0001432353-18-000140.txt : 20181102 0001432353-18-000140.hdr.sgml : 20181102 20181102135702 ACCESSION NUMBER: 0001432353-18-000140 CONFORMED SUBMISSION TYPE: 425 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20181102 DATE AS OF CHANGE: 20181102 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Horizons ETF Trust I CENTRAL INDEX KEY: 0001551030 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 425 SEC ACT: 1934 Act SEC FILE NUMBER: 811-22732 FILM NUMBER: 181156441 BUSINESS ADDRESS: STREET 1: 625 MADISON AVENUE STREET 2: 3RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-205-8300 MAIL ADDRESS: STREET 1: 625 MADISON AVENUE STREET 2: 3RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: Recon Capital Series Trust DATE OF NAME CHANGE: 20150513 FORMER COMPANY: FORMER CONFORMED NAME: ETF Series Trust DATE OF NAME CHANGE: 20130816 FORMER COMPANY: FORMER CONFORMED NAME: Sage Quant ETF Trust DATE OF NAME CHANGE: 20120529 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Global X Funds CENTRAL INDEX KEY: 0001432353 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 425 BUSINESS ADDRESS: STREET 1: 600 LEXINGTON AVENUE STREET 2: 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 644-6110 MAIL ADDRESS: STREET 1: 600 LEXINGTON AVENUE STREET 2: 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 CENTRAL INDEX KEY: 0001432353 S000063351 Global X DAX Germany ETF C000205374 Global X DAX Germany ETF CENTRAL INDEX KEY: 0001551030 S000046583 Horizons DAX Germany ETF C000145375 Horizons DAX Germany ETF DAX CENTRAL INDEX KEY: 0001432353 S000063352 Global X NASDAQ 100 Covered Call ETF C000205375 Global X NASDAQ 100 Covered Call ETF CENTRAL INDEX KEY: 0001551030 S000042952 Horizons NASDAQ 100 Covered Call ETF C000133078 Horizons NASDAQ 100 Covered Call ETF QYLD CENTRAL INDEX KEY: 0001432353 S000063353 Global X S&P 500 Covered Call ETF C000205376 Global X S&P 500 Covered Call ETF CENTRAL INDEX KEY: 0001551030 S000057896 Horizons S&P 500 Covered Call ETF C000187883 Horizons S&P 500 Covered Call ETF 425 1 letterandemltemplate.htm 425 Document

Filed by: Global X Funds pursuant to Rule 425
under the Securities Act of 1933,
and deemed filed pursuant to Rule 14a-6
under the Securities Exchange Act of 1934
Subject Company: Horizons ETF Trust I
 
File Number of the Related
Registration Statement: 333-227685


Important Information Regarding Your Clients’ Investments
in One or More Horizons ETFs

[NAME],

It’s not often that we start a note to you this way, but we need your help. Your clients with an investment in one or more Horizons ETFs will soon be receiving important proxy information. They are being asked to consider and vote on important proposals in connection with the Special Meeting of Shareholders to be held on December 19, 2018.

If shareholders approve the proposed plan of reorganization and termination (the “plan”), the funds will be reorganized into a newly created series of Global X Funds. Under the reorganization, each of the funds will be managed in accordance with the same investment objective, and subject to substantially the same investment strategies, policies and risks as immediately prior to the proposed reorganization.

Shareholders will not incur any sales loads or similar transaction costs as a result of the proposed reorganization. The management fee and total annual fund operating expenses, net of applicable waivers, of each fund are expected to be the same after the reorganization. Based in part on management’s recommendation, the Horizons ETF Board is recommending that shareholders vote “for” approval of the plan to authorize the reorganization.

Our proxy solicitor, AST Fund Solutions, will be following up with shareholders who do not vote their proxy. Thus, please be aware that your clients may receive a telephone call to ensure they have received the proxy materials. If your clients contact you regarding this matter, please recommend that they exercise their voting rights and support the proposals. We at Horizons ETFs would truly appreciate your help.

Managed Broker Accounts
If you have discretion to vote on behalf of your clients, please vote your clients’ shares through your standard internal voting process, or call AST Fund Solutions at 1-800-967-5068 to ask for assistance in voting. If your clients contact you, we ask for your help in urging your clients to participate by using one of the easy voting options, each of which is described in the proxy materials they will be receiving.



We greatly appreciate your efforts in encouraging your clients’ participation in this important matter, and we look forward to continuing to provide efficient access to unexplored segments of the global capital markets through intelligently designed ETFs.

Thank you!
Horizons ETFs Management (US) LLC
(855) 496-3837
horizonsetfsus.com


Hi ___________,

It’s not often that we start a note to you this way, but we need your help. Your clients with an investment in one or more Horizons ETFs will soon be receiving important proxy information.

If shareholders approve the proposed plan of reorganization and termination, the funds will be reorganized into a newly created series of Global X Funds. Under the reorganization, each of the funds will be managed in accordance with the same investment objective, and subject to substantially the same investment strategies, policies and risks as immediately prior to the proposed reorganization.

Based in part on management’s recommendation, the Horizons ETF Board is recommending that shareholders vote “for” approval of the plan to authorize the reorganization.

Our proxy solicitor, AST Fund Solutions, will be following up with shareholders who do not vote their proxy. Thus, please be aware that your clients may receive a telephone call to ensure they have received the proxy materials. If your clients contact you regarding this matter, please recommend that they exercise their voting rights and support the proposals.

If you have discretion to vote on behalf of your clients, please vote your clients’ shares through your standard internal voting process, or call AST Fund Solutions at 1-800-967-5068 to ask for assistance in voting.

We at Horizons ETFs would truly appreciate your help.

Sincerely,