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– Release Delayed ·As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/19/21 Alger ETF Trust N-1A/A¶ 2/19/21 23:2.3M Donnelley … Solutions/FA → Alger 35 ETF ⇒ ATFV → Alger Mid Cap 40 ETF ⇒ FRTY |
Document/Exhibit Description Pages Size 1: N-1A/A The Alger Etf Trust N-1A/A HTML 674K 23: COVER Comment-Response or Cover Letter to the SEC HTML 13K 21: EX-99 Code of Ethics HTML 74K 2: EX-99.A.5 Certificate of Termination HTML 12K 3: EX-99.A.6 Certificate of Amendment HTML 12K 4: EX-99.B Amended and Restated By-Laws HTML 61K 5: EX-99.D.1 A&R Investment Management Agreement HTML 36K 6: EX-99.D.2 Fee Waiver Agreement HTML 14K 7: EX-99.E A&R Distribution Agreement HTML 53K 8: EX-99.G.1 Custodian Agreement HTML 171K 9: EX-99.G.2 Amendment to Custodian Agreement HTML 25K 10: EX-99.G.3 Amendment to Customer Agreement HTML 30K 11: EX-99.G.4 Amendment to Custodian Agreement HTML 20K 12: EX-99.G.5 Amendment to Custodian Agreement HTML 20K 13: EX-99.H.1 Transfer and Administrative Agency Agreement HTML 102K 14: EX-99.H.2 Authorized Participant Agreement HTML 101K 15: EX-99.H.3 Ap Representative Confidentiality & Undertaking HTML 65K Agreement 16: EX-99.H.4 Ap Representative Confidentiality & Undertaking HTML 68K Agreement 17: EX-99.I Legal Opinion HTML 17K 18: EX-99.J Deloitte & Touche LLP Consent HTML 9K 19: EX-99.L Purchase Agreement HTML 13K 20: EX-99.M Distribution Plan HTML 16K 22: EX-99.Q Power of Attorney HTML 16K
The Alger ETF Trust N-1A/A |
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 |
☒ |
Pre-Effective Amendment No. 1 |
☒ |
Post-Effective Amendment No. |
☐ |
and/or |
|
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 |
☒ |
Amendment No. 1 |
☒ |
(Check
appropriate box or boxes) |
|
Tina Payne, Esq. Fred Alger Management, LLC 360 Park Avenue South (Name and Address of Agent for Service) |
|
Ticker Symbol |
Listing Exchange |
Alger Mid Cap 40 ETF |
FRTY |
NYSE Arca, Inc. |
Alger 35 ETF |
ATFV |
NYSE Arca, Inc. |
|
Alger Mid Cap 40 ETF |
Shareholder Fees (fees paid directly from your investment) |
None |
Annual Fund Operating Expenses (expenses that you pay each year as a percentage of the value of your investment) | |
Management Fees |
0.50% |
Distribution and/or Service (12b-1) Fees* |
None
|
Other Expenses** |
0.90% |
Total Annual Fund Operating Expenses |
1.40% |
Fee
Waiver and/or Expense Reimbursement*** |
(0.80)% |
Total Annual Fund Operating Expenses After Fee Waiver and/or Expense
Reimbursement |
0.60% |
1 Year |
3 Years |
$61 |
$281 |
Investment Manager |
Portfolio Manager Primarily Responsible for Day-to-Day Management of the Fund’s
Portfolio |
Fred Alger Management, LLC |
Amy Y. Zhang, CFA Executive Vice President and Portfolio Manager Since Inception |
|
Alger
35 ETF |
Shareholder Fees (fees paid directly from your investment) |
None |
Annual Fund Operating Expenses (expenses that you pay each year as a percentage of the value of your investment) | |
Management Fees |
0.45% |
Distribution and/or Service (12b-1) Fees* |
None
|
Other Expenses** |
0.90% |
Total Annual Fund Operating Expenses |
1.35% |
Fee
Waiver and/or Expense Reimbursement*** |
(0.80)% |
Total Annual Fund Operating Expenses After Fee Waiver and/or Expense
Reimbursement |
0.55% |
1 Year |
3 Years |
$56 |
$265 |
Investment Manager |
Portfolio Manager Primarily Responsible for Day-to-Day Management of the Fund’s
Portfolio |
Fred Alger Management, LLC |
Dan C. Chung , CFA
Chief Executive Officer,
Chief Investment Officer and Portfolio Manager Since Inception |
Fund |
Portfolio Managers |
Since |
Alger Mid Cap 40 ETF |
Amy Y. Zhang, CFA |
Inception |
Alger 35 ETF |
Dan
C.
Chung ,
CFA |
Inception |
|
Year 1 |
Year 2 |
Year 3 |
Year 4 |
Year 5 |
Year 6 |
Year 7 |
Year 8 |
Year 9 |
Year 10 |
Expense Ratio |
0.60% |
0.60% |
1.40% |
1.40% |
1.40% |
1.40% |
1.40% |
1.40% |
1.40% |
1.40% |
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 |
4.40% |
8.99% |
12.92% |
16.98% |
21.19% |
25.56% |
30.08% |
34.76% |
39.61% |
44.64% |
End Investment Balance |
$10,440 |
$10,899 |
$11,292 |
$11,698 |
$12,119 |
$12,556 |
$13,008 |
$13,476 |
$13,961 |
$14,464 |
Annual Expense |
$61 |
$64 |
$155 |
$161 |
$167 |
$173 |
$179 |
$185 |
$192 |
$199 |
|
Year 1 |
Year 2 |
Year 3 |
Year 4 |
Year 5 |
Year 6 |
Year 7 |
Year 8 |
Year 9 |
Year 10 |
Expense Ratio |
0.55% |
0.55% |
1.35% |
1.35% |
1.35% |
1.35% |
1.35% |
1.35% |
1.35% |
1.35% |
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% |
9.10% |
13.08% |
17.21% |
21.49% |
25.92% |
30.52% |
35.28% |
40.22% |
45.34% |
End Investment Balance |
$10,445 |
$10,910 |
$11,308 |
$11,721 |
$12,149 |
$12,592 |
$13,052 |
$13,528 |
$14,022 |
$14,534 |
Annual Expense |
$56 |
$59 |
$150 |
$155 |
$161 |
$167 |
$173 |
$179 |
$186 |
$193 |
By Telephone: |
800-223
-3810 |
By Mail: |
Alger
Family of Funds c/o Brown Brothers Harriman & Co.
50 Post Office Square
|
Online |
Text
versions of Fund documents can be downloaded from the following sources: |
|
• The Funds: www.alger.com |
|
• SEC (EDGAR data base): www.sec.gov |
|
Ticker Symbol |
Listing Exchange |
Alger Mid Cap 40 ETF (“Alger Mid Cap 40”) |
FRTY |
NYSE Arca, Inc. |
Alger 35 ETF (“Alger 35”) |
ATFV |
NYSE Arca, Inc. |
Fund |
Shares Per Creation Unit |
Alger Mid Cap 40 ETF |
12,500 |
Alger 35 ETF |
12,500 |
Fund |
Standard Creation Transaction Fee* |
Maximum Additional Charge for Creations |
Alger Mid Cap 40 ETF |
160$ |
3% |
Alger 35 ETF |
100$ |
3% |
Fund |
Standard Redemption Transaction Fee |
Maximum Charge for Redemptions* |
Alger Mid Cap 40 ETF |
160$ |
2% |
Alger 35 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
Portfolios 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; Emeritus Trustee since 2020 and Trustee from 2013 to 2020, Pennsylvania Ballet; School Committee Member since 2017, Germantown Friends School. |
29 |
Board of Directors, Alger
Associates, Inc.; Director
of Target Margin Theater |
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
Portfolios in the Alger
Fund Complex(3)
which are Overseen by
Trustee |
Other
Directorships Held by Trustee During Past
Five Years |
Non-Interested Trustees: |
|
|
|
|
Charles F. Baird, Jr. (1953) |
Trustee since 2020 |
Managing Director of North Castle Partners (private equity securities group). |
29 |
|
Roger P. Cheever (1945) |
Trustee since 2020 |
Associate Vice President for Development Strategy since 2020 and Associate Vice President for Principal Gifts from 2008 to 2020, Harvard University. |
29 |
Board of Directors, Alger
SICAV Fund |
Stephen E. O’Neil (1932) |
Trustee since 2020 |
Retired. |
29 |
|
David Rosenberg (1962) |
Trustee since 2020 |
Associate Professor of Law since August 2000, Zicklin School of Business, Baruch College, City University of New York. |
29 |
|
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. |
29 |
|
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 Alger
Alternative Holdings, LLC; Director, Alger SICAV, Alger
International Holdings, and Alger Dynamic Return Offshore
Fund; Vice President, COO, Member, and Secretary, Alger Capital, LLC and Alger Group Holdings, LLC; Executive Director and Chairman, Alger Management, Ltd.;
Manager and Secretary, Weatherbie Capital, LLC and Alger Apple Real Estate
LLC; Manager, Alger Partners Investors I, LLC and Alger
Partners Investors KEIGF; Secretary, Alger-Weatherbie
Holdings, LLC and Alger Boulder I LLC; and Director and Secretary, The Foundation for Alger Families. |
2020 | |
Since 2017, Senior Vice President, General Counsel, and Chief Compliance Officer
(“CCO”), Alger Management; Senior Vice President, General
Counsel, and Secretary, Alger LLC; CCO, Alger Management,
Ltd.; Assistant Secretary, Weatherbie Capital, LLC and Alger
Alternative Holdings, LLC; and since 2019, Assistant Secretary, Alger-Weatherbie Holdings, LLC. Formerly, Senior Vice President and Associate General Counsel, Cohen &
Steers Capital Management, from 2007 to 2017. |
2020 | |
Senior Vice President, Alger Management. |
2020 | |
Anthony S. Caputo (1955)
Assistant Treasurer |
Vice President, Alger Management. |
2020 |
Sergio M. Pavone (1961)
Assistant Treasurer |
Vice President, Alger Management. |
2020 |
Mia G. Pillinger (1989)
Assistant Secretary |
Associate Counsel of Alger Management since 2020. Formerly, Associate at Willkie Farr &
Gallagher, LLP, from 2016 to 2020. |
2020 |
Rachel I. Winters (1987)
Assistant Secretary |
Paralegal and Compliance Officer of Alger Management since 2018. Formerly, Senior
Paralegal, VanEck Associates Corporation, from 2017 to 2018 and Compliance
Officer and Paralegal, Cohen & Steers Capital Management
from 2014 to 2017. |
2020 |
Name of Person, Position |
Aggregate Compensation
from The Alger ETF
Trust* |
Total Compensation Paid
to Trustee from The Alger Fund Complex** |
Charles F. Baird, Jr. |
265$ |
143,500$ |
Roger P. Cheever |
280$ |
153,500$ |
Stephen E. O’Neil |
265$ |
143,500$ |
David Rosenberg |
241$ |
131,000$ |
Nathan E. Saint-Amand |
265$ |
143,500$ |
Name of Trustee |
Alger Mid Cap 40 |
Alger 35 |
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 |
Roger P. Cheever |
A |
A |
E |
Stephen E. O’Neil |
A |
A |
B |
David Rosenberg |
A |
A |
C |
Nathan E. Saint-Amand |
A |
A |
E |
|
Registered Investment
Companies |
Other Pooled Investment
Vehicles |
Other Accounts | |||
Dan
Chung*x |
13
|
$3,291,060,658 |
4
|
$175,321,883 |
4
|
$30,642,196 |
Amy
Zhang |
5
|
$9,264,621,669 |
1
|
$1,074,486,931 |
5
|
$189,644,824 |
|
Alger Mid Cap 40 ETF |
Alger 25 ETF |
ASSETS |
|
|
|
Alger Mid Cap 40 ETF |
Alger 25 ETF |
Cash |
$100,000 |
$100,000 |
Total Assets |
100,000 |
100,000 |
LIABILITIES |
|
|
|
|
|
Total Liabilities |
— |
— |
NET ASSETS |
$100,000 |
$100,000 |
NET ASSETS CONSIST OF: |
|
|
Paid in capital (unlimited shares authorized, par value of $.001 per
share) |
$100,000 |
$100,000 |
|
|
|
SHARES OF BENEFICIAL INTEREST OUSTANDING – NOTE 4: |
5,000 |
5,000 |
NET ASSET VALUE PER SHARE |
$ 20.00 |
$ 20.00 |
Alger Mid Cap 40 |
0.60% |
Alger 25 |
0.55% |
Fund |
Shares Per Creation Unit |
Alger Mid Cap 40 |
12,500 |
Alger 25 |
12,500 |
Exhibit No. |
Description of Exhibit |
(a) |
Articles of Incorporation: |
(a-1) |
Agreement and Declaration of Trust, dated March 24, 2020 ( Incorporated by reference to the Registrant’s
|
(a-2) |
Certificate of Designation, dated March 24, 2020 ( Incorporated by reference to the Registrant’s |
(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) ( filed herewith) |
(a-6) |
Certificate of Amendment (Alger 35 ETF), dated February 11, 2021 ( filed herewith) |
(b) |
By-laws: Amended and Restated By-laws of The Alger ETF Trust (the “Registrant”) ( filed herewith) |
(c) |
Instruments Defining Rights of Security Holders: See Exhibits (a) and (b) |
(d) |
Investment Advisory Contracts: |
(d-1) |
Amended & Restated Investment Management Agreement for Registrant, dated February 11, 2021 ( filed |
(d-2) |
Contract to Support Fee Waiver/Expense Reimbursement, dated February 11, 2021 ( filed herewith) |
(e) |
Underwriting Contracts: Amended & Restated Distribution Agreement, dated February 11, 2021 ( filed |
(f) |
Bonus or Profit Sharing Contracts: Not applicable. |
(g) |
Custodian Agreements: |
(g-1) |
Custodian Agreement between Registrant and Brown Brothers Harriman & Co. (“BBH”), dated February
|
(g-2) |
Amendment to Custodian Agreement, dated January 6, 2017 ( filed herewith) |
(g-3) |
Amendment to Custodian Agreement, dated December 20, 2017 ( filed herewith) |
(g-4) |
Amendment to Custodian Agreement, dated October 15, 2018 ( filed herewith) |
(g-5) |
Amendment to Custodian Agreement, dated January 4, 2021 ( filed herewith) |
(h) |
Other Material Contracts: |
(h-1) |
Transfer and Administrative Agency Agreement Between Registrant and BBH, dated January 4, 2021 ( filed |
(h-2) |
Form of Authorized Participant Agreement ( filed
herewith) |
(h-3) |
Form of Authorized Participant Representative Agreement ( filed herewith) |
(h-4) |
Form of Authorized Participant Representative Agreement (Clearing Broker) ( filed herewith) |
(i) |
Legal Opinion: Opinion of Sullivan & Worcester ( filed herewith) |
(j) |
Other Opinions: Consent of Independent Registered Public Accounting Firm ( filed herewith) |
(k) |
Omitted Financial Statements: Not applicable. |
(l) |
Initial Capital Agreements: Purchase Agreement for the Registrant, dated January 5, 2021 ( filed herewith) |
(m) |
Rule 12b-1 Plan, dated February 11, 2021 ( filed
herewith) |
(n) |
Rule 18f-3 Plan: Not applicable. |
(o) |
Reserved. |
(p) |
Codes of Ethics: Code of Ethics ( filed herewith
) |
Exhibit No. |
Description of Exhibit |
(q) |
Powers of Attorney executed by Hal Liebes, Michael D. Martins, Hilary M. Alger, Charles F. Baird, Jr.,
Roger P. Cheever, Stephen E. O’Neil, David Rosenberg and Nathan E.
Saint-Amand, M.D, dated December 15, 2020 (
filed herewith) |
NAME AND POSITION WITH ALGER MANAGEMENT |
OTHER SUBSTANTIAL BUSINESS, PROFESSION OR VOCATION |
Daniel C. Chung
Chairman, President and Chief Executive Officer |
President and Chief Executive Officer, Alger Associates,
Inc., Alger Capital, LLC, Alger Group Holdings, LLC,
Alger Apple Real Estate, LLC and Alger Boulder I LLC;
Manager, Weatherbie Capital, LLC; Director, Alger
Management, Ltd.; Director and Chairman, Alger
International Holdings; President, Chief Executive Officer
and Manager, Alger Alternative Holdings, LLC; Chairman,
President and Manager, Alger-Weatherbie Holdings, LLC;
and President and Director, The Foundation for Alger
Families |
Robert Kincel
Chief Financial Officer, Senior Vice President and
Treasurer |
Chief Financial Officer and Treasurer, Alger Associates,
Inc.; Chief Financial Officer, Treasurer and Senior Vice
President, Fred Alger & Company, LLC; Treasurer and
Manager, Weatherbie Capital, LLC and Alger-Weatherbie
Holdings, LLC; Director, Alger International Holdings;
Chief Financial Officer, Treasurer and Manager, Alger
Alternative Holdings, LLC; Chief Financial Officer,
Treasurer and Vice President, Alger Capital, LLC and Alger
Group Holdings, LLC; Treasurer, Alger Apple Real Estate,
LLC and Alger Boulder I LLC; Treasurer and Director, The
Foundation for Alger Families |
Chief Operating Officer and Secretary, Alger Associates,
Inc.; Chief Operating Officer, Secretary and Manager,
Alger Alternative Holdings, LLC; Director, Alger SICAV,
Alger International Holdings, and Alger Dynamic Return
Offshore Fund; Vice President, Chief Operating Officer,
Member, and Secretary, Alger Capital, LLC and Alger
Group Holdings, LLC; Executive Director and Chairman,
Alger Management, Ltd.; Manager and Secretary,
Weatherbie Capital, LLC and Alger Apple Real Estate LLC;
Manager, Alger Partners Investors I, LLC, Alger-
Weatherbie Holdings, LLC and Alger Partners Investors
KEIGF; Secretary, Alger Boulder I LLC; and Director and
Secretary, The Foundation for Alger Families | |
Senior Vice President, General Counsel, and Secretary, Fred
Alger & Company, LLC; Chief Compliance Officer, Alger
Management, Ltd.; Assistant Secretary, Weatherbie Capital,
LLC, Alger Alternative Holdings, LLC and Alger-
Weatherbie Holdings, 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) |
NAME |
POSITION(s) AND OFFICE(S) WITH ALGER LLC |
POSITION(s) AND OFFICE(S) WITH REGISTRANT |
Darryl Ah Now |
Senior Vice President |
None |
Antoine Allen |
Assistant Vice President |
None |
Scott Anderson |
Vice President |
None |
Alex Bernstein |
Vice President |
None |
Donald Best Jr. |
Vice President |
None |
Anthony Caputo |
Vice President |
Assistant Treasurer |
John Carbone |
Senior Vice President |
None |
Natalie Cardona |
Assistant Vice President |
None |
Elizabeth Carey |
Senior Vice President |
None |
Josephine Carey |
Vice President |
None |
Peter Chang |
Vice President |
None |
Joo Chia |
Assistant Vice President |
None |
Kevin Collins |
Senior Vice President |
None |
Brian Costello |
Senior Vice President |
None |
Ryan Craig |
Vice President |
None |
Jonathon Dibble |
Assistant Vice President |
None |
Alexandra Doyle |
Assistant Vice President |
None |
Edward Doyle |
Senior Vice President |
None |
Joanne Dwyer |
Assistant Vice President |
None |
John Fennessy |
Vice President |
None |
Elizabeth Flanders |
Vice President |
None |
Jonathan Foster |
Senior Vice President |
None |
Patrice Franco |
Vice President |
None |
Victor Frazier |
Vice President |
None |
David Friedman |
Senior Vice President |
None |
Matthew Galvin |
Vice President |
None |
Nicholas Generale |
Vice President |
None |
Matthew Goldberg |
Senior Vice President |
None |
Rona Hakaj |
Assistant Vice President |
None |
Chad Harding |
Vice President |
None |
Andrew Harrington |
Assistant Vice President |
None |
Ivana Hayblum |
Assistant Vice President |
None |
Dennis Hearns |
Senior Vice President |
None |
William Huang |
Vice President |
None |
Frank Iacovano |
Assistant Vice President |
None |
Stacia Ikpe |
Vice President |
None |
Jeremy Jackson |
Vice President |
None |
Sean Jacobus |
Vice President |
None |
NAME |
POSITION(s) AND OFFICE(S) WITH ALGER LLC |
POSITION(s) AND OFFICE(S) WITH REGISTRANT |
Robert Kerr |
Vice President |
None |
Daniel Kilpatrick |
Vice President |
None |
Robert Kincel |
Senior Vice President |
None |
Alan Kirby |
Senior Vice President |
None |
Jennifer Lecowitch |
Vice President |
None |
Aaron Lee |
Vice President |
None |
Thomas Leswing |
Assistant Vice President |
None |
David Lewis |
Vice President |
None |
Executive Vice President |
President, Principal Executive Officer | |
Jacob Lilie |
Vice President |
None |
Chad Mackelprang |
Assistant Vice President |
None |
Roman Magiera |
Assistant Vice President |
None |
Shana Mandel |
Vice President |
None |
Robert Marks |
Vice President |
None |
Michael Martins |
Senior Vice President |
Treasurer, Principal Financial Officer, AML Compliance Officer |
Edwin Peter Moor |
Vice President |
None |
Nicholas Morrello |
Assistant Vice President |
None |
Michael Nelson |
Vice President |
None |
Brad Neuman |
Senior Vice President |
None |
Arthur Nowak |
Vice President |
None |
Shannon O'Connor |
Vice President |
None |
Robert O'Dell |
Vice President |
None |
Sergio Pavone |
Vice President |
Assistant Treasurer |
Senior Vice President |
Secretary, Chief Compliance Officer, Chief Legal Officer | |
Clare Perry |
Vice President |
None |
May Poon |
Senior Vice President |
None |
Jessie Quick |
Vice President |
None |
Margaret Revell |
Assistant Vice President |
None |
Jacquelyn Rizzo |
Assistant Vice President |
None |
Ryan Rodgers |
Vice President |
None |
Sushmita Sahu |
Vice President |
None |
Katharine Schupp |
Senior Vice President |
None |
Jeanne Sdroulas |
Senior Vice President |
None |
Joseph Spano |
Vice President |
None |
Zenon Staniek |
Assistant Vice President |
None |
Joseph Stein |
Vice President |
None |
John Strouse |
Vice President |
None |
James Tambone |
Executive Vice President |
None |
Christie Tully |
Senior Vice President |
None |
NAME |
POSITION(s) AND OFFICE(S) WITH ALGER LLC |
POSITION(s) AND OFFICE(S) WITH REGISTRANT |
Louise Ulitto |
Assistant Vice President |
None |
Jeffrey Vigilante |
Vice President |
None |
Mark Werner |
Vice President |
None |
David Zappone |
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) |
|
Hal
Liebes | ||
Treasurer (Principal Financial Officer) |
||
Michael D.
Martins | ||
* |
Trustee |
|
Charles F.
Baird | ||
* |
Trustee |
|
Roger P.
Cheever | ||
* |
Trustee |
|
Hilary M.
Alger | ||
* |
Trustee |
|
David
Rosenberg | ||
* |
Trustee |
|
Nathan E.
Saint-Amand | ||
* |
Trustee |
|
Stephen E.
O’Neil |
*By: |
/s/ Hal Liebes |
|
|
Attorney-In-Fact |
|
Exhibit No. |
Description of Exhibit |
(a-5) |
Certificate of Termination (Alger Focus Fund) |
(a-6) |
Certificate of Amendment (Alger 35 ETF) |
(b) |
Amended and Restated By-laws of The Alger ETF Trust |
(d-1) |
Amended & Restated Investment Management Agreement for Registrant, dated February 11, 2021 |
(d-2) |
Contract to Support Fee Waiver/Expense Reimbursement, dated February 11, 2021 |
(e) |
Amended & Restated Distribution Agreement, dated February 11, 2021 |
(g-1) |
|
(g-2) |
Amendment to Custodian Agreement, dated January 6, 2017 |
(g-3) |
Amendment to Custodian Agreement, dated December 20, 2017 |
(g-4) |
Amendment to Custodian Agreement, dated October 15, 2018 |
(g-5) |
Amendment to Custodian Agreement, dated January 4, 2021 |
(h-1) |
Transfer and Administrative Agency Agreement Between Registrant and BBH, dated January 4, 2021 |
(h-2) |
Form of Authorized Participant Agreement |
(h-3) |
Form of Authorized Participant Representative Agreement |
(h-4) |
Form of Authorized Participant Representative Agreement (Clearing Broker) |
(i) |
Opinion of Sullivan & Worcester |
(j) |
Consent of Independent Registered Public Accounting Firm |
(l) |
Purchase Agreement for the Registrant, dated January 5, 2021 |
(m) |
Rule 12b-1 Plan, dated February 11, 2021 |
(p) |
Code of Ethics |
(q) |
Powers of Attorney executed by Hal Liebes, Michael D. Martins, Hilary M. Alger, Charles F. Baird, Jr.,
Roger P. Cheever, Stephen E. O’Neil, David Rosenberg and Nathan E.
Saint-Amand, M.D, dated December 15, 2020 |
This ‘N-1A/A’ Filing | Date | Other Filings | ||
---|---|---|---|---|
4/30/23 | ||||
12/31/21 | 24F-2NT, N-CEN, N-CSR, NPORT-P | |||
Filed on: | 2/19/21 | |||
2/11/21 | ||||
1/5/21 | ||||
1/4/21 | ||||
1/1/21 | ||||
12/31/20 | ||||
12/15/20 | ||||
8/13/20 | ||||
3/24/20 | ||||
10/15/18 | ||||
12/20/17 | ||||
1/6/17 | ||||
2/29/08 | ||||
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 3/28/24 Alger ETF Trust 485BPOS 4/01/24 36:4.2M Donnelley … Solutions/FA 12/26/23 Alger ETF Trust 485APOS 3:1.5M Donnelley … Solutions/FA 4/26/23 Alger ETF Trust 485BPOS 4/30/23 17:3.3M Donnelley … Solutions/FA 2/13/23 Alger ETF Trust 8-A12B 1:15K 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 4/27/22 Alger ETF Trust 485BPOS 4/30/22 16:2.4M Donnelley … Solutions/FA 2/22/21 Alger ETF Trust 8-A12B 1:18K Donnelley … Solutions/FA |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 8/18/20 Alger ETF Trust N-1A 8/17/20 5:997K Donnelley … Solutions/FA |