0001752724-19-187775.txt : 20191210
0001752724-19-187775.hdr.sgml : 20191210
20191209205112
ACCESSION NUMBER: 0001752724-19-187775
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190930
FILED AS OF DATE: 20191210
DATE AS OF CHANGE: 20191209
EFFECTIVENESS DATE: 20191210
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: RENAISSANCE CAPITAL GREENWICH FUNDS
CENTRAL INDEX KEY: 0001026634
IRS NUMBER: 061465404
STATE OF INCORPORATION: MD
FISCAL YEAR END: 0930
FILING VALUES:
FORM TYPE: N-CEN
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-08049
FILM NUMBER: 191276390
BUSINESS ADDRESS:
STREET 1: 165 MASON STREET
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: 2036222978
MAIL ADDRESS:
STREET 1: 165 MASON STREET
CITY: GREENWICH
STATE: CT
ZIP: 06830
FORMER COMPANY:
FORMER CONFORMED NAME: RENAISSANCE FUNDS
DATE OF NAME CHANGE: 19970327
FORMER COMPANY:
FORMER CONFORMED NAME: RENAISSANCE FUNDS INC
DATE OF NAME CHANGE: 19961107
0001026634
S000041784
Renaissance IPO ETF
C000129677
Renaissance IPO ETF
IPO
0001026634
S000046875
Renaissance International IPO ETF
C000146463
Renaissance International IPO ETF
IPOS
N-CEN
1
primary_doc.xml
X0201
N-CEN
LIVE
0001026634
XXXXXXXX
811-08049
false
false
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N-1A
S000041784
C000129677
S000046875
C000146463
RENAISSANCE CAPITAL GREENWICH FUNDS
811-08049
0001026634
254900CMVC5Q0DQ3TK16
165 MASON STREET
GREENWICH
06830
US-CT
US
203-622-2978
State Street Bank and Trust Company
1 Lincoln Street
Boston
02111
617-786-3000
Records kept at this location include records relating to Fund Administration, Accounting, Transfer agent, Custody and Securities Lending
N
N
N-1A
2
N
Walter E. Auch, Jr.
000008660
N
Kathleen Shelton Smith
001214994
Y
Warren K. Greene
000000000
N
Kathleen Shelton Smith
001214994
165 Mason Street
Greenwich
06830
XXXXXX
N
N
N
N
N
N
N
Foreside Fund Services, LLC
8-51293
000046106
00000000000000000000
N
N
Tait, Weller & Baker LLP
445
00000000000000000000
N
N
N
N
N
N
N
Renaissance IPO ETF
S000041784
254900W6R6XIXAQOFT07
N
1
0
0
Exchange-Traded Fund
Y
N
Y
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Revenue sharing split
Cash collateral reinvestment fee
1933724.91000000
91334.00000000
Rule 32a-4 (17 CFR 270.32a-4)
N
N
N
N
Renaissance Capital LLC
801-47147
000109945
00000000000000000000
N
State Street Bank and Trust Company
85-05003
571474TGEMMWANRLN572
N
N
N
Bloomberg L.P.
549300B56MD0ZC402L06
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8-7221
000007691
8NAV47T0Y26Q87Y0QP81
3109.31
Virtu Americas LLC
8-68193
000149823
549300RA02N3BNSWBV74
19732.2
22841.51
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8-7221
000007691
8NAV47T0Y26Q87Y0QP81
1536105.04
National Securities Clearing Corporation
8-164
000007569
549300RYC9NELN2ICA34
70151726.95
71687831.99
N
32609470.04
N
N
N
Renaissance International IPO ETF
S000046875
2549002WS2ZEW3J94213
N
1
0
0
Exchange-Traded Fund
Y
N
Y
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Revenue sharing split
Cash collateral reinvestment fee
163757.88000000
4834.00000000
Rule 32a-4 (17 CFR 270.32a-4)
N
N
N
N
Renaissance Capital LLC
801-47147
000109945
00000000000000000000
N
State Street Bank and Trust Company
85-05003
571474TGEMMWANRLN572
N
N
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
Bloomberg L.P.
549300B56MD0ZC402L06
N
N
The Standard Bank of South Africa Limited
QFC8ZCW3Q5PRXU1XTM60
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch)
F3JS33DEI6XQ4ZBPTN86
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch)
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Handlowy w Warszawie Spolka Akcyjna
XLEZHWWOI4HFQDGL4793
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Itau CorpBanca
549300DDPTTIZ06NIV06
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Maghreb S.A
5493003FVWLMBFTISI11
MA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch)
7LTWFZYICNSX8D621K86
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Intesa Sanpaolo SpA
2W8N8UU78PMDQKZENC08
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Trust Company Canada
549300L71XG2CTQ2V827
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company (Edinburgh, GB, Branch)
571474TGEMMWANRLN572
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch)
7LTWFZYICNSX8D621K86
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank (China) Company Limited
2CZOJRADNJXBLT55G526
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UBS Switzerland AG
549300WOIFUSNYH0FL22
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Singapore, SG, Branch)
E57ODZWZ7FF32TWEFA76
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch)
E57ODZWZ7FF32TWEFA76
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Paris, Paris, FR, Branch)
7LTWFZYICNSX8D621K86
FR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Hong Kong) Limited
X5AV1MBDXGRPX5UGMX13
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Limited
54930045L3MXWBD27H71
CH
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Banco Nacional de Mexico, S.A., Integrante del Grupo Financiero Banamex
2SFFM4FUIE05S37WFU55
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Eschborn, Hessen, DE, Branch)
7LTWFZYICNSX8D621K86
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Cititrust Colombia S A Sociedad Fiduciaria
549300242J3IJCOSGI49
CO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Middle East Limited
549300F99IL9YJDWH369
AE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch)
RB0PEZSDGCO3JS6CEU02
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Mumbai, Maharashtra, IN, Branch)
7LTWFZYICNSX8D621K86
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch)
7LTWFZYICNSX8D621K86
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Standard Chartered Bank (Thai) Public Company Limited
549300O1LQYCQ7G1IM57
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Societa per Azioni
529900SS7ZWCX82U3W60
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch)
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch)
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Jongno-gu, Seoul, KR, Branch)
7LTWFZYICNSX8D621K86
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken A/S
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank (Malaysia) Berhad
529900DLWFR8HK7DR278
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Joint Stock Company Commercial Bank Citibank
CHSQDSVI1UI96Y2SW097
RU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N
Euroclear Bank
N/A
000000000
549300OZ46BRLZ8Y6F65
BE
15.03
Goldman Sachs & Co. LLC
8-129
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FOR8UP27PHTHYVLBNG30
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State Street Bank and Trust Company
N/A
000000000
571474TGEMMWANRLN572
197.95
Instinet, LLC
8-23669
000007897
549300MGMN3RKMU8FT57
77.89
Citigroup Global Markets Inc.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
2125.13
Macquarie Capital (USA) Inc.
8-47198
000036368
549300670K07JRB5UQ40
74.86
NH Investment & Securities Co., Ltd.
8-45081
000030660
549300LQ6NXDW1B8NT42
KR
96.8
Financial Brokerage Group S.A.E.
N/A
000000000
558600U9YMGSR4KAHP73
EG
69.18
CLSA Americas, LLC
8-69166
000165533
213800M2DXATWY7JMS07
141.06
Fator S/A - Corretora de Valores
N/A
000000000
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BR
334.57
3185.98
Goldman Sachs & Co. LLC
8-129
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FOR8UP27PHTHYVLBNG30
1038.45
Bank of Taiwan (Amsterdam, Noord Holland, NL, Branch)
N/A
000000000
00000000000000000000
NL
2175.8
ICAP do Brasil Corretora de Titulos e Valores Mobiliarios Ltda
N/A
000000000
00000000000000000000
BR
2311.86
Instinet, LLC
8-23669
000007897
549300MGMN3RKMU8FT57
10963.19
Fator S/A - Corretora de Valores
N/A
000000000
00000000000000000000
BR
52115.03
68604.33
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2089598.59
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Renaissance IPO ETF
S000041784
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500.00000000
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0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
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Renaissance International IPO ETF
S000046875
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true
INTERNAL CONTROL RPT
2
NCEN_897579536848233.txt
REPORT OF INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM
Shareholders and Board of Trustees
Renaissance Capital Greenwich Funds
165 Mason Street
Greenwich, Connecticut 06830
In planning and performing our audits of the financial
statements of the Renaissance IPO ETF and Renaissance
International IPO ETF (the "Funds"), as of and for the
year ended September 30, 2019, in accordance with the
standards of the Public Company Accounting Oversight
Board (United States), we considered the Funds' internal
control over financial reporting, including controls over
safeguarding securities, as a basis for designing our
auditing procedures for the purpose of expressing our
opinion on the financial statements and to comply with
the requirements of Form N-CEN, but not for the
purpose of expressing an opinion on the effectiveness of
the Funds' internal control over financial reporting.
Accordingly, we express no such opinion.
The management of the Funds is responsible for
establishing and maintaining effective internal control
over financial reporting. In fulfilling this responsibility,
estimates and judgments by management are required to
assess the expected benefits and related costs of controls.
A company's internal control over financial reporting is
a process designed to provide reasonable assurance
regarding the reliability of financial reporting and the
preparation of financial statements for external purposes
in accordance with generally accepted accounting
principles. A company's internal control over financial
reporting includes those policies and procedures that (1)
pertain to the maintenance of records that, in reasonable
detail, accurately and fairly reflect the transactions and
dispositions of the assets of the company; (2) provide
reasonable assurance that transactions are recorded as
necessary to permit preparation of financial statements in
accordance with generally accepted accounting
principles, and that receipts and expenditures of the
company are being made only in accordance with
authorizations of management and directors of the
company; and (3) provide reasonable assurance
regarding prevention or timely detection of unauthorized
acquisition, use or disposition of a company's assets that
could have a material effect on the financial statements.
Because of inherent limitations, internal control over
financial reporting may not prevent or detect
misstatements. Also, projections of any evaluation of
effectiveness to future periods are subject to the risk that
controls may become inadequate because of changes in
conditions, or that the degree of compliance with the
policies or procedures may deteriorate.
A deficiency in internal control over financial reporting
exists when the design or operation of a control does not
allow management or employees, in the normal course
of performing their assigned functions, to prevent or
detect misstatements on a timely basis. A material
weakness is a deficiency, or combination of deficiencies,
in internal control over financial reporting, such that
there is a reasonable possibility that a material
misstatement of the company's annual or interim
financial statements will not be prevented or detected on
a timely basis.
Shareholders and Board of Trustees
Renaissance Capital Greenwich Funds
Page Two
Our consideration of the Funds' internal control over
financial reporting was for the limited purpose described
in the first paragraph and would not necessarily disclose
all deficiencies in internal control that might be material
weaknesses under standards established by the Public
Company Accounting Oversight Board (United States).
However, we noted no deficiencies in the Funds'
internal control over financial reporting and its
operation, including controls over safeguarding
securities, that we consider to be material weaknesses as
defined above as of September 30, 2019.
This report is intended solely for the information and use
of management, the Board of Trustees of the
Renaissance Capital Greenwich Funds and the Securities
and Exchange Commission, and is not intended to be
and should not be used by anyone other than these
specified parties.
TAIT, WELLER & BAKER LLP
Philadelphia, Pennsylvania
November 27, 2019