officer (“CCO”), General Counsel, Assistant Secretary, Senior Vice President |
Senior Vice President, General Counsel and Secretary, Fred Alger & Company, LLC; CCO and Authorized Signer, Alger Management, Ltd.; Assistant Secretary, Weatherbie Capital, LLC; Vice President and Assistant Secretary, Alger Group Holdings, LLC; CCO, Redwood Investments, LLC |
Christoph Hofmann Chief Distribution Officer, Executive Vice President |
President, CEO and Chief Distribution Officer, Fred Alger & Company, LLC |
(a) |
Fred Alger & Company, LLC (“Alger LLC”) acts as principal underwriter for Registrant, The Alger Funds, The Alger Institutional Funds, The Alger Portfolios, The Alger Funds II, and Alger Global Focus Fund. |
(b) |
Alger LLC is a Delaware limited liability company located at 100 Pearl Street, 27th Floor, New York, New York 10004. The following is a list of the directors and officers of Alger LLC: |
NAME |
POSITION(S) AND OFFICE(S) WITH ALGER LLC |
POSITION(S) AND OFFICE(S) WITH REGISTRANT |
Darryl Ah Now |
Senior Vice President |
None |
Scott Anderson |
Senior Vice President |
None |
David Berdine |
Vice President |
None |
Alex Bernstein |
Senior Vice President |
None |
NAME |
POSITION(S) AND OFFICE(S) WITH ALGER LLC |
POSITION(S) AND OFFICE(S) WITH REGISTRANT |
Natalie Cardona |
Assistant Vice President |
None |
Josephine Carey |
Vice President |
None |
Peter Chang |
Senior Vice President |
None |
Joo Chia |
Assistant Vice President |
None |
Kevin Collins |
Senior Vice President |
None |
Chris Conte |
Vice President |
None |
Brian Costello |
Senior Vice President |
None |
Ryan Craig |
Vice President |
None |
Jessica Davis |
Vice President |
None |
Tommy Ding |
Assistant Vice President |
None |
Christopher Downey |
Vice President |
None |
Edward Doyle |
Senior Vice President |
None |
Joanne Dwyer |
Assistant Vice President |
None |
Colin Dwyer |
Vice President |
None |
Neil Elevado |
Assistant Vice President |
None |
Elizabeth Flanders |
Vice President |
None |
Jonathan Foster |
Senior Vice President |
None |
Christopher Franz |
Vice President |
None |
Victor Frazier |
Vice President |
None |
Matthew Galletta |
Senior Vice President |
None |
Nicholas Generale |
Vice President |
None |
Daniel Giblin |
Assistant Vice President |
None |
Matthew Goldberg |
Senior Vice President |
None |
Andrew Harrington |
Vice President |
None |
Peter Harris |
Vice President |
None |
Ivana Hayblum |
Vice President |
None |
Christopher Hine |
Vice President |
None |
Christoph Hofmann |
President, Chief Distribution Officer |
None |
Frank Iacovano |
Vice President |
None |
Stacia Ikpe |
Senior Vice President |
None |
Sean Jacobus |
Vice President |
None |
Kevin Karpich |
Assistant Vice President |
None |
Robert Kerr |
Vice President |
None |
Daniel Kilpatrick |
Vice President |
None |
Robert Kincel |
Senior Vice President |
None |
Alan Kirby |
Senior Vice President |
None |
Tiffany Larson |
Vice President |
None |
Aaron Lee |
Vice President |
None |
David Lewis |
Vice President |
None |
Executive Vice President |
President, Principal Executive Officer | |
Jacob Lilie |
Senior Vice President |
None |
Chris Lin |
Vice President |
None |
NAME |
POSITION(S) AND OFFICE(S) WITH ALGER LLC |
POSITION(S) AND OFFICE(S) WITH REGISTRANT |
Chad Mackelprang |
Vice President |
None |
Barbara Mackey |
Assistant Vice President |
None |
Roman Magiera |
Assistant Vice President |
None |
Sharudh Majid |
Vice President |
None |
Robert Marks |
Vice President |
None |
Michael Martins |
Senior Vice President |
Treasurer, Principal Financial Officer |
James McCormick |
Senior Vice President |
None |
Nicholas Morrello |
Vice President |
None |
Lidney Motch |
Vice President |
None |
Michael Nelson |
Vice President |
None |
Brad Neuman |
Senior Vice President |
None |
Arthur Nowak |
Vice President |
None |
Udoka Nwogugu |
Vice President |
None |
Shannon O'Connor |
Senior Vice President |
None |
Anna Osilovsky |
Assistant Vice President |
None |
Subhasish Parida |
Vice President |
None |
Sergio Pavone |
Vice President |
Assistant Treasurer |
Senior Vice President |
Secretary, Chief Compliance Officer, Chief Legal Officer | |
Mia Pillinger |
Vice President |
Assistant Secretary |
May Poon |
Senior Vice President |
None |
Kosal Prum |
Vice President |
None |
Jessie Quick |
Vice President |
None |
Margaret Revell |
Assistant Vice President |
None |
Jacquelyn Rizzo |
Vice President |
None |
Ryan Rodgers |
Vice President |
None |
Tyler Rosenthal |
Vice President |
None |
Sushmita Sahu |
Vice President |
AML Compliance Officer |
Katherine Schupp |
Senior Vice President |
None |
Jason Smilowitz |
Vice President |
None |
Pramod Somani |
Vice President |
None |
Joseph Spano |
Vice President |
None |
Zenon Staniek |
Vice President |
None |
Joseph Stein |
Vice President |
None |
John Stergiou |
Senior Vice President |
None |
John Strouse |
Vice President |
None |
Shannon Weiss |
Vice President |
None |
Nathaniel Young |
Assistant Vice President |
None |
David Zappone |
Vice President |
None |
Jordan Zdatny |
Assistant Vice President |
None |
(c) |
Not applicable. |
|
THE ALGER ETF TRUST | |
|
By: |
/s/ Hal Liebes |
|
|
Hal Liebes, President |
ATTEST: |
/s/ Tina Payne |
|
|
Tina Payne, Secretary |
|
Signature |
Title |
Date |
/s/ Hal Liebes |
President (Principal Executive Officer) |
|
Treasurer (Principal Financial Officer) |
||
* |
Trustee |
|
Charles F. Baird | ||
* |
Trustee |
|
Hilary M. Alger | ||
* |
Trustee |
|
David Rosenberg | ||
* |
Trustee |
|
Nathan E. Saint-Amand |
*By: |
/s/ Hal Liebes |
|
|
Attorney-In-Fact |
|
Exhibit No. |
Description of Exhibit |
(a-8) |
Certificate of Designation (Alger Concentrated Equity ETF), dated February 20, 2024 |
(a-9) |
Certificate of Designation (Alger Artificial Intelligence ETF), dated February 20, 2024 |
(a-10) |
Certificate of Amendment (Alger AI Enablers & Adopters ETF) |
(d-3) |
Amendment to IMA, dated February 20, 2024 |
(d-4) |
Contract to Support Fee Waiver/Expense Reimbursement, dated February 20, 2024 |
(e-3) |
Amendment to Amended & Restated Distribution Agreement, dated February 20, 2024 |
(g-1) |
Custody Agreement between Registrant and BNY, dated June 1, 2023 |
(g-2) |
Amendment to Custody Agreement, dated March 28, 2024 |
(g-3) |
Foreign Custody Manager Agreement between Registrant and BNY, dated June 1, 2023 |
(g-4) |
Amendment to Foreign Custody Manager Agreement, dated March 28, 2024 |
(h-1) |
Transfer Agency and Service Agreement between Registrant and BNY, dated June 1, 2023 |
(h-2) |
Amendment to Transfer Agency and Service Agreement, dated March 28, 2024 |
(h-3) |
Fund Administration and Accounting Agreement between Registrant and BNY, dated June 1, 2023 |
(h-4) |
Amendment to Fund Administration and Accounting Agreement, dated December 15, 2023 |
(h-5) |
Amendment to Fund Administration and Accounting Agreement, dated January 29, 2024 |
(h-6) |
Amendment to Fund Administration and Accounting Agreement, dated March 28, 2024 |
(h-7) |
Form of Authorized Participant Agreement |
(i-3) |
Opinion of Sullivan & Worcester (Alger Concentrated Equity ETF) |
(i-4) |
Opinion of Sullivan & Worcester (Alger AI Enablers & Adopters ETF) |
(j) |
Consent of Independent Registered Public Accounting Firm |
(m) |
Rule 12b-1 Plan, dated February 20, 2024 |
(p) |
Amended and Restated Code of Ethics |
This ‘485BPOS’ Filing | Date | Other Filings | ||
---|---|---|---|---|
1/1/26 | ||||
12/31/25 | ||||
4/5/24 | ||||
Effective on: | 4/1/24 | |||
Filed on: | 3/28/24 | |||
3/27/24 | 24F-2NT | |||
2/20/24 | ||||
1/29/24 | ||||
1/1/24 | ||||
12/31/23 | 24F-2NT, N-CEN, N-CSR, NPORT-P | |||
12/15/23 | ||||
6/1/23 | ||||
3/7/23 | 497, 497K | |||
12/6/22 | ||||
1/1/22 | ||||
2/11/21 | ||||
1/11/21 | ||||
1/5/21 | ||||
12/31/20 | ||||
9/29/20 | ||||
8/13/20 | ||||
3/24/20 | ||||
1/31/20 | ||||
12/31/17 | ||||
3/1/17 | ||||
List all Filings |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 4/24/24 Alger ETF Trust 485BPOS 4/29/24 16:4.4M Donnelley … Solutions/FA 4/01/24 Alger ETF Trust 8-A12B 1:18K Donnelley … Solutions/FA |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 12/26/23 Alger ETF Trust 485APOS 3:1.5M Donnelley … Solutions/FA 2/10/23 Alger ETF Trust 485BPOS 2/10/23 23:2.1M Donnelley … Solutions/FA 11/18/22 Alger ETF Trust 485APOS 4:1.2M Donnelley … Solutions/FA 2/19/21 Alger ETF Trust N-1A/A¶ 2/19/21 23:2.3M Donnelley … Solutions/FA 8/18/20 Alger ETF Trust N-1A 8/17/20 5:997K Donnelley … Solutions/FA |