0001398344-23-015091.txt : 20230817 0001398344-23-015091.hdr.sgml : 20230817 20230817114423 ACCESSION NUMBER: 0001398344-23-015091 CONFORMED SUBMISSION TYPE: 8-A12B PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20230817 DATE AS OF CHANGE: 20230817 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALPS ETF Trust CENTRAL INDEX KEY: 0001414040 IRS NUMBER: 000000000 FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: 8-A12B SEC ACT: 1934 Act SEC FILE NUMBER: 001-34040 FILM NUMBER: 231180618 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 8-A12B 1 fp0084872-1_8a12b.htm

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

 

FORM 8-A

 

FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES

PURSUANT TO SECTION 12(b) OR (g) OF THE

SECURITIES EXCHANGE ACT OF 1934

 

ALPS ETF Trust

(Exact name of Registrant as specified in Charter)

 

Delaware See Item 1.
(State of incorporation or organization) (IRS Employer Identification No.)
   
1290 Broadway, Suite 1000, Denver, Colorado 80203
(Address of principal executive offices) (Zip Code)
   
Securities to be registered pursuant to Section 12(b) of the Act:
 

TITLE OF EACH CLASS TO BE SO REGISTERED

NAME OF THE EXCHANGE ON WHICH EACH CLASS IS TO BE SO REGISTERED 

Level Four Large Cap Growth Active ETF, shares of beneficial interest The Nasdaq Stock Market LLC

 

If this Form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General Instruction A.(c), check the following box. [X]

 

If this Form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d), check the following box. [  ]

 

Securities Act registration statement file number to which this form relates: 333-148826

Securities to be registered pursuant to Section 12(g) of the Act: None

 

 

 

 

INFORMATION REQUIRED IN REGISTRATION STATEMENT

 

Item 1.Description of Registrant’s Securities to be Registered.

 

A description of the shares of beneficial interest, no par value (“Shares”), of the following Fund of ALPS ETF Trust (the “Registrant”) is set forth in the Registrant’s Registration Statement on Form N-1A, as amended (“Registration Statement”) (Securities Act file number 333-148826; Investment Company Act file number 811-22175), as filed with the Securities and Exchange Commission, which description is incorporated herein by reference. Any form of supplement to the Registration Statement that is subsequently filed that relates to the Fund is hereby also incorporated by reference herein.

 

Name of Fund I.R.S. Employer Identification No.
Level Four Large Cap Growth Active ETF 92-3194689

 

Item 2.Exhibits.

 

(a)(1)Registrant’s Certificate of Trust, incorporated by reference to Exhibit (a)(1) to the Registrant’s Registration Statement on Form N-1A (File Nos. 333-148826; 811-22175), filed on January 23, 2008.

 

(a)(3)Registrant’s Amended and Restated Agreement and Declaration of Trust, incorporated by reference to Exhibit (a)(3) to Post-Effective Amendment No. 289 of the Registrant’s Registration Statement on Form N-1A (File Nos. 333-148826; 811-22175), filed on December 27, 2017.

 

(b)Registrant’s Bylaws, incorporated by reference to Exhibit (a)(2) to Pre-Effective Amendment No. 2 of the Registrant’s Registration Statement on Form N-1A (File Nos. 333-148826; 811-22175), filed on May 1, 2008.

 

 

 

SIGNATURE

 

Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereto duly authorized.

 

ALPS ETF Trust

 

By: /s/Laton Spahr   Date: August 17, 2023
Name: Laton Spahr      
  President