0001752724-18-003139.txt : 20181218 0001752724-18-003139.hdr.sgml : 20181218 20181218155721 ACCESSION NUMBER: 0001752724-18-003139 CONFORMED SUBMISSION TYPE: N-CEN/A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20180831 FILED AS OF DATE: 20181218 DATE AS OF CHANGE: 20181218 EFFECTIVENESS DATE: 20181218 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PGIM ETF TRUST CENTRAL INDEX KEY: 0001727074 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: N-CEN/A SEC ACT: 1940 Act SEC FILE NUMBER: 811-23324 FILM NUMBER: 181240497 BUSINESS ADDRESS: STREET 1: 655 BROAD STREET STREET 2: 17TH FLOOR CITY: NEWARK STATE: NJ ZIP: 07102 BUSINESS PHONE: 973-802-6469 MAIL ADDRESS: STREET 1: 655 BROAD STREET STREET 2: 17TH FLOOR CITY: NEWARK STATE: NJ ZIP: 07102 N-CEN/A 1 primary_doc.xml X0101 N-CEN/A 0001752724-18-001955 LIVE 0001727074 XXXXXXXX 811-23324 true false false N-1A true PGIM ETF TRUST 811-23324 0001727074 549300GB8HES91GNEF23 655 Broad Street, 17th Floor Newark 07102-4410 US-NJ US 973-802-6469 BROWN BROTHERS HARRIMAN 50 Post Office Square BOSTON 02110-1548 617-772-1818 Books and Records PGIM ETF Trust 655 Broad Street, 17th Floor Newark 07102-4410 800-225-1852 Registrant books and records PGIM, Inc. 655 Broad Street, 17th Floor Newark 07102-4410 800-225-1852 Records related to its function as sub advisor Y N N-1A 1 Y Laurie Simon Hodrick N/A N Ellen S. Alberding N/A N Michael S. Hyland N/A N Scott E. Benjamin N/A Y Barry H. Evans N/A N Brian K. Reid N/A N Richard A. Redeker N/A N Linda W. Bynoe N/A N Grace C. Torres N/A Y Stuart S. Parker N/A Y Kevin J. Bannon N/A N Keith F. Hartstein N/A N Chad A. Earnst N/A 655 Broad Street Newark 07102-4410 XXXXXX N N N N N N Prudential Investment Management Services LLC 008-36540 000018353 N/A Y N KPMG LLP 185 5493003PVCIGA21K0K42 N N N N N N N PGIM Ultra Short Bond ETF S000061589 549300GB8HES91GNEF23 Y 1 1 0 Exchange-Traded Fund N N N N N/A N/A N/A Rule 32a-4 (17 CFR 270.32a-4) Y Y N N PGIM Investments LLC 801-31104 000105670 N/A 2018-04-05 PGIM, Inc. 801-31104 000105676 5493009SX8QJBZYIGB87 Y Brown Brothers Harriman & Co. 084-06072 5493006KMX1VFTPYPW14 N N Y Interactive Data Pricing and Reference Data, Inc. N/A N IHS Markit Group Holdings Limited 2138005LTLTVZ4WMEX25 GB N Y Euroclear Bank SA NV 549300OZ46BRLZ8Y6F65 BE N Y Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7) Brown Brothers Harriman & Co. 5493006KMX1VFTPYPW14 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) Y N Brown Brothers Harriman & Co. 5493006KMX1VFTPYPW14 N N Y 0.00000000 Prudential Mutual Fund Services LLC N/A N/A N/A 34323013.35 Merrill Lynch, Pierce, Fenner & Smith Inc. 008-07221 000007691 8NAV47T0Y26Q87Y0QP81 10483576.5 J.P. Morgan Securities LLC 008-35008 000000079 ZBUT11V806EZRVTWT807 7604881.24 Goldman Sachs & Co. 008-00129 000000361 FOR8UP27PHTHYVLBNG30 6489147.81 BNY Mellon Capital Markets, LLC 008-35255 000017454 VJW2DOOHGDT6PR0ZRO63 3320378.11 Deutsche Bank Securities Inc. 008-17822 000002525 9J6MBOOO7BECTDTUZW19 1874094.45 Wells Fargo Securities, LLC 008-65876 000126292 VYVVCKR63DVZZN70PB21 3009179.92 UBS Securities LLC 008-22651 000007654 T6FIZBDPKLYJKFCRVK44 2804356.6 Barclays Capital Inc. 008-41342 000019714 AC28XWWI3WIBK2824319 7172211.26 Citigroup Global Markets Inc. 008-08177 000007059 MBNUM2BPBDO7JBLYG310 7093691.39 95933332.65 N 33208722.93900000 N N N N PGIM Ultra Short Bond ETF S000061589 N 25000.00000000 1.00000000 0.00000000 0.00000000 0.00000000 0 0 0 0 N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N false false true false false true INTERNAL CONTROL RPT 2 NCENPGIM3Controlltr.htm CONTROL LETTER

Report of Independent Registered Public Accounting Firm

The Board of Trustees and Shareholders

PGIM ETF Trust:

In planning and performing our audit of the financial statements of PGIM Ultra Short Bond ETF (the Fund), a series of PGIM ETF Trust, as of and for the period ended August 31, 2018, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Fund's internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the Fund's financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Fund's internal control over financial reporting. Accordingly, we express no such opinion.

Management of the Fund is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company's internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A company's internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and trustees of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use, or disposition of the company's assets that could have a material effect on the financial statements.

Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.

A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the Fund's annual or interim financial statements will not be prevented or detected on a timely basis.

Our consideration of the Fund's internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Fund's internal control over financial reporting and its operation, including controls over safeguarding securities that we consider to be a material weakness as defined above as of August 31, 2018.

This report is intended solely for the information and use of management and the Board of Trustees of PGIM ETF Trust and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.

/s/ KPMG LLP

New York, New York

October 18, 2018

 OTHER REQUIRED INFO 3 Other_information_PGIM.txt DESCRIPTION FOR AMENDMENT G.1.a.vi Other Information Amended to include two additional Authorized Participants with no transaction activity during the period.