-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, CYUy8kVKOjWmJTdDxus4SM3ry1HATfDs9ib7Re6YFQBrEfKxP59B1s6fI456xCqC E0ObZriB7uYHaH86YQliaw== 0000950123-10-006208.txt : 20100128 0000950123-10-006208.hdr.sgml : 20100128 20100128171650 ACCESSION NUMBER: 0000950123-10-006208 CONFORMED SUBMISSION TYPE: DEFA14A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20100128 DATE AS OF CHANGE: 20100128 EFFECTIVENESS DATE: 20100128 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SPDR SERIES TRUST CENTRAL INDEX KEY: 0001064642 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FILING VALUES: FORM TYPE: DEFA14A SEC ACT: 1934 Act SEC FILE NUMBER: 811-08839 FILM NUMBER: 10554906 BUSINESS ADDRESS: STREET 1: ONE LINCOLN STREET STREET 2: CPH0326 CITY: BOSTON STATE: MA ZIP: 02111 BUSINESS PHONE: 866-787-2257 MAIL ADDRESS: STREET 1: ONE LINCOLN STREET STREET 2: CPH0326 CITY: BOSTON STATE: MA ZIP: 02111 FORMER COMPANY: FORMER CONFORMED NAME: STREETTRACKS SERIES TRUST DATE OF NAME CHANGE: 20000925 FORMER COMPANY: FORMER CONFORMED NAME: INDEX EXCHANGE LISTED SECURITIES TRUST DATE OF NAME CHANGE: 19980622 0001064642 S000006973 SPDR(R) Dow Jones Total Market ETF C000019026 SPDR(R) Dow Jones Total Market ETF TMW 0001064642 S000006974 SPDR(R) Dow Jones Small Cap Value ETF C000019027 SPDR(R) Dow Jones Small Cap Value ETF DSV 0001064642 S000006975 SPDR(R) DJ Global Titans ETF C000019028 SPDR(R) DJ Global Titans ETF DGT 0001064642 S000006976 SPDR(R) Dow Jones REIT ETF C000019029 SPDR(R) Dow Jones REIT ETF RWR 0001064642 S000006977 SPDR(R) KBW Bank ETF C000019030 SPDR(R) KBW Bank ETF KBE 0001064642 S000006978 SPDR(R) KBW Capital Markets ETF C000019031 SPDR(R) KBW Capital Markets ETF KCE 0001064642 S000006979 SPDR(R) KBW Insurance ETF C000019032 SPDR(R) KBW Insurance ETF KIE 0001064642 S000006980 SPDR(R) Morgan Stanley Technology ETF C000019033 SPDR(R) Morgan Stanley Technology ETF MTK 0001064642 S000006981 SPDR(R) S&P(R) Dividend ETF C000019034 SPDR(R) S&P(R) Dividend ETF SDY 0001064642 S000006983 SPDR(R) Dow Jones Large Cap ETF C000019036 SPDR(R) Dow Jones Large Cap ETF ELR 0001064642 S000006984 SPDR(R) Dow Jones Large Cap Growth ETF C000019037 SPDR(R) Dow Jones Large Cap Growth ETF ELG 0001064642 S000006985 SPDR(R) Dow Jones Large Cap Value ETF C000019038 SPDR(R) Dow Jones Large Cap Value ETF ELV 0001064642 S000006986 SPDR(R) Dow Jones Mid Cap ETF C000019039 SPDR(R) Dow Jones Mid Cap ETF EMM 0001064642 S000006987 SPDR(R) Dow Jones Mid Cap Growth ETF C000019040 SPDR(R) Dow Jones Mid Cap Growth ETF EMG 0001064642 S000006988 SPDR(R) Dow Jones Mid Cap Value ETF C000019041 SPDR(R) Dow Jones Mid Cap Value ETF EMV 0001064642 S000006989 SPDR(R) Dow Jones Small Cap ETF C000019042 SPDR(R) Dow Jones Small Cap ETF DSC 0001064642 S000006990 SPDR(R) Dow Jones Small Cap Growth ETF C000019043 SPDR(R) Dow Jones Small Cap Growth ETF DSG 0001064642 S000010018 SPDR(R) S&P(R) Biotech ETF C000027706 SPDR(R) S&P(R) Biotech ETF XBI 0001064642 S000010019 SPDR(R) S&P(R) Homebuilders ETF C000027707 SPDR(R) S&P(R) Homebuilders ETF XHB 0001064642 S000010020 SPDR(R) S&P(R) Semiconductor ETF C000027708 SPDR(R) S&P(R) Semiconductor ETF XSD 0001064642 S000012319 SPDR(R) S&P(R) Oil & Gas Exploration & Production ETF C000033535 SPDR(R) S&P(R) Oil & Gas Exploration & Production ETF XOP 0001064642 S000012321 SPDR(R) S&P(R) Pharmaceuticals ETF C000033537 SPDR(R) S&P(R) Pharmaceuticals ETF XPH 0001064642 S000012322 SPDR(R) S&P(R) Retail ETF C000033538 SPDR(R) S&P(R) Retail ETF XRT 0001064642 S000012325 SPDR(R) KBW Regional Banking(SM) ETF C000033541 SPDR(R) KBW Regional Banking(SM) ETF KRE 0001064642 S000012326 SPDR(R) KBW Mortgage Finance(SM) ETF C000033542 SPDR(R) KBW Mortgage Finance(SM) ETF KME 0001064642 S000012333 SPDR(R) S&P(R) Metals & Mining ETF C000033549 SPDR(R) S&P(R) Metals & Mining ETF XME 0001064642 S000012334 SPDR(R) S&P(R) Oil & Gas Equipment & Services ETF C000033550 SPDR(R) S&P(R) Oil & Gas Equipment & Services ETF XES 0001064642 S000017326 SPDR(R) Barclays Capital 1-3 Month T-Bill ETF C000047963 SPDR(R) Barclays Capital 1-3 Month T-Bill ETF BIL 0001064642 S000017327 SPDR(R) Barclays Capital Short Term Municipal Bond ETF C000047964 SPDR(R) Barclays Capital Short Term Municipal Bond ETF SHM 0001064642 S000017328 SPDR(R) Barclays Capital Intermediate Term Treasury ETF C000047965 SPDR(R) Barclays Capital Intermediate Term Treasury ETF ITE 0001064642 S000017329 SPDR(R) Barclays Capital Long Term Treasury ETF C000047966 SPDR(R) Barclays Capital Long Term Treasury ETF TLO 0001064642 S000017330 SPDR(R) Barclays Capital TIPS ETF C000047967 SPDR(R) Barclays Capital TIPS ETF IPE 0001064642 S000017331 SPDR(R) Barclays Capital California Municipal Bond ETF C000047968 SPDR(R) Barclays Capital California Municipal Bond ETF CXA 0001064642 S000017332 SPDR(R) Barclays Capital New York Municipal Bond ETF C000047969 SPDR(R) Barclays Capital New York Municipal Bond ETF INY 0001064642 S000017333 SPDR(R) Barclays Capital Municipal Bond ETF C000047970 SPDR(R) Barclays Capital Municipal Bond ETF TFI 0001064642 S000017334 SPDR(R) Barclays Capital Aggregate Bond ETF C000047971 SPDR(R) Barclays Capital Aggregate Bond ETF LAG 0001064642 S000018782 SPDR(R) Barclays Capital International Treasury Bond ETF C000051964 SPDR(R) Barclays Capital International Treasury Bond ETF BWX 0001064642 S000018783 SPDR(R) DB International Government Inflation-Protected Bond ETF C000051965 SPDR(R) DB International Government Inflation-Protected Bond ETF WIP 0001064642 S000019666 SPDR(R) Barclays Capital Short Term Corporate Bond ETF C000055010 SPDR(R) Barclays Capital Short Term Corporate Bond ETF SCPB 0001064642 S000019669 SPDR(R) Barclays Capital High Yield Bond ETF C000055013 SPDR(R) Barclays Capital High Yield Bond ETF JNK 0001064642 S000022922 SPDR(R) Barclays Capital Mortgage Backed Bond ETF C000066453 SPDR(R) Barclays Capital Mortgage Backed Bond ETF MBG 0001064642 S000022923 SPDR(R) Barclays Capital Intermediate Term Credit Bond ETF C000066454 SPDR(R) Barclays Capital Intermediate Term Credit Bond ETF ITR 0001064642 S000022924 SPDR(R) Barclays Capital Long Term Credit Bond ETF C000066455 SPDR(R) Barclays Capital Long Term Credit Bond ETF LWC 0001064642 S000022925 SPDR(R) Barclays Capital Convertible Bond ETF C000066456 SPDR(R) Barclays Capital Convertible Bond ETF CWB 0001064642 S000023655 SPDR(R) Barclays Capital Short Term International Treasury Bond ETF C000069669 SPDR(R) Barclays Capital Short Term International Treasury Bond ETF BWZ 0001064642 S000025944 SPDR(R) S&P(R) VRDO Municipal Bond ETF C000077952 SPDR(R) S&P(R) VRDO Municipal Bond ETF 0001064642 S000026152 SPDR(R) Wells Fargo Preferred Stock ETF C000078463 SPDR(R) Wells Fargo Preferred Stock ETF DEFA14A 1 b79073a1defa14a.txt SPDR SERIES TRUST UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A 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)) [ ] Definitive Proxy Statement [X] Definitive Additional Materials [ ] Soliciting Material Pursuant to Section 240.14a-12 SPDR SERIES TRUST SPDR INDEX SHARES FUNDS (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. [ ] Fee computed on table below per Exchange Act Rules 14a-6(i)(1) and 0-11. 1) Title of each class of securities to which transaction applies: ___________________________________________________________________________ 2) Aggregate number of securities to which transaction applies: ___________________________________________________________________________ 3) Per unit price or other underlying value of transaction computed pursuant to Exchange Act Rule 0-11 (set forth the amount on which the filing fee is calculated and state how it was determined): ___________________________________________________________________________ 4) Proposed maximum aggregate value of transaction: ___________________________________________________________________________ 5) Total fee paid: ___________________________________________________________________________ [ ] Fee paid previously with preliminary materials. [ ] Check box if any part of the fee is offset as provided by Exchange Act Rule 0-11(a)(2) and identify the filing for which the offsetting fee was paid previously. Identify the previous filing by registration statement number, or the Form or Schedule and the date of its filing. 1) Amount Previously Paid: ___________________________________________________________________________ 2) Form, Schedule or Registration Statement No.: ___________________________________________________________________________ 3) Filing Party: ___________________________________________________________________________ 4) Date Filed: SPDR FUNDS FINAL SOLICITATION SCRIPT MEETING DATE: MARCH 19, 2010 TOLL FREE NUMBER: 877-257-9951 Greeting : Hello, is Mr./Ms. _________ available please? Hi Mr./Ms. __________________________, my name is ________________ and I am calling on behalf of the SPDR Funds on a recorded line. Recently we sent you proxy materials for the upcoming Special Meeting of Shareholders to be held on March 19, 2010 and have not received your proxy. Your Fund's Board of Trustees is recommending that you vote in favor of the proposals. Would you like to vote along with the recommendations of the board? For the record, would you please state your full name and mailing address? Are you authorized to vote on all shares? Again, my name is _____________________________, a proxy voting specialist on behalf of the SPDR Funds. Today's date is _________________________ and the time is ____________ Eastern Time. Mr./Ms. __________________________, I have recorded your [FAVORABLE / AGAINST / ABSTAIN] vote for all of your SPDR Fund accounts and will be sending you a written confirmation for each. If you wish to make any changes you may contact us by calling 877-257-9951. Thank you very much for your participation and have a great day/evening. If Not Received I can resend the materials to you. Do you have an email address this can be sent to? (If yes: Type the email address in the notes and read it back to the shareholder) (If not, continue with standard script) Can you please verify your mailing address? (Verify entire address, including street name, number, town, state & zip) Thank you. You should receive these materials shortly and the materials will inform you of the methods available to you to cast your vote, one of which is to call us back at the toll free number listed in the material. If Not Interested: (use rebuttal) I am sorry for the inconvenience. Please be aware that as a shareholder, your vote is very important. Please fill out and return your proxy card at your earliest convenience. If you would rather not do that, you can always vote via the other methods outlined in the proxy materials. Thank you again for your time today, and have a wonderful day/evening. ANSWERING MACHINE MESSAGE: Hello, my name is ____________________ and I am a proxy voting specialist for the SPDR Funds. You should have received proxy material in the mail concerning the Special Meeting of Shareholders to be held on March 19, 2010. Your participation is very important. To vote over the telephone, call toll-free at 877-257-9951 and a proxy voting specialist will assist you with voting your shares. Specialists are available Monday through Friday, 9:30 AM to 9:00 PM and Saturday 10:00AM to 6:00 PM Eastern Time. Voting takes just a few moments and will benefit all shareholders. Thank you for your prompt attention to this matter. AUTOMATED ANSWERING MACHINE MESSAGE Hello, this is the Broadridge Proxy Service Center calling with an important message on behalf of the SPDR Funds. You should have received proxy material in the mail concerning the Special Meeting of Shareholders to be held on March 19, 2010. Your participation is very important. To vote over the telephone, call toll-free at 877-257-9951 and a proxy voting specialist will assist you with voting your shares. Specialists are available Monday through Friday, 9:30 AM - 9:00 PM and Saturday 10:00AM - 6:00 PM Eastern Time. Voting takes just a few moments and will benefit all shareholders. Thank you for your prompt attention to this matter. INBOUND - CLOSED RECORDING "Thank you for calling the Broadridge Proxy Services Center for the SPDR Funds. Our offices are now closed. Please call us back during our normal business hours which are, Monday through Friday, 9:30 AM to 9:00 PM and Saturday 10:00 AM to 6:00 PM Eastern Time. Thank you." INBOUND - CALL IN QUEUE MESSAGE "Thank you for calling the Broadridge Proxy Services Center for the SPDR Funds. Our proxy specialists are currently assisting other shareholders. Your call is important to us. Please continue to hold and your call will be answered in the order in which it was received." END OF CAMPAIGN MESSAGE "Thank you for calling the Broadridge Proxy Services Center for the SPDR Funds. The Shareholder meeting has been held and as a result, this toll free number is no longer in service for proxy related shareholder calls. If you have questions about your SPDR Funds, please contact your Financial Advisor or call the SPDR Funds at 866-787-2257. Thank you for investing with the SPDR Funds." -----END PRIVACY-ENHANCED MESSAGE-----