|
Ticker |
Exchange |
Hartford Multifactor International Small Company ETF |
ROIS |
Cboe BZX |
Hartford US Quality Growth ETF |
HQGO |
The NASDAQ Stock Market LLC |
Hartford US Value ETF |
VMAX |
Cboe BZX |
Management fees |
|
Distribution and service (12b-1) fees |
|
Other expenses |
|
Total annual fund operating expenses |
|
Year 1 |
Year 3 |
$ |
$ |
Portfolio Manager |
Title |
Involved with Fund Since |
Marlene Walker Smith |
Director, Head of Equity Index Portfolio Management of Mellon |
2023 |
Todd Frysinger, CFA |
Vice President, Senior Portfolio Manager of Mellon |
2023 |
David France, CFA |
Vice President, Senior Portfolio Manager of Mellon |
2023 |
Michael Stoll |
Vice President, Senior Portfolio Manager of Mellon |
2023 |
Vlasta Sheremeta, CFA |
Vice President, Senior Portfolio Manager of Mellon |
2023 |
Management fees |
|
Distribution and service (12b-1) fees |
|
Other expenses |
|
Total annual fund operating expenses |
|
Year 1 |
Year 3 |
$ |
$ |
Portfolio Manager |
Title |
Involved with Fund Since |
Marlene Walker Smith |
Director, Head of Equity Index Portfolio Management of Mellon |
2023 |
Todd Frysinger, CFA |
Vice President, Senior Portfolio Manager of Mellon |
2023 |
David France, CFA |
Vice President, Senior Portfolio Manager of Mellon |
2023 |
Michael Stoll |
Vice President, Senior Portfolio Manager of Mellon |
2023 |
Vlasta Sheremeta, CFA |
Vice President, Senior Portfolio Manager of Mellon |
2023 |
Management fees |
|
Distribution and service (12b-1) fees |
|
Other expenses |
|
Total annual fund operating expenses |
|
Year 1 |
Year 3 |
$ |
$ |
Portfolio Manager |
Title |
Involved with Fund Since |
Marlene Walker Smith |
Director, Head of Equity Index Portfolio Management of Mellon |
2023 |
Todd Frysinger, CFA |
Vice President, Senior Portfolio Manager of Mellon |
2023 |
David France, CFA |
Vice President, Senior Portfolio Manager of Mellon |
2023 |
Michael Stoll |
Vice President, Senior Portfolio Manager of Mellon |
2023 |
Vlasta Sheremeta, CFA |
Vice President, Senior Portfolio Manager of Mellon |
2023 |
√ Principal Risk X Additional Risk |
International Small Company ETF |
US Quality Growth ETF |
US Value ETF |
Authorized Participant Concentration Risk |
√ |
√ |
√ |
Cash Transactions Risk |
X |
X |
X |
Counterparty Risk |
X |
X |
X |
Currency Risk |
√ |
|
|
Depositary Receipts Risk |
X |
|
|
Derivatives Risk |
X |
X |
X |
Futures and Options Risk |
X |
X |
X |
Swaps Risk |
X |
X |
X |
Hedging Risk |
X |
X |
X |
Equity Risk |
√ |
√ |
√ |
Exchange-Traded Funds Risk |
X |
X |
X |
Exchange-Traded Notes Risk |
X |
X |
X |
Foreign Investments Risk |
√ |
|
|
Emerging Markets Risk |
√ |
|
|
Growth Stocks Risk |
|
√ |
|
Illiquid Investments Risk |
X |
X |
X |
Index Tracking Risk |
√ |
√ |
√ |
Index Related Risk |
√ |
√ |
√ |
Industry Concentration Risk |
√ |
√ |
√ |
Large Cap Securities Risk |
X |
√ |
√ |
Large Shareholder Transaction Risk |
X |
X |
X |
Liquidity Risk |
X |
X |
X |
Market Price Risk |
√ |
√ |
√ |
Market Risk |
√ |
√ |
√ |
Mid Cap Securities Risk |
X |
X |
X |
New Fund Risk |
√ |
√ |
√ |
No Guarantee of Active Trading Market Risk |
X |
X |
X |
Other Investment Companies Risk |
X |
X |
X |
Passive Strategy/Index Risk |
√ |
√ |
√ |
Regional/Country Focus Risk |
√ |
|
|
Investments in Asian Securities |
√ |
|
|
Investments in Central and South America |
X |
|
|
Investments in Europe |
√ |
|
|
Restricted Securities Risk |
X |
X |
X |
Rule 144A Securities and Regulation S Securities Risk |
X |
|
|
Secondary Trading Market Issues |
X |
X |
X |
Securities Lending Risk |
X |
X |
X |
Small Cap Securities Risk |
√ |
X |
X |
Use as an Underlying Fund Risk |
X |
X |
X |
√ Principal Risk X Additional Risk |
International Small Company ETF |
US Quality Growth ETF |
US Value ETF |
Valuation Risk |
√ |
√ |
√ |
Value Stocks Risk |
|
|
√ |
Volatility Risk |
X |
X |
X |
Portfolio Manager |
Positions Over the Past Five Years |
Marlene Walker Smith |
Director, Head of Equity Index Portfolio Management of Mellon. Ms. Walker Smith received an MBA in finance from the University of Pittsburgh and a BA in history and Russian from Washington & Jefferson College and has 30 years of investment experience. |
Todd Frysinger, CFA |
Vice President, Senior Portfolio Manager of Mellon. Mr. Frysinger received an MS in finance from Boston College and a BS in finance and management from Elizabethtown College and has 20 years of investment experience. |
David France, CFA |
Vice President, Senior Portfolio Manager of Mellon. Mr. France received an MS in finance from Loyola University Maryland and a BSBA in accounting from Duquesne University and has 27 years of investment experience. |
Michael Stoll |
Vice President, Senior Portfolio Manager of Mellon. Mr. Stoll received a BS in civil engineering from the University of California at Irvine, and an MBA and an MS in engineering from the University of California at Berkeley and has 16 years of investment experience. |
Portfolio Manager |
Positions Over the Past Five Years |
Vlasta Sheremeta, CFA |
Vice President, Senior Portfolio Manager of Mellon. Ms. Sheremeta received an MBA from Carnegie Mellon University and a BS in business administration from the University of Pittsburgh and has 10 years of investment experience. |
Fund |
Annual Rate |
International Small Company ETF |
0.49% |
US Quality Growth ETF |
0.34% |
US Value ETF |
0.29% |
Fund |
Income Dividend Distribution Frequency |
International Small Company ETF |
Semi-Annual |
US Quality Growth ETF |
Quarterly |
US Value ETF |
Quarterly |
Hartford Funds |
(For overnight mail) |
690 Lee Road |
Hartford Funds |
Wayne, PA 19087 |
690 Lee Road |
|
Wayne, PA 19087 |
Fund |
Ticker |
Exchange |
Hartford Multifactor International Small Company ETF |
ROIS |
Cboe BZX |
Hartford US Quality Growth ETF |
HQGO |
The NASDAQ Stock Market LLC |
Hartford US Value ETF |
VMAX |
Cboe BZX |
|
Page No. |
3 | |
5 | |
6 | |
8 | |
40 | |
40 | |
41 | |
48 | |
48 | |
50 | |
51 | |
52 | |
52 | |
53 | |
60 | |
60 | |
61 | |
61 | |
67 | |
67 | |
67 | |
67 | |
68 | |
68 | |
68 | |
68 |
|
International Small Company ETF
|
US Quality Growth ETF
|
US Value ETF
|
Asset Coverage Risk |
X |
X |
X |
Authorized Participant Concentration Risk |
X |
X |
X |
Borrowing Risk |
X |
X |
X |
|
International Small Company ETF
|
US Quality Growth ETF
|
US Value ETF
|
Cash Transactions Risk |
X |
X |
X |
Commodities Regulatory Risk |
X |
X |
X |
Convertible Securities Risk |
X |
X |
X |
Contingent Convertibles Risk |
X |
X |
X |
Synthetic Convertibles Risk |
X |
X |
X |
Counterparty Risk |
X |
X |
X |
Currency Risk |
X |
X |
X |
Cybersecurity Risk |
X |
X |
X |
Depositary Receipts Risk |
X |
X |
X |
Derivatives Risk |
X |
X |
X |
Hedging Risk |
X |
X |
X |
Options Contracts Risk |
X |
X |
X |
Futures Contracts and Options on Futures Contracts Risk |
X |
X |
X |
Swap Agreements and Swaptions Risk |
X |
X |
X |
Inflation-Linked Instruments Risk |
X |
X |
X |
Hybrid Instruments Risk |
X |
X |
X |
Credit-Linked Securities Risk |
X |
X |
X |
Indexed Securities and Structured Notes Risk |
X |
X |
X |
Event-Linked Bonds Risk |
X |
X |
X |
Foreign Currency Transactions Risk |
X |
X |
X |
Risk Factors in Derivative Instruments |
X |
X |
X |
Regulatory Aspects of Derivates and Hedging Instruments |
X |
X |
X |
Additional Risk Factors and Considerations of OTC Transactions |
X |
X |
X |
Dividend Risk |
X |
X |
X |
Equity Risk |
X |
X |
X |
Exchange-Traded Funds (ETFs) Risk |
X |
X |
X |
Exchange-Traded Notes (ETNs) Risk |
X |
X |
X |
Foreign Investments Risk |
X |
|
|
Currency Risk and Exchange Risk |
X |
|
|
Principal Exchange Rate Linked Securities Risk |
X |
|
|
Performance Indexed Paper Risk |
X |
|
|
Settlement Risk |
X |
|
|
China Investments Risk |
X |
|
|
Government Intervention in Financial Markets Risk |
X |
X |
X |
Growth Stocks Risk |
|
X |
|
Illiquid Investments Risk |
X |
X |
X |
Index Related Risk |
X |
X |
X |
Index Tracking Risk |
X |
X |
X |
Industry Concentration Risk |
X |
X |
X |
Inflation Risk |
X |
X |
X |
Initial Public Offerings (“IPO”) Risk |
X |
X |
X |
Interfund Lending Program Risk |
X |
X |
X |
Investment Strategy Risk |
X |
X |
X |
Investments in Emerging Market Securities Risk |
X |
X |
X |
Issuer Risk |
X |
X |
X |
Large Cap Securities Risk |
X |
X |
X |
Large Shareholder Transaction Risk |
X |
X |
X |
LIBOR Risk |
X |
X |
X |
Liquidation of Funds Risk |
X |
X |
X |
Market Price Risk |
X |
X |
X |
Market Risk |
X |
X |
X |
Market Trading Risk |
X |
X |
X |
Master Limited Partnership (“MLP”) Risk |
X |
X |
X |
Mid Cap Securities Risk |
X |
X |
X |
Money Market Instruments |
X |
X |
X |
New Fund Risk |
X |
X |
X |
No Guarantee of Active Trading Market Risk |
X |
X |
X |
Operational Risks |
X |
X |
X |
Other Capital Securities Risk |
X |
X |
X |
Other Investment Companies Risk |
X |
X |
X |
|
International Small Company ETF
|
US Quality Growth ETF
|
US Value ETF
|
Passive Strategy/Index Risk |
X |
X |
X |
Preferred Stock Risk |
X |
X |
X |
Real Estate Investment Trusts (“REITs”) Risk |
X |
X |
X |
Real Estate Related Securities Risks |
X |
X |
X |
Regional/Country Focus Risk |
X |
|
|
Asian Economic Risk |
X |
|
|
Central and South American Economic Risk |
X |
|
|
European Economic Risk |
X |
|
|
Repurchase and Reverse Repurchase Agreements Risk |
X |
X |
X |
Restricted Securities Risk |
X |
X |
X |
Risks of Qualified Financial Contracts |
X |
X |
X |
Secondary Trading Market Issues |
X |
X |
X |
Sector Risk |
X |
X |
X |
Securities Lending Risk |
X |
X |
X |
Securities Trusts Risk |
X |
X |
X |
Small Capitalization Securities Risk |
X |
X |
X |
Structured Securities Risk |
X |
X |
X |
Use as an Underlying Fund Risk |
X |
X |
X |
Valuation Risk |
X |
X |
X |
Value Stocks Risk |
|
|
X |
Volatility Risk |
X |
X |
X |
Warrants and Rights Risk |
X |
X |
X |
Zero Coupon Securities Risk |
X |
X |
X |
NAME, YEAR OF BIRTH AND ADDRESS* |
POSITION HELD WITH THE TRUST |
TERM OF OFFICE** AND LENGTH OF TIME SERVED |
PRINCIPAL OCCUPATION(S) DURING PAST 5 YEARS |
NUMBER OF PORTFOLIOS IN FUND COMPLEX*** OVERSEEN BY TRUSTEE |
OTHER DIRECTORSHIPS FOR PUBLIC COMPANIES AND OTHER REGISTERED INVESTMENT COMPANIES HELD BY TRUSTEE |
HILARY E. ACKERMANN (1956) |
Trustee |
Since 2017 |
Ms. Ackermann served as Chief Risk Officer at Goldman Sachs Bank USA from October 2008 to November 2011. |
81 |
Ms. Ackermann served as a Director of Dynegy, Inc. from October 2012 until its acquisition by Vistra Energy Corporation in 2018, and since that time she has served as a Director of Vistra. Ms. Ackermann serves as a Director of Credit Suisse Holdings (USA), Inc. from January 2017 to December 2022. |
ROBIN C. BEERY (1967) |
Trustee |
Since 2014 |
Ms. Beery has served as a consultant to ArrowMark Partners (an alternative asset manager) since March of 2015 and since November 2018 has been employed by ArrowMark Partners as a Senior Advisor. Previously, she was Executive Vice President, Head of Distribution, for Janus Capital Group, and Chief Executive Officer and President of the Janus Mutual Funds (a global asset manager) from September 2009 to August 2014. |
81 |
Ms. Beery serves as an independent Director of UMB Financial Corporation (January 2015 to present), has chaired the Compensation Committee since April 2017, and has been a member of the Compensation Committee and the Risk Committee since January 2015. |
DERRICK D. CEPHAS (1952) |
Trustee |
Since 2020 |
Mr. Cephas currently serves as Of Counsel to Squire Patton Boggs LLP, an international law firm with 45 offices in 20 countries. Until his retirement in October 2020, Mr. Cephas was a Partner of Weil, Gotshal & Manges LLP, an international law firm headquartered in New York, where he served as the Head of the Financial Institutions Practice (April 2011 to October 2020). |
81 |
Mr. Cephas currently serves as a Director of Claros Mortgage Trust, Inc., a real estate investment trust and is a member of the Compensation Committee and the Nominating and Governance Committee. |
NAME, YEAR OF BIRTH AND ADDRESS* |
POSITION HELD WITH THE TRUST |
TERM OF OFFICE** AND LENGTH OF TIME SERVED |
PRINCIPAL OCCUPATION(S) DURING PAST 5 YEARS |
NUMBER OF PORTFOLIOS IN FUND COMPLEX*** OVERSEEN BY TRUSTEE |
OTHER DIRECTORSHIPS FOR PUBLIC COMPANIES AND OTHER REGISTERED INVESTMENT COMPANIES HELD BY TRUSTEE |
CHRISTINE R. DETRICK (1958) |
Trustee and Chair of the Board |
Trustee since 2017; Chair of the Board since 2021 |
From 2002 until 2012, Ms. Detrick was a Senior Partner, Leader of the Financial Services Practice, and a Senior Advisor at Bain & Company (“Bain”). Before joining Bain, she served in various senior management roles for other financial services firms and was a consultant at McKinsey and Company. |
81 |
Ms. Detrick currently serves as a Director of Charles River Associates (May 2020 to present); currently serves as a Director of Capital One Financial Corporation (since November 2021); and currently serves as a Director of Altus Power, Inc (since December 2021). |
JOHN J. GAUTHIER (1961) |
Trustee |
Since 2022 |
Mr. Gauthier currently is the Principal Owner of JJG Advisory, LLC, an investment consulting firm, and Co- Founder and Principal Owner of Talcott Capital Partners (a placement agent for investment managers serving insurance companies). From 2008 to 2018, Mr. Gauthier served as a Senior Vice President (2008- 2010), Executive Vice President (2010-2012), and President (2012-2018) of Allied World Financial Services (a global provider of property, casualty and specialty insurance and reinsurance solutions). |
81 |
Mr. Gauthier serves as a Director of Reinsurance Group of America, Inc. (from 2018 to present) and chairs the Investment Committee and is a member of the Audit and Risk Committees. |
ANDREW A. JOHNSON (1962) |
Trustee |
Since 2020 |
Mr. Johnson currently serves as a Diversity and Inclusion Advisor at Neuberger Berman, a private, global investment management firm. Prior to his current role, Mr. Johnson served as Chief Investment Officer and Head of Global Investment Grade Fixed Income at Neuberger Berman (January 2009 to December 2018). |
81 |
Mr. Johnson currently serves as a Director of AGNC Investment Corp., a real estate investment trust. |
PAUL L. ROSENBERG (1953) |
Trustee |
Since 2020 |
Mr. Rosenberg is a Partner of The Bridgespan Group, a global nonprofit consulting firm that is a social impact advisor to nonprofits, non-governmental organizations, philanthropists and institutional investors (October 2007 to present). |
81 |
None |
DAVID SUNG (1953) |
Trustee |
Since 2014 |
Mr. Sung was a Partner at Ernst & Young LLP from October 1995 to July 2014. |
81 |
Mr. Sung serves as a Trustee of Ironwood Institutional Multi- Strategy Fund, LLC and Ironwood Multi-Strategy Fund, LLC (October 2015 to present). |
NAME, YEAR OF BIRTH AND ADDRESS* |
POSITION HELD WITH THE TRUST |
TERM OF OFFICE** AND LENGTH OF TIME SERVED |
PRINCIPAL OCCUPATION(S) DURING PAST 5 YEARS |
NUMBER OF PORTFOLIOS IN FUND COMPLEX*** OVERSEEN BY TRUSTEE |
OTHER DIRECTORSHIPS HELD BY TRUSTEE |
JAMES E. DAVEY**** (1964) |
Trustee, President and Chief Executive Officer |
Trustee since 2017; President and Chief Executive Officer since 2017 |
Mr. Davey serves as Executive Vice President of The Hartford Financial Services Group, Inc. Mr. Davey has served in various positions within The Hartford and its subsidiaries and joined The Hartford in 2002. Additionally, Mr. Davey serves as Director, Chairman, President, and Senior Managing Director for Hartford Funds Management Group, Inc. ("HFMG"). Mr. Davey also serves as President, Manager, Chairman of the Board, and Senior Managing Director for Hartford Funds Management Company, LLC (“HFMC”); Manager, Chairman of the Board, and President of Lattice Strategies LLC (“Lattice”); Chairman of the Board, Manager, and Senior Managing Director of Hartford Funds Distributors, LLC (“HFD”); and Chairman of the Board, President and Senior Managing Director of Hartford Administrative Services Company (“HASCO”), each of which is an affiliate of HFMG. |
81 |
None |
AMY N. FURLONG (1979) |
Vice President |
Since 2018 |
Ms. Furlong serves as Vice President and Assistant Treasurer of HFMC (since September 2019). From 2018 through March 15, 2021, Ms. Furlong served as the Treasurer of the Trust and resumed her position as Treasurer January 9, 2023 through September 10, 2023. Ms. Furlong has served in various positions within The Hartford and its subsidiaries in connection with the operation of the Hartford Funds. Ms. Furlong joined The Hartford in 2004. |
N/A |
N/A |
WALTER F. GARGER (1965) |
Vice President and Chief Legal Officer |
Since 2016 |
Mr. Garger serves as Secretary, Managing Director and General Counsel of HFMG, HFMC, HFD, and HASCO (since 2013). Mr. Garger also serves as Secretary and General Counsel of Lattice (since July 2016). Mr. Garger has served in various positions within The Hartford and its subsidiaries in connection with the operation of the Hartford Funds. Mr. Garger joined The Hartford in 1995. |
N/A |
N/A |
THEODORE J. LUCAS (1966) |
Vice President |
Since 2017 |
Mr. Lucas serves as Executive Vice President of HFMG (since July 2016) and as Executive Vice President of Lattice (since June 2017). Previously, Mr. Lucas served as Managing Partner of Lattice (2003 to 2016). |
N/A |
N/A |
JOSEPH G. MELCHER (1973) |
Vice President, Chief Compliance Officer and AML Compliance Officer |
Vice President and Chief Compliance Officer since 2017; AML Compliance Officer since August 1, 2022 |
Mr. Melcher serves as Executive Vice President of HFMG and HASCO (since December 2013). Mr. Melcher also serves as Executive Vice President (since December 2013) and Chief Compliance Officer (since December 2012) of HFMC, serves as Executive Vice President and Chief Compliance Officer of Lattice (since July 2016), serves as Executive Vice President of HFD (since December 2013), and has served as President and Chief Executive Officer of HFD (from April 2018 to June 2019). |
N/A |
N/A |
NAME, YEAR OF BIRTH AND ADDRESS* |
POSITION HELD WITH THE TRUST |
TERM OF OFFICE** AND LENGTH OF TIME SERVED |
PRINCIPAL OCCUPATION(S) DURING PAST 5 YEARS |
NUMBER OF PORTFOLIOS IN FUND COMPLEX*** OVERSEEN BY TRUSTEE |
OTHER DIRECTORSHIPS HELD BY TRUSTEE |
VERNON J. MEYER (1964) |
Vice President |
Since 2016 |
Mr. Meyer serves as Managing Director and Chief Investment Officer of HFMC and Managing Director of HFMG (since 2013). Mr. Meyer also serves as Senior Vice President-Investments of Lattice (since March 2019). Mr. Meyer has served in various positions within The Hartford and its subsidiaries in connection with the operation of the Hartford Funds. Mr. Meyer joined The Hartford in 2004. |
N/A |
N/A |
ALICE A. PELLEGRINO (1960) |
Vice President and Assistant Secretary |
Since 2016 |
Ms. Pellegrino is Deputy General Counsel for HFMG (since April 2022) and currently serves as Vice President of HFMG (since December 2013). Ms. Pellegrino also serves as Vice President and Assistant Secretary of Lattice (since June 2017). Ms. Pellegrino has served in various positions within The Hartford and its subsidiaries in connection with the operation of the Hartford Funds. Ms. Pellegrino joined The Hartford in 2007. |
N/A |
N/A |
ANKIT PURI (1984) |
Vice President and Treasurer |
Effective September 11, 2023 |
Effective September 11, 2023, Mr. Puri serves as Vice President and Treasurer of the Trust. Prior to joining HFMC in 2023, Mr. Puri was a Fund Accounting Director, Investment Management Services, at SEI Investments (July 2021 through August 2023), an Associate Director, Fund Accounting Policy at The Vanguard Group (September 2020 to June 2021), and served in various positions at Ernst & Young LLP (October 2014 through September 2020). |
N/A |
N/A |
THOMAS R. PHILLIPS (1960) |
Vice President and Secretary |
Since 2017 |
Mr. Phillips is Deputy General Counsel for HFMG and currently serves as a Senior Vice President (since June 2021) and Assistant Secretary (since June 2017) for HFMG. Mr. Phillips also serves as Vice President of HFMC (since June 2021). Prior to joining HFMG in 2017, Mr. Phillips was a Director and Chief Legal Officer of Saturna Capital Corporation from 2014–2016. Prior to that, Mr. Phillips was a Partner and Deputy General Counsel of Lord, Abbett & Co. LLC. |
N/A |
N/A |
Name of Person, Position |
Aggregate Compensation from the Trust |
Pension or Retirement Benefits Accrued as Part of Fund Expenses |
Estimated Annual Benefits Upon Retirement |
Total Compensation from the Fund Complex Paid to Trustees |
Hilary E. Ackermann, Trustee |
$5,218 |
None |
None |
$356,250 |
Robin C. Beery, Trustee |
$5,218 |
None |
None |
$356,250 |
Derrick D. Cephas, Trustee |
$4,511 |
None |
None |
$307,250 |
Christine R. Detrick, Trustee |
$7,458 |
None |
None |
$511,250 |
John J. Gauthier, Trustee |
$4,568 |
None |
None |
$311,250 |
Andrew A. Johnson, Trustee |
$5,218 |
None |
None |
$356,250 |
Paul L. Rosenberg, Trustee |
$4,568 |
None |
None |
$311,250 |
David Sung, Trustee |
$5,218 |
None |
None |
$356,250 |
NAME OF TRUSTEE |
DOLLAR RANGE OF EQUITY SECURITIES IN EACH FUND |
AGGREGATE DOLLAR RANGE OF EQUITY SECURITIES IN ALL REGISTERED INVESTMENT COMPANIES OVERSEEN BY TRUSTEE IN FAMILY OF INVESTMENT COMPANIES |
Hilary E. Ackermann |
N/A |
Over $100,000 |
Robin C. Beery |
N/A |
Over $100,000 |
Derrick D. Cephas |
N/A |
None |
Christine R. Detrick |
N/A |
Over $100,000 |
John J. Gauthier |
N/A |
Over $100,000 |
Andrew A. Johnson |
N/A |
None |
Paul L. Rosenberg |
N/A |
None |
David Sung |
N/A |
None |
NAME OF TRUSTEE |
DOLLAR RANGE OF EQUITY SECURITIES IN EACH FUND |
AGGREGATE DOLLAR RANGE OF EQUITY SECURITIES IN ALL REGISTERED INVESTMENT COMPANIES OVERSEEN BY TRUSTEE IN FAMILY OF INVESTMENT COMPANIES |
James E. Davey |
N/A |
Over $100,000 |
FUND |
ANNUAL RATE |
International Small Company ETF |
0.49% |
US Quality Growth ETF |
0.34% |
US Value ETF |
0.29% |
PORTFOLIO MANAGER |
REGISTERED INVESTMENT COMPANY ACCOUNTS |
ASSETS MANAGED (in millions) |
OTHER POOLED INVESTMENT VEHICLES |
ASSETS MANAGED (in millions) |
OTHER ACCOUNTS |
ASSETS MANAGED (in millions) |
Marlene Walker Smith |
127 |
$122,080 |
118 |
$117,273 |
64 |
$125,401 |
Todd Frysinger, CFA |
127 |
$122,080 |
118 |
$117,273 |
64 |
$125,401 |
David France, CFA |
127 |
$122,080 |
118 |
$117,273 |
64 |
$125,401 |
Michael Stoll |
127 |
$122,080 |
118 |
$117,273 |
64 |
$125,401 |
Vlasta Sheremeta, CFA |
127 |
$122,080 |
118 |
$117,273 |
64 |
$125,401 |
FUND |
STANDARD CASH TRANSACTION FEE* |
STANDARD IN-KIND TRANSACTION FEE* |
MAXIMUM VARIABLE TRANSACTION FEE** |
International Small Company ETF |
$100 |
$1,500 |
$6,000 |
US Quality Growth ETF |
$100 |
$200 |
$800 |
US Value ETF |
$100 |
$250 |
$1,000 |
FUND |
STANDARD CASH TRANSACTION FEE* |
STANDARD IN-KIND TRANSACTION FEE* |
MAXIMUM VARIABLE TRANSACTION FEE** |
International Small Company ETF |
$100 |
$1,500 |
2.00% |
US Quality Growth ETF |
$100 |
$200 |
2.00% |
US Value ETF |
$100 |
$250 |
2.00% |
Name and Principal Business Address* |
Positions and Offices with Underwriter |
Position and Offices with Registrant |
Stephen J. Kyllo |
President, Chief Operating Officer, Director, Chief Compliance Officer |
None |
Brian Schell** |
Vice President & Treasurer |
None |
Eric Parsons |
Vice President, Controller and Assistant Treasurer |
None |
Jason White*** |
Secretary |
None |
Richard C. Noyes |
Senior Vice President, General Counsel, Assistant Secretary |
None |
Eric Theroff^ |
Assistant Secretary |
None |
Liza Orr |
Vice President, Senior Counsel |
None |
Jed Stahl |
Vice President, Senior Counsel |
None |
Terence Digan |
Vice President |
None |
James Stegall |
Vice President |
None |
Gary Ross |
Senior Vice President |
None |
Hilary Quinn |
Vice President |
None |
LATTICE STRATEGIES TRUST | |
By: |
/s/ James E. Davey* |
|
James E. Davey President |
Signature |
Title |
Date |
/s/ James E. Davey* James E. Davey |
Trustee, President and Chief Executive Officer |
November 29, 2023 |
/s/ Ankit Puri* Ankit Puri |
Treasurer (Principal Financial Officer and Principal Accounting Officer) |
November 29, 2023 |
/s/ Christine R. Detrick* Christine R. Detrick |
Chair of the Board and Trustee |
November 29, 2023 |
/s/ Hilary E. Ackermann* Hilary E. Ackermann |
Trustee |
November 29, 2023 |
/s/ Robin C. Beery* Robin C. Beery |
Trustee |
November 29, 2023 |
/s/ Derrick D. Cephas* Derrick D. Cephas |
Trustee |
November 29, 2023 |
/s/ John J. Gauthier* John J. Gauthier |
Trustee |
November 29, 2023 |
/s/ Andrew A. Johnson, Jr.* Andrew A. Johnson, Jr. |
Trustee |
November 29, 2023 |
/s/ Paul L. Rosenberg* Paul L. Rosenberg |
Trustee |
November 29, 2023 |
/s/ David Sung* David Sung |
Trustee |
November 29, 2023 |
* By:/s/ Alice A. Pellegrino Alice A. Pellegrino, Attorney-in-fact * Pursuant to Power of Attorney (previously filed) |
|
November 29, 2023 |