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| CIK | 1924447 |
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 THOR Financial Technologies Trust - THOR Equal Weight Low Volatility 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.
| September 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 THOR Financial Technologies Trust (Exact name of registrant as specified in its charter) Delaware See Below (State of incorporation or organization) (I. |
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| February 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 25 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 333-264435 THOR Financial Technologies Trust/NYSE Arca, Inc. (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or registered) 32 |
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| January 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 THOR Financial Technologies Trust (Exact name of registrant as specified in its charter) Delaware See Below (State of incorporation or organization) (I. |
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| September 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 THOR Financial Technologies Trust (Exact name of registrant as specified in its charter) Delaware See Below (State of incorporation or organization) (I. |
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| August 31, 2022 |
Code of Ethics 327 W. Pittsburgh St. Greensburg, PA 15601 thorft.com Tyler Trimbath, CCO: [email protected] June 2022 Table of Contents 1) Introduction 3 2) Standards of Business Conduct 3 3) Policy Statement on Insider Trading 3 4) Procedures To Implement Policy Against Insider Trading 4 5) Personal Account Dealings 5 6) Gifts and Entertainment 6 7) Political Contributions 8 8) Outside |
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| August 31, 2022 |
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 Ultimus Code of Ethics Table of Contents I. |
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| August 31, 2022 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Pre-Effective Amendment to the Registration Statement on Form N-1A of the THOR Low Volatility ETF (the “Fund”), a series of shares of THOR Financial Technologies Trust, and to the use of our report dated August 26, 2022 on the Fund’s financial statement as of August 8, 2022. |
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| August 31, 2022 |
THOR Financial Technologies Trust Code of Ethics (“1940 Act Code of Ethics”) EX-99.P CODE ETH 12 ex99p1.htm THOR Financial Technologies Trust Code of Ethics (“1940 Act Code of Ethics”) Purpose of the Code of Ethics The THOR Financial Technologies Trust (the “Trust”) has adopted this Code of Ethics (the “Code”) to set forth guidelines and procedures that promote ethical practices and conduct by all of the Trust’s Access Persons, as defined below, and to ensure compliance wi |
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| August 31, 2022 |
[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] SERVICES AGREEMENT THIS SERVICES AGREEMENT (the “Agreement”) is made effective as of June 21st, 2022 (the “Effective Date”), between PINE Advisors LLC, (“PINE”), and THOR Financial Technologies Trust (the “Client”). |
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| August 31, 2022 |
[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] ETF MASTER SERVICES AGREEMENT This ETF Master Services Agreement (this "Agreement"), dated June 2, 2022, is between THOR Financial Technologies Trust (the "Trust"), a Delaware statutory trust, and Ultimus Fund Solutions, LLC ("Ultimus"), a limited liability company organized under the laws of the state of Ohio. |
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| August 31, 2022 |
As filed with the Securities and Exchange Commission on August 31, 2022 As filed with the Securities and Exchange Commission on August 31, 2022 File No. 333-264435 File No. 811-23794 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A þ REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 þ Pre-Effective Amendment No. 1 ¨ Post-Effective Amendment No. and/or þ REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 þ Amendment No. 1 THOR FINA |
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| August 31, 2022 |
THOR Financial Technologies Trust August 29, 2022 THOR Financial Technologies Trust 327 W. Pittsburgh Street Greensburg, PA 15601 Dear Board Members: This letter is in response to your request for our opinion in connection with the filing of Pre-Effective Amendment No. 1 to the Registration Statement, File Nos. 333-264435 and 811-23794 (the ?Registration Statement?), of THOR Financial Technologies Trust (the ?Trust?). We have exam |
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| August 31, 2022 |
[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] ETF DISTRIBUTION AGREEMENT This ETF Distribution Agreement (this "Agreement") is effective the 21st day of June, 2022, between THOR Financial Technologies Trust, a Delaware statutory 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 31, 2022 |
RULE 12b-1 DISTRIBUTION AND SERVICE PLAN RULE 12b-1 DISTRIBUTION AND SERVICE PLAN 1. The Trust. THOR Financial Technologies 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 is authorized to issue separate series (each such series is referred to herein as a ?Fund? and collectively the ?Funds?). 2. The Plan. The Trust desires to ad |
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| August 31, 2022 |
CUSTODIAN AND TRANSFER AGENT AGREEMENT CUSTODIAN AND TRANSFER AGENT AGREEMENT THIS AGREEMENT(this Agreement), dated as of June 21, 2022, between THOR FINANCIAL TECHNOLOGIES TRUST (the Fund), an open-end management investment company organized as a Delaware statutory trust and registered with the Commission under the Investment Company Act of 1940 (the 1940 Act), on behalf of each series, separately and not jointly, listed on Annex A to this Agreement as may be amended from time to time (each a "Portfolio" and collectively the "Portfolios") and BROWN BROTHERS HARRIMAN & CO. |
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| August 31, 2022 |
BY-LAWS THOR Financial Technologies Trust A Delaware Statutory Trust ARTICLE I. OFFICES BY-LAWS THOR Financial Technologies Trust A Delaware Statutory Trust ARTICLE I. OFFICES Section 1.01. PRINCIPAL EXECUTIVE OFFICE. The Board of Trustees shall fix and, from time to time, may change the location of the principal executive office of the Trust at any place within or outside the State of Delaware. Section 1.02. OTHER OFFICES. The Board of Trustees may at any time establish branch or ad |
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| August 31, 2022 |
MANAGEMENT AGREEMENT TO: THOR Financial Technologies, LLC THOR Financial Technologies Trust (the ?Trust?) herewith confirms our agreement with you. |
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| August 31, 2022 |
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST OF thor financial technologies trust a Delaware Statutory Trust TABLE OF CONTENTS Page Article I Name and Definitions 1 Section 1. |
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| August 31, 2022 |
POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS: WHEREAS, THE THOR FINANCIAL TECHNOLOGIES TRUST, a business trust organized under the laws of the State of Delaware (hereinafter referred to as the "Trust"), periodically files amendments to its Registration Statement with the SEC under the provisions of the Securities Act of 1933, as amended and the Investment Company Act of 1940, as amended; NOW, THEREFORE, the undersigned hereby constitutes and appoints Andrew Davalla, JoAnn Strasser and Michael Wible as attorneys for it and in its name, place and stead, and in its capacity as a Trust, to execute and file any Amendment or Amendments to the Trust's Registration Statement (file Nos. |
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| August 30, 2022 |
August 30, 2022 Timothy Worthington Securities and Exchange Commission Division of Investment Management 100 F. |
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| April 22, 2022 |
STATE OF DELAWARE CERTIFICATE OF TRUST Exhibit (a)(1)(A) STATE OF DELAWARE CERTIFICATE OF TRUST This Certificate of Trust (this “Certificate”) is filed in accordance with the provisions of the Delaware Statutory Trust Act (12 Del. |
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| April 22, 2022 |
As filed with the Securities and Exchange Commission on April [__], 2022 N-1A 1 thorfinancialtechn1a.htm N-1A As filed with the Securities and Exchange Commission on April [], 2022 File No. 333-[ ] File No. 811-[ ] 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 ☑ REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 194 |
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| April 22, 2022 |
Exhibit (a)(2)(A) AGREEMENT AND DECLARATION OF TRUST OF thor financial technologies trust a Delaware Statutory Trust TABLE OF CONTENTS Page Article I Name and Definitions 1 Section 1. |
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| April 22, 2022 |
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 with such notific |
