-----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, FbX1lBC1XLXzwSB4iPyHSTM1IqbZbcF8lq8vC9pevk0EAnl+5MfJ1nPnQSZwb1uu X9tgSMGQfM+jEVLjF9cI6A== 0000950123-10-008862.txt : 20100204 0000950123-10-008862.hdr.sgml : 20100204 20100204172510 ACCESSION NUMBER: 0000950123-10-008862 CONFORMED SUBMISSION TYPE: DEFA14A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20100204 DATE AS OF CHANGE: 20100204 EFFECTIVENESS DATE: 20100204 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: 10575006 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 b79251a2defa14a.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(R) LOGO) STATE STREET GLOBAL ADVISORS Dear SPDR Funds Shareholder, The SPDR Funds recently e-mailed you a very important proxy package regarding a Special Meeting of Shareholders (the "Meeting") to be held on March 19, 2010. Shareholders of the SPDR Funds are being asked to vote on a number of proposals, as detailed in the proxy statement. OUR RECORDS SHOW THAT WE HAVE NOT YET RECEIVED YOUR VOTE ON THE PROPOSALS PRESENTED TO SHAREHOLDERS. WE URGE YOU TO VOTE AS SOON AS POSSIBLE IN ORDER FOR YOUR SPDR FUND(S) TO OBTAIN A SUFFICIENT NUMBER OF VOTES TO HOLD THE MEETING AND AVOID FUTURE REMINDERS AND THE POSSIBILITY OF AN ADJOURNMENT. Please act now. After careful consideration, the Trustees of the SPDR Funds, including Independent Trustees who comprise a majority of each SPDR Fund's Board Trustees, unanimously recommend that you vote "FOR" the proposals detailed in your proxy statement. No matter how many shares you own, your vote is important. WE HAVE MADE IT CONVENIENT FOR YOU TO CAST YOUR VOTE BY USING ONE OF THE FOLLOWING VOTING OPTIONS: VOTE ONLINE: Go to www.proxyvote.com (a link is embedded with this email) and enter the control number that appears on each of your emails regarding the proxy. The site will give you further instructions. Note, if you own multiple SPDR Funds, you will have to enter multiple control numbers to vote. SPEAK TO A LIVE AGENT: Call our proxy solicitation agent, Broadridge Financial Solutions, Inc., toll-free at: 877-257-9951 to vote your shares. Representatives are available Monday through Friday 9:30 AM to 9:00 PM (EST) and Saturday from 10:00 AM to 6:00 PM (EST). Estimated time to place a vote with a live agent is less than three minutes. ON BEHALF OF THE BOARD OF TRUSTEES OF THE SPDR FUNDS, PLEASE ACCEPT OUR THANKS FOR YOUR PARTICIPATION IN THIS IMPORTANT MATTER. SPDR-002/2010 (SPDR(R) LOGO) STATE STREET GLOBAL ADVISORS Dear SPDR Funds Shareholder, The SPDR Funds recently sent you a very important proxy package regarding a Special Meeting of Shareholders (the "Meeting") to be held on March 19, 2010. Shareholders of the SPDR Funds are being asked to vote on a number of proposals, as detailed in the proxy statement. OUR RECORDS SHOW THAT WE HAVE NOT YET RECEIVED YOUR VOTE ON THE PROPOSALS PRESENTED TO SHAREHOLDERS. WE URGE YOU TO VOTE AS SOON AS POSSIBLE IN ORDER FOR YOUR SPDR FUND(S) TO OBTAIN A SUFFICIENT NUMBER OF VOTES TO HOLD THE MEETING AND AVOID FUTURE REMINDERS AND THE POSSIBILITY OF AN ADJOURNMENT. Please act now. After careful consideration, the Trustees of the SPDR Funds, including Independent Trustees who comprise a majority of each SPDR Fund's Board Trustees, unanimously recommend that you vote "FOR" the proposals detailed in your proxy statement. No matter how many shares you own, your vote is important. WE HAVE MADE IT CONVENIENT FOR YOU TO CAST YOUR VOTE BY USING ONE OF THE FOLLOWING VOTING OPTIONS: VOTE BY TELEPHONE: For touch-tone voting, please refer to your Proxy Card(s) for a toll-free number and follow the recorded instructions. VOTE BY MAIL: Complete and sign the Proxy Card(s) and return them in the postage-paid envelope provided. VOTE ONLINE: Go to www.proxyvote.com and enter the control number that appears on each of your Proxy Card(s). The site will give you all further instructions. If you have any questions or to vote your shares, please contact our proxy solicitation agent, Broadridge Financial Solutions, Inc., toll-free at: 877-257-9951 Representatives are available Monday through Friday 9:30 AM to 9:00 PM (EST) and Saturday from 10:00 AM to 6:00 PM (EST). Estimated time to place a vote with a live agent is less than three minutes. ON BEHALF OF THE BOARD OF TRUSTEES OF THE SPDR FUNDS, PLEASE ACCEPT OUR THANKS FOR YOUR PARTICIPATION IN THIS IMPORTANT MATTER. SPDR-002/2010 SPDR Funds Shareholder Action RequiredFrom: SPECIMEN [id@ProxyVote.com] Sent: [DATE,TIME] To: [SHAREHOLDER] Subject: SPDR Funds Shareholder Action Required * THIS IS A REMINDER* YOU WERE PREVIOUSLY SENT PROXY SOLICITING INFORMATION PERTAINING TO THE SPDR SERIES TRUST AND SPDR INDEX SHARES FUNDS MEETING OF SHAREHOLDERS. ACCORDING TO OUR LATEST RECORDS, WE HAVE NOT RECEIVED YOUR VOTING INSTRUCTION(S) ON THE MATTERS TO BE CONSIDERED AT THIS MEETING. This is a NOTIFICATION of the: 2010 SPDR Series Trust and SPDR Index Shares Funds Special meeting of Stockholders. MEETING DATE: March 19, 2010 RECORD DATE: January 6, 2010 CUSIP NUMBER: 78464A102 ACCOUNT NUMBER: 3456789012345678901 CONTROL NUMBER: 012345678901 You can enter your voting instructions and view the shareholder material at the following Internet site. If your browser supports secure transactions you will be automatically directed to a secure site. http://www.proxyvote.com/0012345678901 Note: If your e-mail software supports it, you can simply click on the above link. Internet voting is accepted up to 11:59 pm (ET) the day before the meeting/cut off date. Please refer to the proxy materials, available via the link(s) below, to confirm if a cut off date applies to this solicitation. In the event of a discrepancy between information contained in this e-mail and the proxy material, the proxy material will prevail. The relevant supporting documentations can also be found at the following Internet site(s): Proxy Statement https://materials.proxyvote.com/Approved/MC0256/20100106/NPS_50999.pdf Reminder Letter http://materials.proxyvote.com/Approved/MC0256/20100106/SHLTR_51462.PDF To view the documents above, you may need the Adobe Acrobat Reader. To download the Adobe Reader, click the url address below: http://www.adobe.com/products/acrobat/readstep2.html If you would like to cancel your enrollment, or change your e-mail address or PIN, please go to http://www.InvestorDelivery.com. You will need the enrollment number below, and your four-digit PIN. If you have forgotten your PIN, you can have it sent to your enrolled e-mail address by going to http://www.InvestorDelivery.com. 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