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| CIK | 1833032 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to ASYMmetric ETFs Trust - ASYMmetric Smart S&P 500 ETF
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| November 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-8F APPLICATION FOR DEREGISTRATION OF CERTAIN REGISTERED INVESTMENT COMPANIES I. General Identifying Information 1. Reason fund is applying to deregister (check only one; for descriptions, see Instruction 1 above): Merger X Liquidation Abandonment of Registration (Note: Abandonments of Registration answer only questions |
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| October 18, 2023 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE Arca hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on October 30, 2023, pursuant to the provisions of Rule 12d2-2 (a). |
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| October 18, 2023 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE Arca hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on October 30, 2023, pursuant to the provisions of Rule 12d2-2 (a). |
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| January 27, 2023 |
As filed with the Securities and Exchange Commission on January 27, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 22, 2022 |
ASYMsharesTM ASYMmetric S&P 500(R) ETF Schedule of Investments (Unaudited) September 30, 2022 Shares Value COMMON STOCKS - 32. |
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| May 26, 2022 |
ASYMshares ASYMmetric S&P 500 ETF Schedule of Investments (Unaudited) March 31, 2022 Shares Value COMMON STOCKS - 36. |
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| April 29, 2022 |
POS EX 1 asymmetricetfaspyposex.htm POS EX Filed with the U.S. Securities and Exchange Commission on April 29, 2022 1933 Act Registration File No. 333-250955 1940 Act File No. 811-23622 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [ X ] Pre-Effective Amendment No. [ ] Post-Effective Amendment No. 3 [ X ] and/or REG |
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| April 29, 2022 |
First Amendment to the Investment Advisory Agreement between the Trust and ASYMmetric ETFs, LLC (the ASYMMETRIC ETFS TRUST FIRST AMENDMENT TO THE INVESTMENT ADVISORY AGREEMENT This First Amendment (the ?Amendment?) to the Investment Advisory Agreement by and between ASYMmetric ETFs Trust, a Delaware business trust (the ?Trust?), on behalf of ASYMshares ASYMmetric 500 ETF (the ?Fund?) and ASYMmetric ETFs, LLC, a Delaware limited liability company (the ?Adviser?), dated February 12, 2021, (the ?Agreement?), is made and entered into as of June 3, 2021, retroactively effective as of the commencement of operations of the Fund, by the Trust and the Adviser. |
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| November 23, 2021 |
ASYMsharesTM ASYMmetric 500 ETF Schedule of Investments (Unaudited) September 30, 2021 Shares Value COMMON STOCKS - 99. |
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| May 21, 2021 |
ASYMshares ASYMmetric 500 ETF Schedule of Investments (Unaudited) March 31, 2021 COMMON STOCKS - 96. |
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| March 4, 2021 |
CORRESP 1 filename1.htm March 4, 2021 Peter J. Shea [email protected] T +1 212 536 3988 F +1 212 536 3901 VIA EDGAR Lauren Hamilton U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-8030 Re: ASYMmetric ETFs Trust, File Nos. 811-23622; 333-250955 Registration Statement on Form N-1A Dear Ms. Hamilton: The following are responses by and on behalf of ASYMmetric ETF |
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| March 4, 2021 |
CORRESP 1 filename1.htm ASYMmetric ETFs Trust 158 East 126th Street, Suite 304 New York, NY 10035 March 3, 2021 VIA EDGAR Christopher R. Bellacicco Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-8030 ASYMmetric ETFs Trust, File Nos. 811-23622; 333-250955 Request for Acceleration of the Effective Date of Pre-Effective Amendment No |
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| March 3, 2021 |
- FORM FOR THE REGISTRATION/LISTING OF A CLASS OF SECURITIES UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 ASYMmetric ETFs Trust (Exact name of registrant as specified in its charter) Delaware 85-2097777 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 158 East 126th Street, |
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| March 3, 2021 |
CORRESP 1 filename1.htm March 3, 2021 Peter J. Shea [email protected] T +1 212 536 3988 F +1 212 536 3901 VIA EDGAR Christopher R. Bellacicco Lauren Hamilton Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-8030 Re: ASYMmetric ETFs Trust, File Nos. 811-23622; 333-250955 Registration Statement on Form N-1A Dear Mr. Bellacicco a |
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| February 12, 2021 |
CORRESP 1 filename1.htm February 12, 2021 VIA EDGAR Christopher R. Bellacicco Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-8030 Re: ASYMmetric ETFs Trust, File Nos. 811-23622; 333-250955 Registration Statement on Form N-1A Dear Mr. Bellacicco: The following are responses by and on behalf of ASYMmetric ETFs Trust (“Registrant”) |
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| February 12, 2021 |
EX-99.(H)(4) 10 ex99-h4.htm SUBLICENSE AGREEMENT BETWEEN THE TRUST AND ASYMMETRIC ETFS, LLC ASYMmetric ETFs Trust N-1A/A Exhibit 99(h)(4) SUBLICENSE AGREEMENT This Sublicense Agreement (the “Agreement”) is made as of February 12, 2021, by and between ASYMmetric ETFs, LLC (“Adviser”) and ASYMmetric ETFs Trust, a statutory trust established under the laws of the State of Delaware (“Trust”). RECITALS |
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| February 12, 2021 |
N-1A/A 1 asym-n1aa021221.htm AMENDMENT TO FORM N-1A As filed with the Securities and Exchange Commission on February 12, 2021 1933 Act File No. 333-250955 1940 Act File No. 811-23622 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ☒ Pre-Effective Amendment No. 1 ☒ Post-Effective Amendment No. [ ] ☐ and/or REG |
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| February 12, 2021 |
ASYMmetric ETFs Trust N-1A/A Exhibit 99(p)(3) I. CODE OF ETHICS FOR TOROSO INVESTMENTS, LLC A. Introduction 1. Purpose This section of Toroso Investments, LLC (the ?Company? or ?Firm?) Compliance Manual and Code of Ethics (the ?Manual?) has been adopted to provide an overview of policies and procedures applicable to the Company?s Code of Ethics (the ?Code of Ethics? or ?Code?) in an effort to main |
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| February 12, 2021 |
ASYMMETRIC ETFS, LLC CODE OF ETHICS ASYMmetric ETFs Trust N-1A/A Exhibit 99(p)(2) ASYMMETRIC ETFS, LLC CODE OF ETHICS Introduction ASYMmetric ETFs, LLC (?Asymmetric ? or the ?Firm?), in accordance with the requirements of Rule 204A of the Investment Advisers Act of 1940 (the ?Advisers Act?), has approved and adopted this Code of Ethics (the ?Code?). |
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| February 12, 2021 |
ASYMmetric ETFs, LLC 158 East 126th Street, Suite 304 New York, NY 10035 ASYMmetric ETFs Trust N-1A/A Exhibit 99(l) ASYMmetric ETFs, LLC 158 East 126th Street, Suite 304 New York, NY 10035 February 2, 2021 ASYMmetric ETFs Trust 158 East 126th Street, Suite 304 New York, NY 10035 To whom it may concern: In order to provide ASYMmetric ETFs Trust (the ?Trust?) with initial capital, we have purchased from the Trust the amount of shares of the initial series of the Trust at the price per share as follows: Number of Shares Price Per Share Total Investment 4,000 $25 $100,000 We represent and warrant to the Trust that the shares of the Trust have been acquired for investment and not with a view to distribution thereof, and that we have no present intention to redeem or dispose of any of the shares. |
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| February 12, 2021 |
ASYMmetric ETFs Trust N-1A/A Exhibit 99(j)(2) POWER OF ATTORNEY I, Vivienne Hsu, the undersigned Trustee of ASYMmetric ETFs Trust (the ?Trust?) hereby revoke all previous powers of attorney I have signed, if any, and otherwise act in my name and behalf in matters involving the Trust and do hereby constitute and appoint Darren Schuringa and Scott Clark, and each of them singularly, my true and lawf |
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| February 12, 2021 |
ASYMmetric ETFs Trust ASYMshares ASYMmetric 500 ETF (the “Fund”) ASYMmetric ETFs Trust N-1A/A Exhibit 99(i) February 12, 2021 ASYMmetric ETFs Trust 158 East 126th Street, Suite 304 New York, NY 10035 ASYMmetric ETFs Trust ASYMshares ASYMmetric 500 ETF (the ?Fund?) Ladies and Gentlemen: We have acted as counsel to ASYMmetric ETFs Trust, a statutory trust formed under the laws of the State of Delaware (the ?Trust?), in connection with the filing of Pre-Effective Amendment No. |
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| February 12, 2021 |
ASYMMETRIC ETFS TRUST CODE OF ETHICS EX-99.(P)(1) 17 ex99-p1.htm CODE OF ETHICS OF THE TRUST ASYMmetric ETFs Trust N-1A/A Exhibit 99(p)(1) ASYMMETRIC ETFS TRUST CODE OF ETHICS Adopted Pursuant to Rule 17j-1 While affirming its confidence in the integrity and good faith of all of its officers and trustees, ASYMmetric ETFs Trust (the “Trust”), recognizes that the knowledge of present or future portfolio transactions and, in certain ins |
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| February 12, 2021 |
ETF FUND ACCOUNTING SERVICING AGREEMENT EX-99.(H)(2) 8 ex99-h2.htm ETF FUND ACCOUNTING SERVICING AGREEMENT BETWEEN THE TRUST AND U.S. BANCORP FUND SERVICES D/B/A U.S. BANK GLOBAL FUND SERVICES ASYMmetric ETFs Trust N-1A/A Exhibit 99(h)(2) ETF FUND ACCOUNTING SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of the last day written on the signature page by and between ASYMmetric ETFs Trust, a Delaware statutory trust (the “T |
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| February 12, 2021 |
EXPENSE LIMITATION AGREEMENT ASYMmetric ETFs TRUST EX-99.(H)(5) 11 ex99-h5.htm EXPENSE LIMITATION AGREEMENT ASYMmetric ETFs Trust N-1A/A Exhibit 99(h)(5) EXPENSE LIMITATION AGREEMENT ASYMmetric ETFs TRUST This Agreement is made and entered into on February 12, 2021, by and between the funds listed on Schedule A (each, a “Fund”), each a series of shares of ASYMmetric ETFs Trust, a Delaware statutory trust (the “Trust”) and ASYMmetric ETFs, LLC, a D |
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| February 12, 2021 |
FUND ADMINISTRATION SERVICING AGREEMENT ASYMmetric ETFs Trust N-1A/A Exhibit 99(h)(1) FUND ADMINISTRATION SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of the last day written on the signature page by and between ASYMmetric ETFs Trust, a Delaware statutory trust (the ?Trust?) and U. |
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| February 12, 2021 |
EX-99.(E)(1) 4 ex99-e1.htm ETF DISTRIBUTION AGREEMENT BETWEEN THE TRUST AND FORESIDE FUND SERVICES, LLC ASYMmetric ETFs Trust N-1A/A Exhibit 99(e)(1) ETF DISTRIBUTION AGREEMENT This Distribution Agreement (the “Agreement”) is made this 12th day of February 2021, by and between ASYMmetric ETFs Trust, a Delaware statutory trust (the “Trust”) having its principal place of business at 158 East 126th S |
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| February 12, 2021 |
EX-99.(G) 6 ex99-g.htm CUSTODY AGREEMENT BETWEEN THE TRUST AND U.S. BANK NATIONAL ASSOCIATION ASYMmetric ETFs Trust N-1A/A Exhibit 99(g) ETF CUSTODY AGREEMENT THIS AGREEMENT is made and entered into as of the last date on the signature page, by and between ASYMmetric ETFs Trust, a Delaware statutory trust, (the “Trust”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized |
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| February 12, 2021 |
ASYMmetric ETFs Trust 12b-1 Distribution and Service Plan EX-99.(M) 16 ex99-m.htm RULE 12B-1 DISTRIBUTION AND SERVICE PLAN ASYMmetric ETFs Trust N-1A/A Exhibit 99(m) ASYMmetric ETFs Trust 12b-1 Distribution and Service Plan WHEREAS, ASYMmetric ETFs Trust (the “Trust”) is an open-end management investment company registered as such under the Investment Company Act of 1940, as amended (the “1940 Act”), and organized as a series trust; WHEREAS, the Board of |
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| February 12, 2021 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.(J)(1) 13 ex99-j1.htm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ASYMmetric ETFs Trust N-1A/A Exhibit 99(j)(1) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation in this Registration Statement on Form N-1A of our report dated February 12, 2021, relating to the financial statement of ASYMshares® ASYMmetric 500 ETF, a series of ASYMmet |
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| February 12, 2021 |
EX-99.(D)(2) 3 ex99-d2.htm SUBADVISORY AGREEMENT BETWEEN THE TRUST AND TOROSO INVESTMENTS, LLC ASYMmetric ETFs Trust N-1A/A Exhibit 99(d)(2) SUB-ADVISORY AGREEMENT This Sub-Advisory Agreement (the “Agreement”) is made as of this 12th day of February, 2021 by and between ASYMmetric ETFs, LLC, a Delaware limited liability company with its principal place of business at 158 East 126th Street, Suite 3 |
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| February 12, 2021 |
TRANSFER AGENT SERVICING AGREEMENT EX-99.(H)(3) 9 ex99-h3.htm TRANSFER AGENT SERVICING AGREEMENT BETWEEN THE TRUST AND U.S. BANCORP FUND SERVICES D/B/A U.S. BANK GLOBAL FUND SERVICES ASYMmetric ETFs Trust N-1A/A Exhibit 99(h)(3) TRANSFER AGENT SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of the last day written on the signature page by and between ASYMmetric ETFs Trust, a Delaware statutory trust (the “Trust”) and |
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| February 12, 2021 |
FORM OF AUTHORIZED PARTICIPANT AGREEMENT EX-99.(E)(2) 5 ex99-e2.htm FORM OF AUTHORIZED PARTICIPANT AGREEMENT ASYMmetric ETFs Trust N-1A/A Exhibit 99(e)(2) FORM OF AUTHORIZED PARTICIPANT AGREEMENT This Authorized Participant Agreement (the “Agreement”) is entered into by and between Foreside Fund Services, LLC (the “Distributor”) and (the “Participant”) and is subject to acceptance by U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL |
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| February 12, 2021 |
EX-99.(D)(1) 2 ex99-d1.htm INVESTMENT ADVISORY AGREEMENT BETWEEN THE TRUST AND ASYMMETRIC ETFS, LLC ASYMmetric ETFs Trust N-1A/A Exhibit 99(d)(1) INVESTMENT ADVISORY AGREEMENT This Investment Advisory Agreement (“Agreement”) is made and entered into as of February 12, 2021, by and between ASYMmetric ETFs Trust, a Delaware statutory trust (“Trust”), on behalf of the funds listed on Appendix A, each |
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| November 25, 2020 |
By-laws of the Registrant dated August 7, 2020. ASYMmetric ETFs Trust N-1A Exhibit 99(b) ASYMmetric ETFs Trust BY-LAWS As adopted August 7, 2020 TABLE OF CONTENTS Page ARTICLE I PRINCIPAL OFFICE AND SEAL 1 Section 1. |
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| November 25, 2020 |
Declaration of Trust of the Registrant dated August 7, 2020. ASYMmetric ETFs Trust N-1A Exhibit 99(a) ASYMmetric ETFs Trust 92-03 101st Ave Ozone Park, NY 11416 DECLARATION OF TRUST August 7, 2020 Table of Contents ARTICLE I FORMATION AND DEFINITIONS 1 Section 1. |
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| November 25, 2020 |
As filed with the Securities and Exchange Commission on November 25, 2020 N-1A 1 asym-n1a112520.htm INITIAL REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on November 25, 2020 1933 Act File No. 333- 1940 Act File No. 811-23622 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ☒ Pre-Effective Amendment No. ☐ Post-Effective Amendment No. ☐ and/or REGISTRATI |
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| November 25, 2020 |
November 25, 2020 Peter J. Shea [email protected] Tel: 1-212-536-3988 Fax: 1-212-536-3901 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: ASYMmetric ETFs Trust Initial Registration Statement on Form N-1A Investment Company Act File No. 811-23622 Ladies and Gentlemen: Transmitted herewith for filing on behalf of ASYMmetric ETFs Trust (the “Trust”), |
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| November 24, 2020 |
- INITIAL NOTIFICATION OF REGISTRATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-8A NOTIFICATION OF REGISTRATION FILED PURSUANT TO SECTION 8(a) OF THE INVESTMENT COMPANY ACT OF 1940 The undersigned investment company hereby notifies the Securities and Exchange Commission that it registers under and pursuant to the provisions of Section 8(a) of the Investment Company Act of 1940 and in connection wit |
