0001398344-18-009761.txt : 20180705 0001398344-18-009761.hdr.sgml : 20180705 20180705115351 ACCESSION NUMBER: 0001398344-18-009761 CONFORMED SUBMISSION TYPE: DEFA14A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20180705 DATE AS OF CHANGE: 20180705 EFFECTIVENESS DATE: 20180705 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: 18939941 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 S000025771 Alps Equal Sector Weight ETF C000077058 Alps Equal Sector Weight ETF EQL 0001414040 S000042676 Alerian Energy Infrastructure ETF C000131909 Alerian Energy Infrastructure ETF ENFR 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 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 DEFA14A 1 fp0034372_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
[X] Definitive Additional Materials
[  ] 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 

IMMEDIATE ACTION REQUIRED

 

SECOND ADJOURNED MEETING

 

Dear Shareholder:

 

Over the last several weeks we have sent you multiple sets of proxy materials concerning important proposals affecting your investment in certain series of ALPS ETF Trust (the “Funds”). The Special Meeting of Shareholders of the Funds has adjourned once again to allow shareholders more time to vote on the proposals. A majority of shareholders who have voted to date are in favor of the proposal.

 

The Special Meeting will reconvene on August 3, 2018, at 9:00 a.m. Mountain Time at ALPS Advisors, Inc., 1290 Broadway, Suite 1100, Denver, Colorado 80203.

 

This letter was sent because you held shares in one or more of the Funds on the record date and we have not received your vote.

 

The Board of Trustees urges you to vote without delay in order to avoid potential disruption to your Fund. This could occur if Shareholder approval is not obtained and will result in ALPS Advisors no longer being able to continue to provide advisory services to your Fund as well as the potential for your fund to close if the proposal doesn’t pass!

 

YOUR FUND’S BOARD RECOMMENDS THAT YOU VOTE "FOR" THE PROPOSALS

 

YOUR VOTE IS CRITICAL!

 

VOTING NOW HELPS AVOID UNNECESSARY COMMUNICATIONS, ELIMINATES PHONE CALLS

TO SHAREHOLDERS AND MINIMIZES PROXY COSTS

 

Please vote using one of the following options:

 

1.VOTE ONLINE

Log on to the website or scan the QR code shown on your proxy card. Please have your proxy card in hand to access your control number (located in the box) and follow the on-screen instructions.

 

2.VOTE BY TOUCH-TONE TELEPHONE

Call the toll free number listed on your proxy card. Please have your proxy card in hand to access your control number (located in the box) and follow the recorded instructions.

 

A copy of the Proxy Statement may be viewed or downloaded at the website listed on your proxy card. Please read the materials carefully. If you have any questions regarding the proposal, or need assistance with voting, you may call Computershare Fund Services, the funds’ proxy solicitor, toll free at 1-866-875-8613.

 

Thank you for your prompt attention to this matter. If you have already voted, we appreciate your participation.