Mga Batayang Estadistika
| CIK | 1199046 |
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 Unified Series Trust - OneAscent Emerging Markets 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.
| August 20, 2025 |
ETF DISTRIBUTION AGREEMENT This ETF Distribution Agreement (this “Agreement”) is effective the 1st day of July, 2025, between Unified Series Trust, an Ohio business trust (the “Trust”), on behalf of itself and the fund(s) listed on Schedule B, as may be amended from time to time (each, a “Fund”, and collectively, the “Funds”), and Northern Lights Distributors, LLC a Nebraska limited liability company (the “Distributor”). |
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| August 20, 2025 |
AMENDMENT MASTER SERVICES AGREEMENT AMENDMENT TO MASTER SERVICES AGREEMENT This Amendment (“Amendment”) is made as of August 19, 2025, by and between Unified Series Trust, an Ohio business trust (the “Trust”) and Ultimus Fund Solutions, LLC, an Ohio limited liability company (“Ultimus”), and amends the Master Services Agreement made as of January 5, 2017, as amended (the “Agreement”). |
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| August 20, 2025 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-1A of our report dated May 30, 2025, relating to the financial statements and financial highlights of Dean Small Cap Value Fund, Dean Mid Cap Value Fund, and Dean Equity Income Fund, each a series of Unified Series Trust, which are included in Form N-CSR for the year ended March 31, 2025, and to the references to our firm under the headings “Financial Highlights” in the Prospectus, and “Independent Registered Public Accounting Firm” in the Statement of Additional Information. |
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| August 20, 2025 |
AMENDMENT TO AMENDED AND RESTATED CONSULTING AGREEMENT AMENDMENT TO AMENDED AND RESTATED CONSULTING AGREEMENT THIS AMENDMENT TO AMENDED AND RESTATED CONSULTING AGREEMENT (this “Amendment”) is effective as of May 28, 2025 and is made by and between Unified Series Trust, an Ohio business trust having its office and principal place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (the “Trust”), and NORTHERN LIGHTS COMPLIANCE SERVICES, LLC, a Nebraska limited liability company having its office and principal place of business at 4221 North 203rd Street, Suite 100, Elkhorn, Nebraska 68022 (“NLCS”). |
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| August 20, 2025 |
AMENDMENT TO AMENDED AND RESTATED CONSULTING AGREEMENT AMENDMENT TO AMENDED AND RESTATED CONSULTING AGREEMENT THIS AMENDMENT TO AMENDED AND RESTATED CONSULTING AGREEMENT (this “Amendment”) is effective as of August 19, 2025, and is made by and between UNIFIED SERIES TRUST, an Ohio business trust having its office and principal place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (the “Trust”), and NORTHERN LIGHTS COMPLIANCE SERVICES, LLC, a Nebraska limited liability company having its office and principal place of business at 4221 North 203rd Street, Suite 100, Elkhorn, Nebraska 68022 (“NLCS”). |
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| August 20, 2025 |
AMENDMENT TO DISTRIBUTION AGREEMENT AMENDMENT TO DISTRIBUTION AGREEMENT THIS AMENDMENT TO DISTRIBUTION AGREEMENT (this “Amendment”), effective as of August 19, 2025, by and among Unified Series Trust (the “Trust”) and Ultimus Fund Distributors, LLC (“Distributor”). |
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| August 20, 2025 |
DISTRIBUTION AGREEMENT This Agreement made as of July 1, 2025 by and between Unified Series Trust, an Ohio business trust (the “Trust”), and Ultimus Fund Distributors, LLC, an Ohio limited liability company (“Distributor”). |
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| August 20, 2025 |
AMENDMENT TO MASTER SERVICES AGREEMENT AMENDMENT TO MASTER SERVICES AGREEMENT THIS AMENDMENT TO MASTER SERVICES AGREEMENT (this “Amendment”) is effective as of August 19, 2025 and is made by and between Unified Series Trust, an Ohio business trust having its office and principal place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (the “Trust”), and Ultimus Fund Solutions, LLC, an Ohio limited liability company having its office and principal place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (“Ultimus”). |
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| August 20, 2025 |
Securities Act File No. 333-100654 Investment Company Act File No. 811-21237 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 x Pre-Effective Amendment No. o Post-Effective Amendment No. 610 x and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 x Amendment No. 611 x Unified Series Trust (Exa |
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| August 1, 2025 |
OneAscent Large Cap Core ETF Schedule of Investments May 31, 2025 - (Unaudited) COMMON STOCKS — 99 . |
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| August 1, 2025 |
NPORT-P false 0001199046 XXXXXXXX S000077262 C000237525 Unified Series Trust 811-21237 0001199046 549300NFHRL589EP7U13 225 Pictoria Drive Suite 450 Cincinnati 45246 513-587-3400 ONEASCENT INTERNATIONAL EQUITY ETF S000077262 549300AFKB6MHY5B5X32 2025-08-31 2025-05-31 N 210815204. |
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| August 1, 2025 |
OneAscent Large Cap Core ETF Schedule of Investments May 31, 2025 - (Unaudited) COMMON STOCKS — 99 . |
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| August 1, 2025 |
OneAscent Large Cap Core ETF Schedule of Investments May 31, 2025 - (Unaudited) COMMON STOCKS — 99 . |
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| August 1, 2025 |
OneAscent Large Cap Core ETF Schedule of Investments May 31, 2025 - (Unaudited) COMMON STOCKS — 99 . |
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| August 1, 2025 |
OneAscent Large Cap Core ETF Schedule of Investments May 31, 2025 - (Unaudited) COMMON STOCKS — 99 . |
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| May 9, 2025 |
UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 May 9, 2025 Division of Investment Management Disclosure Review and Accounting Office U. |
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| October 15, 2024 |
October 15, 2024 Soo Im-Tang U.S. Securities & Exchange Commission Division of Investment Management Re: ABSOLUTE CEF OPPORTUNITIES INSTITUTIONAL SHARES SEC File No. 811-21237 Ms. Im-Tang: Thompson Hine LLP represents Unified Series Trust (the “Registrant”). Below are responses to your comments given on October 9, 2024 with respect to the Securities and Exchange Commission Staff’s review of the Re |
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| July 31, 2024 |
Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments May 31, 2024 (Unaudited) COMMON STOCKS — 98. |
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| July 31, 2024 |
Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments May 31, 2024 (Unaudited) COMMON STOCKS — 98. |
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| July 31, 2024 |
Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments May 31, 2024 (Unaudited) COMMON STOCKS — 98. |
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| July 31, 2024 |
Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments May 31, 2024 (Unaudited) COMMON STOCKS — 98. |
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| July 31, 2024 |
Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments May 31, 2024 (Unaudited) COMMON STOCKS — 98. |
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| July 31, 2024 |
Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments May 31, 2024 (Unaudited) COMMON STOCKS — 98. |
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| July 31, 2024 |
Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments May 31, 2024 (Unaudited) COMMON STOCKS — 98. |
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| July 31, 2024 |
Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments May 31, 2024 (Unaudited) COMMON STOCKS — 98. |
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| July 11, 2024 |
UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 July 11, 2024 Securities & Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Request for Withdrawal of Form 40-APP filed by Unified Series Trust (“Registrant”) (SEC File No. |
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| June 25, 2024 |
June 25, 2024 VIA E-MAIL Jeff Foor Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Unified Series Trust SEC File Nos. |
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| June 4, 2024 |
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 Unified Series Trust (Exact name of registrant as specified in its charter) Ohio (State of incorporation or organization) See below (IRS Employer Identification No.) 225 Pictoria Drive, Suite 450 C |
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| February 28, 2024 |
Dean Small Cap Value Fund Schedule of Investments December 31, 2023 - (Unaudited) COMMON STOCKS — 95. |
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| February 28, 2024 |
Dean Small Cap Value Fund Schedule of Investments December 31, 2023 - (Unaudited) COMMON STOCKS — 95. |
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| February 28, 2024 |
Dean Small Cap Value Fund Schedule of Investments December 31, 2023 - (Unaudited) COMMON STOCKS — 95. |
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| February 12, 2024 |
SC 13G/A 1 abeqa721224.htm TECTONIC ADVISORS LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7)* UNIFIED SERIES TRUST (Name of Issuer) ABSLUTE SELCT VL (Title of Class of Securities) 90470L568 (CUSIP Number) December 31, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriat |
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| December 20, 2023 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission only (as permitted by Rule 14a-6(e)(2)) ý Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to §240. |
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| December 20, 2023 |
December 20, 2023 VIA E-MAIL Jeff Foor Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Unified Series Trust SEC File Nos. |
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| December 8, 2023 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: ý Preliminary Proxy Statement o Confidential, for Use of the Commission only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to §240. |
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| November 13, 2023 |
SEVENTH AMENDMENT CUSTODIAN AND TRANSFER AGENT AGREEMENT EXECUTION COPY SEVENTH AMENDMENT TO CUSTODIAN AND TRANSFER AGENT AGREEMENT THIS SEVENTH AMENDMENT TO CUSTODIAN AND TRANSFER AGENT AGREEMENT (this “Amendment”) is made as of September 18, 2023 by and between BROWN BROTHERS HARRIMAN & CO. |
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| November 13, 2023 |
UNIFIED SERIES TRUST AMENDMENT TO THE CUSTODY AGREEMENT UNIFIED SERIES TRUST AMENDMENT TO THE CUSTODY AGREEMENT THIS AMENDMENT dated as of September 11, 2023, to the Custody Agreement, dated as of September 23, 2005, as amended (the "Agreement"), is entered by and between UNIFIED SERIES TRUST, an Ohio business trust (the "Trust") and U. |
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| November 13, 2023 |
AMENDMENT TO MASTER SERVICES AGREEMENT AMENDMENT TO MASTER SERVICES AGREEMENT This Amendment (“Amendment”) is made as of September 28, 2023 by and between Unified Series Trust, an Ohio business trust (the “Trust”) and Ultimus Fund Solutions, LLC, an Ohio limited liability company (“Ultimus”), and amends the Master Services Agreement made as of January 5, 2017, as amended (the “Agreement”). |
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| November 13, 2023 |
AMENDMENT TO AMENDED AND RESTATED CONSULTING AGREEMENT THIS AMENDMENT TO AMENDED AND RESTATED CONSULTING AGREEMENT (this “Amendment”) is effective as of September 11, 2023, and is made by and between UNIFIED SERIES TRUST, an Ohio business trust having its office and principal place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (the “Trust”), and NORTHERN LIGHTS COMPLIANCE SERVICES, LLC, a Nebraska limited liability company having its office and principal place of business at 4221 North 203rd Street, Suite 100, Elkhorn, Nebraska 68022 (“NLCS”). |
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| November 13, 2023 |
AMENDMENT TO MASTER SERVICES AGREEMENT AMENDMENT TO MASTER SERVICES AGREEMENT THIS AMENDMENT TO MASTER SERVICES AGREEMENT (this “Amendment”), effective as of May 16, 2023, by and among Unified Series Trust, an Ohio business trust (the “Trust”), and Ultimus Fund Solutions, LLC, an Ohio limited liability company (“Ultimus”) (collectively, the “Parties”). |
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| November 13, 2023 |
AMENDMENT TO AMENDED AND RESTATED CONSULTING AGREEMENT THIS AMENDMENT TO AMENDED AND RESTATED CONSULTING AGREEMENT (this “Amendment”) is effective as of June 28, 2022 and is made by and between Unified Series Trust, an Ohio business trust having its office and principal place of business at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (the “Trust”), and NORTHERN LIGHTS COMPLIANCE SERVICES, LLC, a Nebraska limited liability company having its office and principal place of business at 4221 North 203rd Street, Suite 100, Elkhorn, Nebraska 68022 (“NLCS”). |
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| November 13, 2023 |
Code of Ethics Subsidiaries of The Ultimus Group, LLC Ultimus Fund Solutions, LLC Ultimus Fund Distributors, LLC Northern Lights Distributors, LLC Blu Giant, LLC Gemini Fund Services, LLC Northern Lights Compliance Services, LLC June 20, 2023 1 Ultimus Code of Ethics Table of Contents I. |
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| November 13, 2023 |
AMENDMENT TO MASTER SERVICES AGREEMENT AMENDMENT TO MASTER SERVICES AGREEMENT THIS Amendment TO MASTER SERVICES AGREEMENT (this “Amendment”), effective as of May 15, 2023, by and among Unified Series Trust, an Ohio business trust (the “Trust”), and Ultimus Fund Solutions, LLC, an Ohio limited liability company (“Ultimus”) (collectively, the “Parties”). |
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| November 13, 2023 |
Securities Act File No. 333-100654 Investment Company Act File No. 811-21237 UNITED STATES 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. 570 x and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 x Amendment No. 571 x Unified Series Trust (Exa |
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| November 8, 2023 |
UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 November 7, 2023 Division of Investment Management Disclosure Review and Accounting Office U. |
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| October 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* UNIFIED SERIES TRUST (Name of Issuer) ABSLUTE SELCT VL (Title of Class of Securities) 90470L568 (CUSIP Number) December 31, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which thi |
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| October 25, 2023 |
SC 13G/A 1 abeqa6102523.htm TECTONIC ADVISORS LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6)* UNIFIED SERIES TRUST (Name of Issuer) ABSLUTE SELCT VL (Title of Class of Securities) 90470L568 (CUSIP Number) December 30, 2022 (Date of Event which Requires Filing of this Statement) Check the appropria |
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| September 15, 2023 |
UNIFIED SERIES TRUST AMENDED AND RESTATED OPERATING EXPENSE LIMITATION AGREEMENT ABSOLUTE FUNDS UNIFIED SERIES TRUST AMENDED AND RESTATED OPERATING EXPENSE LIMITATION AGREEMENT ABSOLUTE FUNDS THIS AMENDED AND RESTATED OPERATING EXPENSE LIMITATION AGREEMENT (the “Agreement”) is effective as of the 9th day of September, 2023, by and between UNIFIED SERIES TRUST, an Ohio business trust (the “Trust”), on behalf of each series of the Trust set forth on Appendix A attached hereto (each a “Fund” and collectively the “Funds”) and the investment adviser of the Funds, Absolute Investment Advisers LLC (the “Adviser”). |
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| September 15, 2023 |
FUND OF FUNDS INVESTMENT AGREEMENT FUND OF FUNDS INVESTMENT AGREEMENT THIS AGREEMENT, is made this 11th of September, 2023, by and among Fidelity Rutland Square Trust II (the “Fidelity Trust”), a statutory trust organized under the State of Delaware, on behalf of itself and its current and future series as identified on Schedule A, severally and not jointly (each, an “Acquiring Fund” and collectively, the “Acquiring Funds”), and each trust identified on Schedule B (each, an “Underlying Trust”), on behalf of itself and its respective series identified on Schedule B, severally and not jointly (each, an “Acquired Fund” and collectively the “Acquired Funds” and together with the Acquiring Funds, the “Funds”). |
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| September 15, 2023 |
Securities Act File No. 333-100654 Investment Company Act File No. 811-21237 UNITED STATES 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. 568 x and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 x Amendment No. 569 x Unified Series Trust (Exa |
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| September 8, 2023 |
UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 September 8, 2023 Securities & Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Request for Withdrawal of Post-Effective Amendment Nos. |
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| September 8, 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 September 19, 2023, pursuant to the provisions of Rule 12d2-2 (a). |
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| August 30, 2023 |
UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 August 30, 2023 Securities & Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Request for Withdrawal of Post-Effective Amendment Nos. |
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| August 18, 2023 |
August 16, 2023 VIA E-MAIL Samantha Brutlag Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Unified Series Trust SEC File Nos. |
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| August 10, 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 August 21, 2023, pursuant to the provisions of Rule 12d2-2 (a). |
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| August 10, 2023 |
X0203 0001143362 NYSE ARCA, INC. 0001199046 UNIFIED SERIES TRUST 001-39181 225 Pictoria Drive, Suite 450 Cincinnati OH OHIO 45246 NightShares 2000 ETF; NightShares 500 ETF 17 CFR 240.12d2-2(a)(3) Daniel Contrastano Manager, Market Watch & Proxy Compliance 2023-08-10 |
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| July 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* UNIFIED SERIES TRUST (Name of Issuer) ABSLUTE SELCT VL (Title of Class of Securities) 90470L568 (CUSIP Number) March 31, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S |
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| July 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* UNIFIED SERIES TRUST (Name of Issuer) ABSLUTE SELCT VL (Title of Class of Securities) 90470L568 (CUSIP Number) February 18, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which thi |
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| July 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* UNIFIED SERIES TRUST (Name of Issuer) ABSLUTE SELCT VL (Title of Class of Securities) 90470L568 (CUSIP Number) December 30, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which thi |
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| July 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* UNIFIED SERIES TRUST (Name of Issuer) ABSLUTE SELCT VL (Title of Class of Securities) 90470L568 (CUSIP Number) October 23, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this |
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| June 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 UNIFIED SERIES TRUST (Name of Issuer) ABSLUTE SELCT VL (Title of Class of Securities) 90470L568 (CUSIP Number) October 02, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |
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| February 22, 2023 |
Amendment Fund Accounting Addendum UNIFIED SERIES TRUST Amendment to Fund Accounting Addendum For UNIFIED SERIES TRUST This Amendment revises the Fund Accounting Addendum (the “Addendum”) to the Master Services Agreement dated January 5, 2017 (the “Agreement”) between Unified Series Trust (“Trust”), an Ohio business trust, and Ultimus Fund Solutions, LLC (“Ultimus”), an Ohio limited liability company (collectively the “Parties”). |
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| February 22, 2023 |
ATTACHMENT TO THE AMENDMENT TO REPORT OF OPERATION OF BUSINESS TRUST OF UNIFIED SERIES TRUST (Registration Number 1346968) Daniel J. |
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| February 22, 2023 |
EXCHANGE TRADED CONCEPTS, LLC CODE OF ETHICS/PERSONAL TRADING POLICY Adopted: January 2023 EXCHANGE TRADED CONCEPTS, LLC CODE OF ETHICS/PERSONAL TRADING POLICY Adopted: January 2023 This Code of Ethics (the “Code”) is the sole property of Exchange Traded Concepts, LLC and ETC Platform Services, LLC (“Exchange Traded Concepts” or “ETC” or the “Firm”) (defined below in the Code) and must be returned to the Firm upon termination for any reason of an Employee’s association with the Firm. |
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| February 22, 2023 |
DERIVATIVES RISK MANAGEMENT PROGRAM SUPPORT SERVICES ADDENDUM DERIVATIVES RISK MANAGEMENT PROGRAM SUPPORT SERVICES ADDENDUM This Derivatives Risk Management Program Support Services Addendum (this “Addendum”) with an effective date of April 1, 2022 shall be attached to and governed by that certain Master Services Agreement between Ultimus Fund Solutions, LLC (“Ultimus”) and Unified Series Trust (the “Trust”) dated January 5, 2017 (the “Agreement). |
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| February 22, 2023 |
Securities Act File No. 333-100654 Investment Company Act File No. 811-21237 UNITED STATES 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. 558 x and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 x Amendment No. 559 x Unified Series Trust (Exa |
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| February 22, 2023 |
Amendment Fund Accounting Addendum UNIFIED SERIES TRUST Amendment to Fund Accounting Addendum For UNIFIED SERIES TRUST This Amendment revises the Fund Accounting Addendum (the “Addendum”) to the Master Services Agreement dated January 5, 2017, as amended February 15, 2018 (the “Agreement”) between Unified Series Trust (“Trust”), an Ohio business trust, and Ultimus Fund Solutions, LLC (“Ultimus”), an Ohio limited liability company (collectively the “Parties”). |
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| February 22, 2023 |
Amendment Fund Administration Addendum UNIFIED SERIES TRUST Amendment to Fund Administration Addendum For UNIFIED SERIES TRUST This Amendment revises the Fund Administration Addendum (the “Addendum”) to the Master Services Agreement, dated January 5, 2017 (the “Agreement”) between Unified Series Trust (the “Trust”) and Ultimus Fund Solutions, LLC (“Ultimus”). |
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| February 22, 2023 |
SILK INVEST LIMITED CODE OF ETHICS Silk Invest Limited 30 Churchill Place E14 5RE London United Kingdom Work+ 44 208 088 1040 www. |
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| February 22, 2023 |
[Certain identified information has been excluded from this exhibit because it is not material and would likely cause competitive harm to the Registrant if publicly disclosed. |
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| February 22, 2023 |
Amendment Fund Administration Addendum UNIFIED SERIES TRUST Amendment to Fund Administration Addendum For UNIFIED SERIES TRUST This Amendment revises the Fund Administration Addendum (the “Addendum”) to the Master Services Agreement, dated January 5, 2017, as amended May 21, 2019 (the “Agreement”) between Unified Series Trust (the “Trust”) and Ultimus Fund Solutions, LLC (“Ultimus”). |
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| February 22, 2023 |
FUND OF FUNDS INVESTMENT AGREEMENT FUND OF FUNDS INVESTMENT AGREEMENT This Investment Agreement (the “Agreement”), dated as of January 23, 2023, is between Unified Series Trust, a business trust organized under the laws of the State of Ohio (the “Acquiring Trust”), on behalf of each of its series listed on Schedule A (each, an “Acquiring Fund,” and collectively, the “Acquiring Funds”), severally and not jointly, and BondBloxx ETF Trust (the “Acquired Trust”), on behalf of each of its series listed on Schedule B and such additional series as shall be designated in the future (each, an “Acquired Fund,” and collectively, the “Acquired Funds”), severally and not jointly. |
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| February 22, 2023 |
St. James Investment Company, LLC Code Of Ethics April 2022 St. James Investment Company, LLC Code of Ethics The Investment Advisers Act of 1940 (“The Act”) imposes a fiduciary duty on investment advisers. As a fiduciary, St. James Investment Company, LLC (“St. James,” “SJIC,” or the “Firm”) has a duty of utmost good faith to act solely in the best interests of our clients. Our clients entrust us |
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| January 27, 2023 |
Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments November 30, 2022 - (Unaudited) COMMON STOCKS — 99. |
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| January 27, 2023 |
NPORT-EX 2 ultimus10001.htm Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments November 30, 2022 - (Unaudited) COMMON STOCKS — 99.17% Shares Fair Value Argentina — 1.72% Consumer Discretionary — 1.72% MercadoLibre , Inc. (a) 3 $ 2,792 Total Argentina 2,792 Australia — 1.88% Health Care — 1.12% CSL Ltd. 9 1,833 Technology — 0. |
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| January 27, 2023 |
NPORT-EX 2 ultimus10000.htm Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments November 30, 2022 - (Unaudited) COMMON STOCKS — 99.17% Shares Fair Value Argentina — 1.72% Consumer Discretionary — 1.72% MercadoLibre , Inc. (a) 3 $ 2,792 Total Argentina 2,792 Australia — 1.88% Health Care — 1.12% CSL Ltd. 9 1,833 Technology — 0. |
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| January 27, 2023 |
NPORT-EX 2 ultimus10006.htm Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments November 30, 2022 - (Unaudited) COMMON STOCKS — 99.17% Shares Fair Value Argentina — 1.72% Consumer Discretionary — 1.72% MercadoLibre , Inc. (a) 3 $ 2,792 Total Argentina 2,792 Australia — 1.88% Health Care — 1.12% CSL Ltd. 9 1,833 Technology — 0. |
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| January 27, 2023 |
NPORT-EX 2 ultimus10002.htm Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments November 30, 2022 - (Unaudited) COMMON STOCKS — 99.17% Shares Fair Value Argentina — 1.72% Consumer Discretionary — 1.72% MercadoLibre , Inc. (a) 3 $ 2,792 Total Argentina 2,792 Australia — 1.88% Health Care — 1.12% CSL Ltd. 9 1,833 Technology — 0. |
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| January 27, 2023 |
OneAscent Large Cap Core ETF Schedule of Investments November 30, 2022 - (Unaudited) COMMON STOCKS — 91. |
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| January 27, 2023 |
NPORT-EX 2 ultimus1380.htm Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments November 30, 2022 - (Unaudited) COMMON STOCKS — 99.17% Shares Fair Value Argentina — 1.72% Consumer Discretionary — 1.72% MercadoLibre , Inc. (a) 3 $ 2,792 Total Argentina 2,792 Australia — 1.88% Health Care — 1.12% CSL Ltd. 9 1,833 Technology — 0.7 |
|
| January 27, 2023 |
NPORT-EX 2 ultimus10005.htm Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments November 30, 2022 - (Unaudited) COMMON STOCKS — 99.17% Shares Fair Value Argentina — 1.72% Consumer Discretionary — 1.72% MercadoLibre , Inc. (a) 3 $ 2,792 Total Argentina 2,792 Australia — 1.88% Health Care — 1.12% CSL Ltd. 9 1,833 Technology — 0. |
|
| January 27, 2023 |
OneAscent Large Cap Core ETF Schedule of Investments November 30, 2022 - (Unaudited) COMMON STOCKS — 91. |
|
| January 27, 2023 |
OneAscent Large Cap Core ETF Schedule of Investments November 30, 2022 - (Unaudited) COMMON STOCKS — 91. |
|
| January 27, 2023 |
OneAscent Large Cap Core ETF Schedule of Investments November 30, 2022 - (Unaudited) COMMON STOCKS — 91. |
|
| January 27, 2023 |
NPORT-EX 2 ultimus10003.htm Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments November 30, 2022 - (Unaudited) COMMON STOCKS — 99.17% Shares Fair Value Argentina — 1.72% Consumer Discretionary — 1.72% MercadoLibre , Inc. (a) 3 $ 2,792 Total Argentina 2,792 Australia — 1.88% Health Care — 1.12% CSL Ltd. 9 1,833 Technology — 0. |
|
| November 28, 2022 |
Silk Invest New Horizons Frontier Fund Schedule of Investments September 30, 2022 - (Unaudited) COMMON STOCKS — 92. |
|
| November 22, 2022 |
LHA Tactical Beta Variable Series Fund 1 As of September 30, 2022, the LHA Tactical Beta Variable Series Fund (the “Fund”) currently holds its entire position in cash, due to its small asset size. |
|
| November 22, 2022 |
Crawford Large Cap Dividend Fund Schedule of Investments September 30, 2022 - (Unaudited) COMMON STOCKS — 99. |
|
| November 22, 2022 |
Crawford Large Cap Dividend Fund Schedule of Investments September 30, 2022 - (Unaudited) COMMON STOCKS — 99. |
|
| November 22, 2022 |
Crawford Large Cap Dividend Fund Schedule of Investments September 30, 2022 - (Unaudited) COMMON STOCKS — 99. |
|
| November 10, 2022 |
UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 CORRESP 1 filename1.htm UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 November 10, 2022 Securities & Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Attention: Messrs. David Orlic and Bernard Nolan Re: Dean Equity Income Fund Unified Series Trust (“Registrant”) (SEC File Nos. 811-21237 and 333-100654) Dear Mr. Orlic and Mr. Nolan |
|
| October 31, 2022 |
NPORT-EX 2 ultimus1476.htm NightShares 500 ETF Schedule of Investments August 31, 2022 - (Unaudited) 1 U.S. Government & Agencies — 53.26% (a)(b) Principal Amount Fair Value U.S. Treasury Bill 0.00%, 12/15/2022 $ 300,000 $ 297,584 U.S. Treasury Bill 0.00%, 1/19/2023 3,400,000 3,360,300 3,657,884 TOTAL U.S. GOVERNMENT & AGENCIES (Cost $3,660,449) 3,657,884 Total Investments — 53.26% (Cost $3, |
|
| October 31, 2022 |
NightShares 500 ETF Schedule of Investments August 31, 2022 - (Unaudited) 1 U.S. Government & Agencies — 53.26% (a)(b) Principal Amount Fair Value U.S. Treasury Bill 0.00%, 12/15/2022 $ 300,000 $ 297,584 U.S. Treasury Bill 0.00%, 1/19/2023 3,400,000 3,360,300 3,657,884 TOTAL U.S. GOVERNMENT & AGENCIES (Cost $3,660,449) 3,657,884 Total Investments — 53.26% (Cost $3,660,449) 3,657,884 Other A |
|
| October 28, 2022 |
Auer Growth Fund Schedule of Investments August 31, 2022 - (Unaudited) COMMON STOCKS — 93. |
|
| October 25, 2022 |
Securities Act File No. 333-100654 Investment Company Act File No. 811-21237 UNITED STATES 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. 548 x and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 x Amendment No. 549 x Unified Series Trust (Exa |
|
| October 25, 2022 |
UNIFIED SERIES TRUST FEE WAIVER AND OPERATING EXPENSE LIMITATION AGREEMENT NIGHTSHARES 500 1X/1. |
|
| September 27, 2022 |
Standpoint Multi-Asset Fund Consolidated Schedule of Investments July 31, 2022 - (Unaudited) Exchange-Traded Funds — 41. |
|
| September 16, 2022 |
UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 September 16, 2022 Division of Investment Management Disclosure Review and Accounting Office U. |
|
| September 6, 2022 |
UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, Ohio 45246 UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, Ohio 45246 September 6, 2022 EDGAR CORRESPONDENCE Securities & Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Unified Series Trust (“Registrant”) (SEC File Nos. |
|
| August 29, 2022 |
Dean Small Cap Value Fund Schedule of Investments June 30, 2022 - (unaudited) COMMON STOCKS — 98. |
|
| August 29, 2022 |
Absolute Core Strategy ETF Schedule of Investments June 30, 2022 - (unaudited) Common Stocks — 82. |
|
| August 29, 2022 |
Channel Short Duration Income Fund Schedule of Investments June 30, 2022 - (Unaudited) CORPORATE BONDS — 92. |
|
| August 29, 2022 |
Ballast Small/Mid Cap ETF Schedule of Investments June 30, 2022 - (Unaudited) COMMON STOCKS — 99. |
|
| August 29, 2022 |
Dean Small Cap Value Fund Schedule of Investments June 30, 2022 - (unaudited) COMMON STOCKS — 98. |
|
| August 29, 2022 |
Appleseed Fund Schedule of Investments June 30, 2022 - (Unaudited) Common Stocks — 67. |
|
| August 16, 2022 |
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 Unified Series Trust (Exact name of registrant as specified in its charter) Ohio (State of incorporation or organization) See below (IRS Employer Identification No.) 225 Pictoria Drive, Suite 450 C |
|
| August 16, 2022 |
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 Unified Series Trust (Exact name of registrant as specified in its charter) Ohio (State of incorporation or organization) See below (IRS Employer Identification No.) 225 Pictoria Drive, Suite 450 C |
|
| August 15, 2022 |
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 Unified Series Trust (Exact name of registrant as specified in its charter) Ohio (State of incorporation or organization) See below (IRS Employer Identification No.) 225 Pictoria Drive, Suite 450 C |
|
| August 10, 2022 |
8-A12B/A 1 nightshares8a12ba.htm 8-A12B/A 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 Unified Series Trust (Exact name of registrant as specified in its charter) Ohio (State of incorporation or organization) See below (IRS Employer Identific |
|
| August 8, 2022 |
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 Unified Series Trust (Exact name of registrant as specified in its charter) Ohio (State of incorporation or organization) See below (IRS Employer Identification No.) 225 Pictoria Drive, Suite 450 C |
|
| August 3, 2022 |
UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 August 3, 2022 Securities & Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Attention: Ms. |
|
| August 1, 2022 |
OneAscent Large Cap Core ETF Schedule of Investments May 31, 2022 - (Unaudited) COMMON STOCKS — 87. |
|
| August 1, 2022 |
OneAscent Large Cap Core ETF Schedule of Investments May 31, 2022 - (Unaudited) COMMON STOCKS — 87. |
|
| August 1, 2022 |
Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments May 31, 2022 - (Unaudited) COMMON STOCKS — 99. |
|
| July 28, 2022 |
Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments May 31, 2022 - (Unaudited) COMMON STOCKS — 99. |
|
| July 28, 2022 |
Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments May 31, 2022 - (Unaudited) COMMON STOCKS — 99. |
|
| July 28, 2022 |
Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments May 31, 2022 - (Unaudited) COMMON STOCKS — 99. |
|
| July 28, 2022 |
Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments May 31, 2022 - (Unaudited) COMMON STOCKS — 99. |
|
| July 28, 2022 |
NPORT-P false 0001199046 XXXXXXXX S000055915 C000176086 Unified Series Trust 811-21237 0001199046 549300NFHRL589EP7U13 225 Pictoria Drive Suite 450 Cincinnati 45246 513-587-3400 TACTICAL MULTI-PURPOSE FUND S000055915 549300L5GT1MRT5I6S64 2022-08-31 2022-05-31 N 53463. |
|
| July 28, 2022 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to ?240. |
|
| July 28, 2022 |
Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments May 31, 2022 - (Unaudited) COMMON STOCKS — 99. |
|
| July 28, 2022 |
Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments May 31, 2022 - (Unaudited) COMMON STOCKS — 99. |
|
| July 28, 2022 |
Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments May 31, 2022 - (Unaudited) COMMON STOCKS — 99. |
|
| July 22, 2022 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant o Check the appropriate box: ? Preliminary Proxy Statement o Confidential, for Use of the Commission only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to ?240. |
|
| July 21, 2022 |
July 20, 2022 Securities & Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Attention: Ms. |
|
| July 7, 2022 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant o Check the appropriate box: ? Preliminary Proxy Statement o Confidential, for Use of the Commission only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to ?240. |
|
| June 2, 2022 |
UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, Ohio 45246 UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, Ohio 45246 June 2, 2022 EDGAR CORRESPONDENCE Securities & Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Unified Series Trust (“Registrant”) (SEC File Nos. |
|
| May 26, 2022 |
Crawford Large Cap Dividend Fund Schedule of Investments March 31, 2022 - (Unaudited) COMMON STOCKS — 98 . |
|
| May 26, 2022 |
Silk Invest New Horizons Frontier Fund Schedule of Investments March 31, 2022 - (Unaudited) COMMON STOCKS — 90. |
|
| May 26, 2022 |
LHA Tactical Beta Variable Series Fund 1 As of March 31, 2022, the LHA Tactical Beta Variable Series Fund (the “Fund”) currently holds its entire position in cash, due to its small asset size. |
|
| May 26, 2022 |
Crawford Large Cap Dividend Fund Schedule of Investments March 31, 2022 - (Unaudited) COMMON STOCKS — 98 . |
|
| May 26, 2022 |
Crawford Large Cap Dividend Fund Schedule of Investments March 31, 2022 - (Unaudited) COMMON STOCKS — 98 . |
|
| May 23, 2022 |
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 Unified Series Trust (Exact name of registrant as specified in its charter) Ohio (State of incorporation or organization) See below (IRS Employer Identification No.) 225 Pictoria Drive, Suite 450 C |
|
| May 23, 2022 |
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 Unified Series Trust (Exact name of registrant as specified in its charter) Ohio (State of incorporation or organization) See below (IRS Employer Identification No.) 225 Pictoria Drive, Suite 450 C |
|
| May 11, 2022 |
UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 May 11, 2022 Securities & Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Attention: Ms. |
|
| May 6, 2022 |
UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 May 6, 2022 Securities & Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Request for Withdrawal of Post-Effective Amendment No. |
|
| April 27, 2022 |
Auer Growth Fund Schedule of Investments August 31, 2021 - (Unaudited) COMMON STOCKS — 99. |
|
| March 24, 2022 |
Standpoint Multi-Asset Fund Consolidated Schedule of Investments January 31, 2022 - (Unaudited) Exchange-Traded Funds — 47. |
|
| March 15, 2022 |
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 Unified Series Trust (Exact name of registrant as specified in its charter) Ohio (State of incorporation or organization) See below (IRS Employer Identification No.) 225 Pictoria Drive, Suite 450 C |
|
| March 4, 2022 |
UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, Ohio 45246 UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, Ohio 45246 March 4, 2022 EDGAR CORRESPONDENCE Securities & Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Unified Series Trust (“Registrant”) (SEC File Nos. |
|
| February 28, 2022 |
NPORT-P false 0001199046 XXXXXXXX S000002756 C000007552 Unified Series Trust 811-21237 0001199046 549300NFHRL589EP7U13 225 Pictoria Drive Suite 450 Cincinnati 45246 513-587-3400 CHANNEL SHORT DURATION INCOME FUND S000002756 549300WVKPEHZ4MSWJ31 2022-09-30 2021-12-31 N 37383445. |
|
| February 28, 2022 |
Channel Short Duration Income Fund Schedule of Investments December 31, 2021 - (Unaudited) CORPORATE BONDS — 96. |
|
| February 28, 2022 |
Absolute Core Strategy ETF Schedule of Investments December 31, 2021 - (Unaudited) Common Stocks — 88. |
|
| February 28, 2022 |
Ballast Small/Mid Cap ETF Schedule of Investments December 31, 2021 - (Unaudited) COMMON STOCKS — 95. |
|
| February 24, 2022 |
Dean Small Cap Value Fund Schedule of Investments December 31, 2021 - (Unaudited) COMMON STOCKS — 95. |
|
| February 24, 2022 |
Appleseed Fund Schedule of Investments December 31, 2021 - (Unaudited) Common Stocks — 69. |
|
| February 24, 2022 |
Dean Small Cap Value Fund Schedule of Investments December 31, 2021 - (Unaudited) COMMON STOCKS — 95. |
|
| January 31, 2022 |
One Ascent Large Cap Core ETF Schedule of Investments November 30, 2021 - (Unaudited) COMMON STOCKS — 99. |
|
| January 26, 2022 |
Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments November 30, 2021 - (Unaudited) COMMON STOCKS — 98 . |
|
| January 26, 2022 |
Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments November 30, 2021 - (Unaudited) COMMON STOCKS — 98 . |
|
| January 26, 2022 |
Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments November 30, 2021 - (Unaudited) COMMON STOCKS — 98 . |
|
| January 26, 2022 |
Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments November 30, 2021 - (Unaudited) COMMON STOCKS — 98 . |
|
| January 26, 2022 |
Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments November 30, 2021 - (Unaudited) COMMON STOCKS — 98 . |
|
| January 26, 2022 |
Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments November 30, 2021 - (Unaudited) COMMON STOCKS — 98 . |
|
| January 26, 2022 |
Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments November 30, 2021 - (Unaudited) COMMON STOCKS — 98 . |
|
| January 26, 2022 |
Fisher Investments Institutional Group All Foreign Equity Environmental and Social Values Fund Schedule of Investments November 30, 2021 - (Unaudited) COMMON STOCKS — 98 . |
|
| December 3, 2021 |
EX-99.P CODE ETH 7 ex99p4.htm Dean Investment Associates, LLC and Dean Financial Services, LLC Code of Ethics and Insider Trading Policy July 1, 2021 Table of Contents Statement of General Policy 3 Definitions 4 Standards of Business Conduct 6 Protecting the Confidentiality of Client Information 7 Prohibition Against Insider Trading 8 Preclearance 9 Personal Securities Transactions 10 Compliance P |
|
| December 3, 2021 |
POS EX 1 ustposex.htm POS EX Securities Act File No. 333-100654 Investment Company Act File No. 811-21237 UNITED STATES 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. 524 x and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 x Amendment No. 52 |
|
| December 3, 2021 |
INVESTMENT AGREEMENT This Investment Agreement (the "Agreement"), dated as of June 4, 2021 is between Unified Series Trust, a business trust organized under the laws of the State of Ohio (the "Acquiring Trust"), on behalf of each of its series listed on Schedule A (each, an "Acquiring Fund," and collectively, the "Acquiring Funds"), severally and not jointly, Pekin Hardy Strauss, Inc. |
|
| December 3, 2021 |
AMENDED AND RESTATED LOAN AGREEMENT This AMENDED AND RESTATED LOAN AGREEMENT (as amended, restated, supplemented or otherwise modified from time to time, this "Agreement") is made and entered into effective as of the 21st day of September, 2021 by and between UNIFIED SERIES TRUST, an Ohio business trust with its address at 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 (the ?Borrower?), for and on behalf of the Fund (defined below), and U. |
|
| December 3, 2021 |
St. James Investment Company, LLC CODE OF ETHICS April 2021 The Investment Advisers Act of 1940 (“The Act”) imposes a fiduciary duty on investment advisers. As a fiduciary, St. James Investment Company, LLC (“St. James,” “SJIC,” or the “Firm”) has a duty of utmost good faith to act solely in the best interests of our clients. Our clients entrust us with their money and financial future which, in t |
|
| December 3, 2021 |
PARTICIPATION AGREEMENT Among Security Benefit Life Insurance Company, Unified Series Trust, and Little Harbor Advisors, LLC THIS AGREEMENT, dated as of the 22nd day of November, 2021, by and among Security Benefit Life Insurance Company (the ?Company?), a stock life insurance company organized under the laws of the State of Kansas, on its own behalf and on behalf of each segregated asset account |
|
| December 3, 2021 |
EX-99.P CODE ETH 8 ex99p5.htm Dean Capital Management, LLC CODE OF ETHICS January 22, 2019 I. INTRODUCTION This Code of Ethics (“Code”) has been adopted by Dean Capital Management, LLC (“[DCM]”, [the “firm”], or [“Adviser”]) in compliance with the requirements of the U.S. Securities laws applicable to registered investment advisers and registered investment companies. Pursuant to Rule 204A-1 of th |
|
| December 3, 2021 |
PARTICIPATION AGREEMENT Among First Security Benefit Life Insurance and Annuity Company of New York, Unified Series Trust, and Little Harbor Advisors, LLC THIS AGREEMENT, dated as of the 22nd day of November, 2021, by and among First Security Benefit Life Insurance and Annuity Company of New York (the ?Company?), a stock life insurance company organized under the laws of the State of New York, on |
|
| December 3, 2021 |
FUND OF FUNDS INVESTMENT AGREEMENT This Investment Agreement (the ?Agreement?), dated as of July 1, 2021 between 360 Funds, a Delaware Statutory Trust, on behalf of each of its series listed on Schedule A, severally and not jointly, (each, an ?Acquiring Fund?), and Unified Series Trust, a business trust organized under the laws of the State of Ohio (the Acquired Trust?), on behalf of each of its series listed on Schedule B and such additional series as shall be designated in the future (each, an ?Acquired Fund? and together with the Acquiring Fund, the ?Funds?). |
|
| November 29, 2021 |
Silk Invest New Horizons Frontier Fund Schedule of Investments September 30, 2021 - (Unaudited) COMMON STOCKS — 92. |
|
| November 24, 2021 |
Crawford Large Cap Dividend Fund Schedule of Investments September 30, 2021 - (Unaudited) COMMON STOCKS — 98. |
|
| November 24, 2021 |
Crawford Large Cap Dividend Fund Schedule of Investments September 30, 2021 - (Unaudited) COMMON STOCKS — 98. |
|
| November 24, 2021 |
Crawford Large Cap Dividend Fund Schedule of Investments September 30, 2021 - (Unaudited) COMMON STOCKS — 98. |
|
| November 5, 2021 |
8-A12B 1 oneascent8-a12b.htm 8-A12B 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 Unified Series Trust (Exact name of registrant as specified in its charter) Ohio (State of incorporation or organization) See below (IRS Employer Identification |
|
| October 26, 2021 |
Symons Value Institutional Fund Schedule of Investments August 31, 2021 - (Unaudited) COMMON STOCKS — 87. |
|
| October 26, 2021 |
Auer Growth Fund Schedule of Investments August 31, 2021 - (Unaudited) COMMON STOCKS — 97. |
|
| October 15, 2021 |
UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 CORRESP 1 filename1.htm UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 October 15, 2021 Securities & Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Attention: Mr. David Orlic Re: OneAscent Large Cap Core ETF Unified Series Trust (“Registrant”) (SEC File Nos. 811-21237 and 333-100654) Dear Mr. Orlic: Below please find our response |
|
| September 27, 2021 |
Standpoint Multi-Asset Fund Consolidated Schedule of Investments July 31, 2021 - (Unaudited) Exchange-Traded Funds — 47. |
|
| August 30, 2021 |
ABSOLUTE CORE STRATEGY ETF SCHEDULE OF INVESTMENTS June 30, 2021 (Unaudited) Common Stocks — 83. |
|
| August 30, 2021 |
BALLAST SMALL/MID CAP ETF SCHEDULE OF INVESTMENTS June 30, 2021 (Unaudited) COMMON STOCKS — 96. |
|
| August 27, 2021 |
CORPORATE BONDS — 94.67% Principal Amount Fair Value Corporate Bonds - Domestic — 83.02% Ally Financial, Inc., 5.75%, 11/20/2025 $ 500,000 $ 574,817 Ally Financial, Inc., 4.70%, 8/15/2169 (3MO LIBOR + 348bps)(a) 250,000 253,825 American Airlines Pass Through Trust, Series 2013-2, 4.95%, 1/15/2023 950,029 964,319 AT&T, Inc., 3.80%, 2/15/2027 300,000 334,954 Atmos Energy Corp., 0.63%, 3/9/2023 600,0 |
|
| August 25, 2021 |
234 APPLESEED FUND SCHEDULE OF INVESTMENTS June 30, 2021 (Unaudited) Common Stocks — 79. |
|
| August 24, 2021 |
UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, Ohio 45246 UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, Ohio 45246 August 24, 2021 EDGAR CORRESPONDENCE Securities & Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Unified Series Trust (“Registrant”) (SEC File Nos. |
|
| August 23, 2021 |
DEAN SMALL CAP VALUE FUND SCHEDULE OF INVESTMENTS June 30, 2021 (Unaudited) COMMON STOCKS — 95. |
|
| August 23, 2021 |
DEAN SMALL CAP VALUE FUND SCHEDULE OF INVESTMENTS June 30, 2021 (Unaudited) COMMON STOCKS — 95. |
|
| July 27, 2021 |
Tactical Multi-Purpose Fund Related Notes to the Schedule of Investments May 31, 2021 FISHER INVESTMENTS INSTITUTIONAL GROUP STOCK FUND FOR RETIREMENT PLANS SCHEDULE OF INVESTMENTS May 31, 2021 (Unaudited) COMMON STOCKS — 98. |
|
| July 27, 2021 |
Tactical Multi-Purpose Fund Related Notes to the Schedule of Investments May 31, 2021 FISHER INVESTMENTS INSTITUTIONAL GROUP STOCK FUND FOR RETIREMENT PLANS SCHEDULE OF INVESTMENTS May 31, 2021 (Unaudited) COMMON STOCKS — 98. |
|
| July 27, 2021 |
Tactical Multi-Purpose Fund Related Notes to the Schedule of Investments May 31, 2021 FISHER INVESTMENTS INSTITUTIONAL GROUP STOCK FUND FOR RETIREMENT PLANS SCHEDULE OF INVESTMENTS May 31, 2021 (Unaudited) COMMON STOCKS — 98. |
|
| July 27, 2021 |
Tactical Multi-Purpose Fund Related Notes to the Schedule of Investments May 31, 2021 FISHER INVESTMENTS INSTITUTIONAL GROUP STOCK FUND FOR RETIREMENT PLANS SCHEDULE OF INVESTMENTS May 31, 2021 (Unaudited) COMMON STOCKS — 98. |
|
| July 27, 2021 |
Tactical Multi-Purpose Fund Related Notes to the Schedule of Investments May 31, 2021 FISHER INVESTMENTS INSTITUTIONAL GROUP STOCK FUND FOR RETIREMENT PLANS SCHEDULE OF INVESTMENTS May 31, 2021 (Unaudited) COMMON STOCKS — 98. |
|
| July 27, 2021 |
ESSEX ENVIRONMENTAL OPPORTUNITIES FUND SCHEDULE OF INVESTMENTS May 31, 2021 (Unaudited) COMMON STOCKS — 91. |
|
| July 27, 2021 |
Tactical Multi-Purpose Fund Related Notes to the Schedule of Investments May 31, 2021 Tactical Multi-Purpose Fund Related Notes to the Schedule of Investments May 31, 2021 (Unaudited) Tactical Multi-Purpose Fund (the “Fund”) is a non-diversified series of Unified Series Trust (the “Trust”). |
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| July 27, 2021 |
Tactical Multi-Purpose Fund Related Notes to the Schedule of Investments May 31, 2021 FISHER INVESTMENTS INSTITUTIONAL GROUP STOCK FUND FOR RETIREMENT PLANS SCHEDULE OF INVESTMENTS May 31, 2021 (Unaudited) COMMON STOCKS — 98. |
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| July 27, 2021 |
Tactical Multi-Purpose Fund Related Notes to the Schedule of Investments May 31, 2021 FISHER INVESTMENTS INSTITUTIONAL GROUP STOCK FUND FOR RETIREMENT PLANS SCHEDULE OF INVESTMENTS May 31, 2021 (Unaudited) COMMON STOCKS — 98. |
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| May 27, 2021 |
Selective Funds Related Notes to the Schedule of Investments March 31, 2021 SELECTIVE OPPORTUNITY FUND SCHEDULE OF INVESTMENTS March 31, 2021 (Unaudited) COMMON STOCKS — 25. |
|
| May 27, 2021 |
Crawford Funds Related Notes to the Schedule of Investments March 31, 2021 2.9 CRAWFORD LARGE CAP DIVIDEND FUND SCHEDULE OF INVESTMENTS March 31, 2021 (Unaudited) COMMON STOCKS — 100.67% Shares Fair Value Communications — 4.35% Comcast Corp., Class A 21,500 $ 1,163,365 Omnicom Group, Inc. 17,110 1,268,707 2,432,072 Consumer Discretionary — 9.30% Genuine Parts Co. 17,170 1,984,680 Home Depot, Inc. (The) 6,960 2,124,540 Starbucks Corp. 10,000 1,092,700 5,201,920 Consumer S |
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| May 27, 2021 |
Crawford Funds Related Notes to the Schedule of Investments March 31, 2021 2.9 CRAWFORD LARGE CAP DIVIDEND FUND SCHEDULE OF INVESTMENTS March 31, 2021 (Unaudited) COMMON STOCKS — 100.67% Shares Fair Value Communications — 4.35% Comcast Corp., Class A 21,500 $ 1,163,365 Omnicom Group, Inc. 17,110 1,268,707 2,432,072 Consumer Discretionary — 9.30% Genuine Parts Co. 17,170 1,984,680 Home Depot, Inc. (The) 6,960 2,124,540 Starbucks Corp. 10,000 1,092,700 5,201,920 Consumer S |
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| May 27, 2021 |
See accompanying notes which are an integral part of this schedule of investments. SILK INVEST NEW HORIZONS FRONTIER FUND SCHEDULE OF INVESTMENTS March 31, 2021 (Unaudited) COMMON STOCKS — 93. |
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| May 27, 2021 |
Crawford Funds Related Notes to the Schedule of Investments March 31, 2021 2.9 CRAWFORD LARGE CAP DIVIDEND FUND SCHEDULE OF INVESTMENTS March 31, 2021 (Unaudited) COMMON STOCKS — 100.67% Shares Fair Value Communications — 4.35% Comcast Corp., Class A 21,500 $ 1,163,365 Omnicom Group, Inc. 17,110 1,268,707 2,432,072 Consumer Discretionary — 9.30% Genuine Parts Co. 17,170 1,984,680 Home Depot, Inc. (The) 6,960 2,124,540 Starbucks Corp. 10,000 1,092,700 5,201,920 Consumer S |
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| May 27, 2021 |
Selective Funds Related Notes to the Schedule of Investments March 31, 2021 SELECTIVE OPPORTUNITY FUND SCHEDULE OF INVESTMENTS March 31, 2021 (Unaudited) COMMON STOCKS — 25. |
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| April 29, 2021 |
Symons Value Institutional Fund Related Footnotes to the Schedule of Investments February 28, 2021 SYMONS VALUE INSTITUTIONAL FUND SCHEDULE OF INVESTMENTS February 28, 2021 (Unaudited) COMMON STOCKS — 93. |
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| April 28, 2021 |
Auer Growth Fund Related Footnotes to the Schedule of Investments February 28, 2021 – (Unaudited) AUER GROWTH FUND SCHEDULE OF INVESTMENTS February 28, 2021 (Unaudited) COMMON STOCKS — 97. |
|
| March 23, 2021 |
Value and Unrealized Appreciation (Depreciation) STANDPOINT MULTI-ASSET FUND CONSOLIDATED SCHEDULE OF INVESTMENTS January 31, 2021 (Unaudited) Exchange-Traded Funds — 49. |
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| March 4, 2021 |
UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 CORRESP 1 filename1.htm UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 March 4, 2021 Division of Investment Management Disclosure Review and Accounting Office U.S. Securities and Exchange Commission Brookfield Place 200 Vesey Street – Suite 400 New York, NY 10281-1022 Attention: Ms. Mindy Rotter, Esq., CPA Re: Unified Series Trust (the “Registrant”) SEC File No. 811-21237 |
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| February 26, 2021 |
IRON Funds Related Notes to the Schedule of Investments December 31, 2020 IRON STRATEGIC INCOME FUND Schedule of Investments December 31, 2020 (Unaudited) Corporate Bonds – 45. |
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| February 26, 2021 |
DEAN SMALL CAP VALUE FUND SCHEDULE OF INVESTMENTS December 31, 2020 (Unaudited) COMMON STOCKS — 97. |
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| February 26, 2021 |
Absolute Core Strategy ETF Related Notes to the Schedule of Investments December 31, 2020 ABSOLUTE CORE STRATEGY ETF SCHEDULE OF INVESTMENTS December 31, 2020 (Unaudited) Common Stocks — 76. |
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| February 26, 2021 |
DEAN SMALL CAP VALUE FUND SCHEDULE OF INVESTMENTS December 31, 2020 (Unaudited) COMMON STOCKS — 97. |
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| February 24, 2021 |
Ballast Small/Mid Cap ETF Related Notes to the Schedule of Investments December 31, 2020 BALLAST SMALL/MID CAP ETF SCHEDULE OF INVESTMENTS December 31, 2020 (Unaudited) COMMON STOCKS — 97. |
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| February 23, 2021 |
Appleseed Fund Related Notes to the Schedule of Investments December 31, 2020 APPLESEED FUND SCHEDULE OF INVESTMENTS December 31, 2020 (Unaudited) Common Stocks — 77. |
|
| February 22, 2021 |
Channel Short Duration Income Fund Related Notes to the Schedule of Investments December 31, 2020 CHANNEL SHORT DURATION INCOME FUND SCHEDULE OF INVESTMENTS December 31, 2020 (Unaudited) CORPORATE BONDS — 93. |
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| January 25, 2021 |
FISHER INVESTMENTS INSTITUTIONAL GROUP ALL FOREIGN EQUITY ENVIRONMENTAL AND SOCIAL VALUES FUND SCHEDULE OF INVESTMENTS November 30, 2020 (Unaudited) COMMON STOCKS — 105. |
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| January 25, 2021 |
FISHER INVESTMENTS INSTITUTIONAL GROUP ALL FOREIGN EQUITY ENVIRONMENTAL AND SOCIAL VALUES FUND SCHEDULE OF INVESTMENTS November 30, 2020 (Unaudited) COMMON STOCKS — 105. |
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| January 25, 2021 |
FISHER INVESTMENTS INSTITUTIONAL GROUP ALL FOREIGN EQUITY ENVIRONMENTAL AND SOCIAL VALUES FUND SCHEDULE OF INVESTMENTS November 30, 2020 (Unaudited) COMMON STOCKS — 105. |
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| January 25, 2021 |
FISHER INVESTMENTS INSTITUTIONAL GROUP ALL FOREIGN EQUITY ENVIRONMENTAL AND SOCIAL VALUES FUND SCHEDULE OF INVESTMENTS November 30, 2020 (Unaudited) COMMON STOCKS — 105. |
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| January 25, 2021 |
FISHER INVESTMENTS INSTITUTIONAL GROUP ALL FOREIGN EQUITY ENVIRONMENTAL AND SOCIAL VALUES FUND SCHEDULE OF INVESTMENTS November 30, 2020 (Unaudited) COMMON STOCKS — 105. |
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| January 25, 2021 |
FISHER INVESTMENTS INSTITUTIONAL GROUP ALL FOREIGN EQUITY ENVIRONMENTAL AND SOCIAL VALUES FUND SCHEDULE OF INVESTMENTS November 30, 2020 (Unaudited) COMMON STOCKS — 105. |
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| January 25, 2021 |
ESSEX ENVIRONMENTAL OPPORTUNITIES FUND SCHEDULE OF INVESTMENTS November 30, 2020 (Unaudited) COMMON STOCKS — 94. |
|
| January 25, 2021 |
FISHER INVESTMENTS INSTITUTIONAL GROUP ALL FOREIGN EQUITY ENVIRONMENTAL AND SOCIAL VALUES FUND SCHEDULE OF INVESTMENTS November 30, 2020 (Unaudited) COMMON STOCKS — 105. |
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| January 19, 2021 |
FISHER INVESTMENTS INSTITUTIONAL GROUP ALL FOREIGN EQUITY ENVIRONMENTAL AND SOCIAL VALUES FUND SCHEDULE OF INVESTMENTS November 30, 2020 (Unaudited) COMMON STOCKS — 105. |
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| November 27, 2020 |
SILK INVEST NEW HORIZONS FRONTIER FUND SCHEDULE OF INVESTMENTS September 30, 2020 (Unaudited) COMMON STOCKS — 94. |
|
| November 25, 2020 |
Crawford Funds Related Notes to the Schedule of Investments – (continued) September 30, 2020 CRAWFORD DIVIDEND GROWTH FUND SCHEDULE OF INVESTMENTS September 30, 2020 (Unaudited) COMMON STOCKS — 97. |
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| November 25, 2020 |
Crawford Funds Related Notes to the Schedule of Investments – (continued) September 30, 2020 CRAWFORD DIVIDEND GROWTH FUND SCHEDULE OF INVESTMENTS September 30, 2020 (Unaudited) COMMON STOCKS — 97. |
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| November 25, 2020 |
Selective Funds Related Notes to the Schedule of Investments September 30, 2020 SELECTIVE OPPORTUNITY FUND SCHEDULE OF INVESTMENTS September 30, 2020 (Unaudited) COMMON STOCKS — 64. |
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| November 25, 2020 |
Crawford Funds Related Notes to the Schedule of Investments – (continued) September 30, 2020 CRAWFORD DIVIDEND GROWTH FUND SCHEDULE OF INVESTMENTS September 30, 2020 (Unaudited) COMMON STOCKS — 97. |
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| November 25, 2020 |
Selective Funds Related Notes to the Schedule of Investments September 30, 2020 SELECTIVE OPPORTUNITY FUND SCHEDULE OF INVESTMENTS September 30, 2020 (Unaudited) COMMON STOCKS — 64. |
|
| November 24, 2020 |
8-A12B 1 fp00596628a12b.htm 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 Unified Series Trust (Exact name of registrant as specified in its charter) Ohio (State of incorporation or organization) See below (IRS Employer Identification No.) 225 |
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| November 20, 2020 |
UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, Ohio 45246 UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, Ohio 45246 November 20, 2020 EDGAR CORRESPONDENCE Securities & Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Unified Series Trust (?Registrant?) (SEC File Nos. |
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| October 28, 2020 |
Symons Value Institutional Fund Related Footnotes to the Schedule of Investments August 31, 2020 SYMONS VALUE INSTITUTIONAL FUND SCHEDULE OF INVESTMENTS August 31, 2020 (Unaudited) COMMON STOCKS — 83. |
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| October 28, 2020 |
Auer Growth Fund Related Footnotes to the Schedule of Investments August 31, 2020 – (Unaudited) AUER GROWTH FUND SCHEDULE OF INVESTMENTS August 31, 2020 (Unaudited) COMMON STOCKS — 92. |
|
| September 28, 2020 |
Standpoint Multi-Asset Fund Related Notes to the Consolidated Schedule of Investments July 31, 2020 STANDPOINT MULTI-ASSET FUND CONSOLIDATED SCHEDULE OF INVESTMENTS July 31, 2020 (Unaudited) Exchange-Traded Funds — 48. |
|
| September 18, 2020 |
UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 September 18, 2020 Securities & Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Attention: Ms. |
|
| August 28, 2020 |
Absolute Core Strategy ETF Related Notes to the Schedule of Investments June 30, 2020 ABSOLUTE CORE STRATEGY ETF SCHEDULE OF INVESTMENTS June 30, 2020 (Unaudited) Common Stocks — 62. |
|
| August 27, 2020 |
See accompanying notes which are an integral part of this schedule of investments. DEAN SMALL CAP VALUE FUND SCHEDULE OF INVESTMENTS June 30, 2020 (Unaudited) COMMON STOCKS — 99. |
|
| August 27, 2020 |
See accompanying notes which are an integral part of this schedule of investments. DEAN SMALL CAP VALUE FUND SCHEDULE OF INVESTMENTS June 30, 2020 (Unaudited) COMMON STOCKS — 99. |
|
| August 26, 2020 |
IRON Funds Related Notes to the Schedule of Investments June 30, 2020 IRON STRATEGIC INCOME FUND Schedule of Investments June 30, 2020 (Unaudited) Corporate Bonds – 59. |
|
| August 26, 2020 |
CHANNEL SHORT DURATION INCOME FUND (formerly the FCI Bond Fund) SCHEDULE OF INVESTMENTS June 30, 2020 (Unaudited) CORPORATE BONDS — 59. |
|
| August 26, 2020 |
Appleseed Fund Related Notes to the Schedule of Investments June 30, 2020 APPLESEED FUND SCHEDULE OF INVESTMENTS June 30, 2020 (Unaudited) Common Stocks — 76. |
|
| July 31, 2020 |
UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, Ohio 45246 UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, Ohio 45246 July 31, 2020 EDGAR CORRESPONDENCE Securities & Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Unified Series Trust (?Registrant?) (SEC File Nos. |
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| July 30, 2020 |
UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 July 30, 2020 Securities & Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Attention: Mr. |
|
| July 30, 2020 |
Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement Confidential, for use of the Commission only (as permitted by Rule 14a-6(e) (2)) [X] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material under Rule 14a-12 UNIFIED SERIES TRUST (Name of Registrant as Specified in Its Charter) (Name of person (s) filing Proxy Statement, if other than the Registrant) Payment of filing fee (check the appropriate box): [X] No fee required. |
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| July 28, 2020 |
FISHER INVESTMENTS INSTITUTIONAL GROUP STOCK FUND FOR RETIREMENT PLANS SCHEDULE OF INVESTMENTS May 31, 2020 (Unaudited) COMMON STOCKS — 99. |
|
| July 28, 2020 |
FISHER INVESTMENTS INSTITUTIONAL GROUP STOCK FUND FOR RETIREMENT PLANS SCHEDULE OF INVESTMENTS May 31, 2020 (Unaudited) COMMON STOCKS ? 99. |
|
| July 28, 2020 |
FISHER INVESTMENTS INSTITUTIONAL GROUP STOCK FUND FOR RETIREMENT PLANS SCHEDULE OF INVESTMENTS May 31, 2020 (Unaudited) COMMON STOCKS ? 99. |
|
| July 28, 2020 |
FISHER INVESTMENTS INSTITUTIONAL GROUP STOCK FUND FOR RETIREMENT PLANS SCHEDULE OF INVESTMENTS May 31, 2020 (Unaudited) COMMON STOCKS — 99. |
|
| July 27, 2020 |
UNIFIED SERIES TRUST 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 July 27, 2020 Securities & Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Attention: Mr. |
|
| July 27, 2020 |
NPORT-EX 2 fp0055460nportex.htm TACTICAL NPORT-EX FISHER INVESTMENTS INSTITUTIONAL GROUP STOCK FUND FOR RETIREMENT PLANS SCHEDULE OF INVESTMENTS May 31, 2020 (Unaudited) COMMON STOCKS — 99.17% Shares Fair Value Australia — 1.17% Materials — 1.17% BHP Group Ltd. 26 $ 600 OZ Minerals Ltd. 77 483 Rio Tinto Ltd. 10 623 Total Australia 1,706 Brazil — 1.56% Energy — 0.76% Petroleo Brasileiro S.A. - ADR( |
|
| July 27, 2020 |
ESSEX ENVIRONMENTAL OPPORTUNITIES FUND SCHEDULE OF INVESTMENTS May 31, 2020 (Unaudited) COMMON STOCKS — 85. |
|
| July 23, 2020 |
DEF 14C 1 fp0055778def14c.htm SCHEDULE 14C INFORMATION Proxy Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Information Statement [ ] Confidential, for Use of the Commission only (as permitted by Rule 14c-5(d)(2)) [X] Definitive Information Statement Uni |
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| July 16, 2020 |
SUBADVISORY AGREEMENT ABSOLUTE INVESTMENT ADVISERS LLC ST. JAMES INVESTMENT COMPANY, LLC EX-99.C 4 fp0055480ex99c.htm EXHIBIT C: FORM OF NEW SUB-ADVISORY AGREEMENT SUBADVISORY AGREEMENT BETWEEN ABSOLUTE INVESTMENT ADVISERS LLC AND ST. JAMES INVESTMENT COMPANY, LLC AGREEMENT made as of the [14th day of September, 2020] by and between Absolute Investment Advisers LLC, a Massachusetts limited liability company with its principal office and place of business at 4 North Street, Suite 2, Hi |
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| July 16, 2020 |
EXHIBIT A: FORM OF NEW ADVISORY AGREEMENT MANAGEMENT AGREEMENT TO: Absolute Investment Advisers LLC 4 North Street, Suite 2 Hingham, MA 02043 Dear Gentlemen: Unified Series Trust (the “Trust”) herewith confirms our agreement with you effective [September 14], 2020. |
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| July 16, 2020 |
UNIFIED SERIES TRUST OPERATING EXPENSE LIMITATION AGREEMENT ABSOLUTE CORE STRATEGY ETF EXHIBIT B: NEW EXPENSE LIMITATION AGREEMENT UNIFIED SERIES TRUST OPERATING EXPENSE LIMITATION AGREEMENT ABSOLUTE CORE STRATEGY ETF THIS OPERATING EXPENSE LIMITATION AGREEMENT (the “Agreement”) is effective as of the 1st day of July, 2020, by and between UNIFIED SERIES TRUST, an Ohio business trust (the “Trust”), on behalf of each series of the Trust set forth on Appendix A attached hereto (each a “Fund” and collectively the “Funds”) and the investment adviser of the Funds, Absolute Investment Advisers LLC (the “Adviser”). |
|
| July 16, 2020 |
Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement Confidential, for use of the Commission only (as permitted by Rule 14a-6(e) (2)) [ ] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material under Rule 14a-12 UNIFIED SERIES TRUST (Name of Registrant as Specified in Its Charter) (Name of person (s) filing Proxy Statement, if other than the Registrant) Payment of filing fee (check the appropriate box): [X] No fee required. |
|
| July 13, 2020 |
PRE 14C 1 fp0055449pre14c.htm SCHEDULE 14C INFORMATION Proxy Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Information Statement [ ] Confidential, for Use of the Commission only (as permitted by Rule 14c-5(d)(2)) [ ] Definitive Information Statement Uni |
