0001398344-18-007931.txt : 20180523 0001398344-18-007931.hdr.sgml : 20180523 20180523162611 ACCESSION NUMBER: 0001398344-18-007931 CONFORMED SUBMISSION TYPE: DEFA14A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20180523 DATE AS OF CHANGE: 20180523 EFFECTIVENESS DATE: 20180523 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALPS ETF Trust CENTRAL INDEX KEY: 0001414040 IRS NUMBER: 000000000 FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: DEFA14A SEC ACT: 1934 Act SEC FILE NUMBER: 811-22175 FILM NUMBER: 18855368 BUSINESS ADDRESS: STREET 1: P.O. Box 328 CITY: Denver STATE: CO ZIP: 80201-0328 BUSINESS PHONE: 303.623.2577 MAIL ADDRESS: STREET 1: P.O. Box 328 CITY: Denver STATE: CO ZIP: 80201-0328 0001414040 S000021672 Cohen & Steers Global Realty Majors ETF C000062111 Cohen & Steers Global Realty Majors ETF GRI 0001414040 S000025771 Alps Equal Sector Weight ETF C000077058 Alps Equal Sector Weight ETF EQL 0001414040 S000029786 ALERIAN MLP ETF C000091496 ALERIAN MLP ETF AMLP 0001414040 S000030145 RiverFront Strategic Income Fund C000092591 RiverFront Strategic Income Fund RIGS 0001414040 S000037495 ALPS Sector Dividend Dogs ETF C000115754 ALPS Sector Dividend Dogs ETF SDOG 0001414040 S000040588 Barron's 400 ETF C000125863 Barron's 400 ETF BFOR 0001414040 S000041000 ALPS International Sector Dividend Dogs ETF C000127212 ALPS International Sector Dividend Dogs ETF IDOG 0001414040 S000042676 Alerian Energy Infrastructure ETF C000131909 Alerian Energy Infrastructure ETF ENFR 0001414040 S000044013 Workplace Equality Portfolio C000136617 Workplace Equality Portfolio EQLT 0001414040 S000044070 ALPS Emerging Sector Dividend Dogs ETF C000136752 ALPS Emerging Sector Dividend Dogs ETF EDOG 0001414040 S000045876 Sprott Gold Miners ETF C000142963 Sprott Gold Miners ETF SGDM 0001414040 S000047823 ALPS Medical Breakthroughs ETF C000150206 ALPS Medical Breakthroughs ETF SBIO 0001414040 S000048531 Sprott Junior Gold Miners ETF C000153001 Sprott Junior Gold Miners ETF SGDJ 0001414040 S000051618 RiverFront Dynamic Unconstrained Income ETF C000162389 RiverFront Dynamic Unconstrained Income ETF RFUN 0001414040 S000051619 RiverFront Dynamic Core Income ETF C000162390 RiverFront Dynamic Core Income ETF RFCI 0001414040 S000052852 RiverFront Dynamic US Dividend Advantage ETF C000166225 RiverFront Dynamic US Dividend Advantage ETF RFDA 0001414040 S000052853 RiverFront Dynamic US Flex-Cap ETF C000166226 RiverFront Dynamic US Flex-Cap ETF RFFC 0001414040 S000053136 BUZZ US Sentiment Leaders ETF C000167204 BUZZ US Sentiment Leaders ETF BUZ 0001414040 S000056021 ALPS/Dorsey Wright Sector Momentum ETF C000176394 ALPS/Dorsey Wright Sector Momentum ETF SWIN 0001414040 S000060186 ALPS DISRUPTIVE TECHNOLOGIES ETF C000196973 ALPS DISRUPTIVE TECHNOLOGIES ETF DEFA14A 1 fp0033618_defa14a.htm

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 14A

(Rule 14a-101)

 

INFORMATION RE QUIRED IN PROXY STATEMENT

SCHEDULE 14A INFORMATION

 

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
[  ] Definitive Additional Materials
[X] Soliciting Material under Rule 14a-12

 

ALPS ETF Trust

(Name of Registrant as Specified In Its Charter)

 

___________________________________

(Name of Person 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)(4) and 0-11.
  (1) Title of each class of securities to whom 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:
  (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:

 

 

 

 

ALPS ETF TRUST

 

Shareholder Name

Address

Address

Address

 

Reference Number:

 

URGENT NOTICE

SPECIAL SHAREHOLDER MEETING MAY 31, 2018

 

Dear Shareholder:

 

On May 31, 2018, a Special Meeting of Shareholders will be held to vote on the important proposals that were outlined in the proxy materials that were mailed to you. As of the date of this letter, the fund does not have the required vote to pass the proposals. As a result, the meeting may need to adjourn in order to allow shareholders additional time to vote.

 

Your vote is very important. By taking a moment to vote, all future mail and phone calls to you regarding this matter will be stopped.

 

•For personal assistance, call 1-866-875-8613 (toll free) between 9:00 a.m. and 11:00 p.m. Eastern time, Monday through Friday and between 12:00 p.m. and 6:00 p.m. Eastern time on Saturday.

 

By calling the toll-free number, you will be speaking with a representative of Computershare Fund Services, the firm assisting the funds in the effort of gathering votes.

 

At the time of the call, you will be asked for the reference number above in order to locate your voting record for the fund(s) that you own. The representative will not have access to your confidential information and the telephone line is also recorded for your protection. After the call, you will receive a confirmation of your vote by mail.

 

After careful consideration, the Board unanimously recommends that shareholders vote in favor of the proposals.

 

We appreciate your voting. Thank you for investing with ALPS ETF Trust.

 

Sincerely,

 

ALPS ETF Trust