Securities and Exchange Commission
Washington, D.C.
Form 8-A
For Registration of Certain Classes of Securities
Pursuant to Section 12(b) or (g) of the
Securities Exchange Act of 1934
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Innovator ETFs Trust |
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(Exact name of registrant as specified in its charter) |
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Delaware |
See Exhibit 1 |
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(State of Incorporation or Organization) |
(I.R.S. Employer Identification No.) |
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109 North Hale Street |
60187 |
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(Address of Principal Executive Offices) |
(Zip Code) |
Securities to be registered pursuant to Section 12(b) of the Act:
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Title of each class |
Name of each exchange on which each class is to be registered |
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Common Shares of Beneficial Interest, $.01 par value per share, |
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Innovator Growth-100 Power Buffer ETF™– January (formerly Innovator Nasdaq-100 Power Buffer ETF™– January) |
Cboe BZX Exchange, Inc. |
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Innovator U.S. Small Cap Power Buffer ETF™– January (formerly Innovator Russell 2000 Power Buffer ETF™ – January) |
Cboe BZX Exchange, Inc. |
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Innovator Growth-100 Power Buffer ETF™– April (formerly Innovator Nasdaq-100 Power Buffer ETF™– April) |
Cboe BZX Exchange, Inc. |
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Innovator U.S. Small Cap Power Buffer ETF™– April (formerly Innovator Russell 2000 Power Buffer ETF™ – April) |
Cboe BZX Exchange, Inc. |
| Title of each class to be so registered |
Name of each exchange on which each class is to be registered |
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Innovator Growth-100 Power Buffer ETF™– July (formerly Innovator Nasdaq-100 Power Buffer ETF™– July) |
Cboe BZX Exchange, Inc. |
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Innovator U.S. Small Cap Power Buffer ETF™– July (formerly Innovator Russell 2000 Power Buffer ETF™ – July) |
Cboe BZX Exchange, Inc. |
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Innovator Growth-100 Power Buffer ETF™– October (formerly Innovator Nasdaq-100 Power Buffer ETF™– October) |
Cboe BZX Exchange, Inc. |
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Innovator U.S. Small Cap Power Buffer ETF™– October (formerly Innovator Russell 2000 Power Buffer ETF™ – October) |
Cboe BZX Exchange, Inc. |
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.‑‑
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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.‑‑
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Securities Act registration statement file number to which this form relates: 333-146827Securities to be registered pursuant to Section 12(g) of the Act:
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None |
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Title of Each Class to be Registered |
Information Required in Registration Statement
Item 1. Description of Registrant’s Securities to be Registered
The securities to be registered hereunder are common shares of beneficial interest, $0.01 par value per share (the “Shares”), of the Innovator Growth-100 Power Buffer ETF™– January (formerly Innovator Nasdaq-100 Power Buffer ETF™– January), Innovator U.S. Small Cap Power Buffer ETF™– January (formerly Innovator Russell 2000 Power Buffer ETF™ – January), Innovator Growth-100 Power Buffer ETF™– April (formerly Innovator Nasdaq-100 Power Buffer ETF™– April), Innovator U.S. Small Cap Power Buffer ETF™– April (formerly Innovator Russell 2000 Power Buffer ETF™ – April), Innovator Growth-100 Power Buffer ETF™– July (formerly Innovator Nasdaq-100 Power Buffer ETF™– July), Innovator U.S. Small Cap Power Buffer ETF™– July (formerly Innovator Russell 2000 Power Buffer ETF™ – July), Innovator Growth-100 Power Buffer ETF™– October (formerly Innovator Nasdaq-100 Power Buffer ETF™– October) and Innovator U.S. Small Cap Power Buffer ETF™– October (formerly Innovator Russell 2000 Power Buffer ETF™ – October) (each, a “Fund” and collectively, the “Funds”), each a series of the Innovator ETFs Trust (the “Registrant”). An application for listing of the Shares of the Fund has been filed with and approved by Cboe BZX Exchange, Inc. A description each of the Shares is contained in each Fund’s prospectus, which is a part of the Registration Statement on Form N‑1A (Registration Nos. 333-146827 and 811-22135), filed with the Securities and Exchange Commission on or about the dates as listed below. Such description is incorporated by reference herein.
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Fund |
Date of Registration Statement |
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Innovator Growth-100 Power Buffer ETF™– January (formerly Innovator Nasdaq-100 Power Buffer ETF™– January) |
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Innovator U.S. Small Cap Power Buffer ETF™– January (formerly Innovator Russell 2000 Power Buffer ETF™ – January) |
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Innovator Growth-100 Power Buffer ETF™– April (formerly Innovator Nasdaq-100 Power Buffer ETF™– April) |
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Innovator U.S. Small Cap Power Buffer ETF™– April (formerly Innovator Russell 2000 Power Buffer ETF™ – April) |
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Innovator Growth-100 Power Buffer ETF™– July (formerly Innovator Nasdaq-100 Power Buffer ETF™– July) |
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Innovator U.S. Small Cap Power Buffer ETF™– July (formerly Innovator Russell 2000 Power Buffer ETF™ – July) |
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Innovator Growth-100 Power Buffer ETF™– October (formerly Innovator Nasdaq-100 Power Buffer ETF™– October) |
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Innovator U.S. Small Cap Power Buffer ETF™– October (formerly Innovator Russell 2000 Power Buffer ETF™ – October) |
The Registration Statement for Innovator Growth-100 Power Buffer ETF™– January (formerly Innovator Nasdaq-100 Power Buffer ETF™– January), Innovator U.S. Small Cap Power Buffer ETF™– January (formerly Innovator Russell 2000 Power Buffer ETF™ – January), Innovator Growth-100 Power Buffer ETF™– April (formerly Innovator Nasdaq-100 Power Buffer ETF™– April), Innovator U.S. Small Cap Power Buffer ETF™– April (formerly Innovator Russell 2000 Power Buffer ETF™ – April), Innovator Growth-100 Power Buffer ETF™– July (formerly Innovator Nasdaq-100 Power Buffer ETF™– July) and Innovator U.S. Small Cap Power Buffer ETF™– July (formerly Innovator Russell 2000 Power Buffer ETF™ – July) was supplemented on August 25, 2021 to reflect a change in each Fund’s name. The Registration Statement for Innovator Growth-100 Power Buffer ETF™– October (formerly Innovator Nasdaq-100 Power Buffer ETF™– October) and Innovator U.S. Small Cap Power Buffer ETF™– October (formerly Innovator Russell 2000 Power Buffer ETF™ – October) was supplemented on August 25, 2021 to reflect a change in each Fund’s name. Such descriptions are incorporated by reference herein.
Item 2. Exhibits
1. Registrant’s Amended and Restated Agreement and Declaration of Trust, incorporated herein by reference to the Registrant’s Registration Statement on Form N-1A (File No. 333-146827) filed on October 19, 2007.
2. Registrant’s Certificate of Trust, incorporated herein by reference to the Registrant’s Registration Statement on Form N-1A (File No. 333-146827) filed on October 19, 2007.
3 Registrant’s Certificate of Amendment to Certificate of Trust, incorporated herein by reference to the Registrant’s Registration Statement on Form N-1A (File No. 333-146827) filed on November 7, 2017.
4. By-laws of the Registrant, incorporated herein by reference to the Registrant’s Registration Statement on Form N-1A (File No. 333-146827) filed on October 19, 2007.
Signature
Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereto duly authorized.
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Innovator ETFs Trust |
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By: |
/s/ H. Bruce Bond |
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H. Bruce Bond |
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President |
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August 25, 2021
Exhibit 1
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Fund |
I.R.S. Employer Identification No. |
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Innovator Growth-100 Power Buffer ETF™– January |
84-3325156 |
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Innovator U.S. Small Cap Power Buffer ETF™– January |
84-3506442 |
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Innovator Growth-100 Power Buffer ETF™– April |
84-3569405 |
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Innovator U.S. Small Cap Power Buffer ETF™– April |
84-4722756 |
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Innovator Growth-100 Power Buffer ETF™– July |
84-1741793 |
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Innovator U.S. Small Cap Power Buffer ETF™– July |
84-1846044 |
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Innovator Growth-100 Power Buffer ETF™– October |
84-2848660 |
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Innovator U.S. Small Cap Power Buffer ETF™– October |
84-2868727 |