0001752724-22-056032.txt : 20220310
0001752724-22-056032.hdr.sgml : 20220310
20220310173009
ACCESSION NUMBER: 0001752724-22-056032
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20211231
FILED AS OF DATE: 20220310
DATE AS OF CHANGE: 20220310
EFFECTIVENESS DATE: 20220310
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Alger ETF Trust
CENTRAL INDEX KEY: 0001807486
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: N-CEN
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-23603
FILM NUMBER: 22730232
BUSINESS ADDRESS:
STREET 1: 100 PEARL STREET
STREET 2: 27TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10004
BUSINESS PHONE: 212-806-8833
MAIL ADDRESS:
STREET 1: 100 PEARL STREET
STREET 2: 27TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10004
0001807486
S000069955
Alger Mid Cap 40 ETF
C000222788
Alger Mid Cap 40 ETF
FRTY
0001807486
S000069956
Alger 35 ETF
C000222789
Alger 35 ETF
ATFV
N-CEN
1
primary_doc.xml
X0404
N-CEN
LIVE
0001807486
XXXXXXXX
811-23603
true
false
false
N-1A
true
Alger ETF Trust
811-23603
0001807486
5493001LMS20X4PV3S52
100 Pearl Street
New York
10004-6030
US-NY
US
(800) 223-3810
BROWN BROTHERS HARRIMAN & CO.
50 Post Office Square
Boston
02110-1548
617-772-1818
Books and Records
Y
N
N-1A
2
Y
Stephen E. O'Neil
N/A
N
Charles F. Baird
004827821
N
Nathan E. Saint-Amand M.D.
N/A
N
Hilary M. Alger
001164468
Y
Roger P. Cheever
N/A
N
David Rosenberg
N/A
N
Tina Payne
005391957
100 Pearl Street
New York
10004-6030
XXXXXX
N
N
N
N
N
N
Fred Alger & Company, LLC
008-15900
000005300
549300TITGLG7BXCGB39
Y
Y
Deloitte & Touche LLP
34
549300FJV7IV1ZHGAV28
N
N
N
N
N
N
N
Alger 35 ETF
S000069956
549300XPINPN13F35A88
Y
1
1
0
Exchange-Traded Fund
Y
N
Y
N
N/A
0
0
N/A
Y
Y
Y
N
Fred Alger Management, LLC
801-6709
000106750
549300TITGLG7BXCGB39
2021-05-03
Brown Brothers Harriman & Co.
084-06072
5493006KMX1VFTPYPW14
N
N
Y
Refinitiv US LLC
213800HQORQAP68CJJ04
N
Y
Brown Brothers Harriman & Co.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Y
Fred Alger Management, LLC
549300TITGLG7BXCGB39
Y
N
Y
Fred Alger Management, LLC
549300TITGLG7BXCGB39
Y
N
Brown Brothers Harriman & Co.
5493006KMX1VFTPYPW14
N
Y
Y
Fred Alger & Company, LLC
008-15900
000005300
549300TITGLG7BXCGB39
1729.92000000
JONESTRADING INSTITUTIONAL SERVICES
008-26089
000006888
2138008JJ5PA8H5UIL69
1117.33000000
J.P. MORGAN SECURITIES LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
320.00000000
BTIG, LLC
008-65473
000122225
549300GTG9PL6WO3EC51
688.54000000
SUNTRUST INVESTMENT SERVICES
008-35355
000017499
IYDOJBGJWY9T8XKCSX06
790.64000000
ABEL NOSER, L.L.C.
008-69809
000284714
549300UQY3DBDP2Y2N55
873.59000000
MERRILL LYNCH, PIERCE, FENNER & SMITH INC.
008-07221
000007691
8NAV47T0Y26Q87Y0QP81
1151.78000000
FIDELITY MANAGEMENT & RESEARCH COMPANY
N/A
000108281
5493001Z012YSB2A0K51
351.92000000
Piper Sandler LTD.
N/A
000163758
2138008LHD1TOYE4JE90
GB
1142.82000000
Fred Alger & Co., Inc.
008-15900
000005300
549300TITGLG7BXCGB39
1729.92000000
Jefferies LLC
008-15074
000002347
58PU97L1C0WSRCWADL48
351.97000000
10630.29000000
0.00000000
N
12166484.47
N
N
N
Alger Mid Cap 40 ETF
S000069955
549300BGEV4QVML5IV31
Y
1
1
0
Exchange-Traded Fund
Y
N
Y
N
N/A
0
0
N/A
Y
Y
Y
N
Fred Alger Management, LLC
801-6709
000106750
549300TITGLG7BXCGB39
2021-02-26
Brown Brothers Harriman & Co.
084-06072
5493006KMX1VFTPYPW14
N
N
Y
Refinitiv US LLC
213800HQORQAP68CJJ04
N
Y
Brown Brothers Harriman & Co.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Y
Fred Alger Management, LLC
549300TITGLG7BXCGB39
Y
N
Y
Fred Alger Management, LLC
549300TITGLG7BXCGB39
Y
N
Brown Brothers Harriman & Co.
5493006KMX1VFTPYPW14
N
Y
Y
Fred Alger & Company, LLC
008-15900
000005300
549300TITGLG7BXCGB39
14817.02000000
BTIG, LLC
008-65473
000122225
549300GTG9PL6WO3EC51
5924.59000000
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
5789.35000000
BAIRD, PATRICK & COMPANY
008-18029
000001149
549300772UJAHRD6LO53
8667.39000000
STIFEL, NICOLAUS & COMPANY, INCORPORATED
008-01447
000000793
5WUVMA08EYG4KEUPW589
5367.34000000
Citigroup Global Markets Inc.
008-08177
000007059
MBNUM2BPBDO7JBLYG310
4988.07000000
RAYMOND JAMES FINANCE COMPANY OF CANADA LTD.
008-42071
000025853
54930007S8Z1VGJCWG23
CA
3462.13000000
BARCLAYS CAPITAL INC.
008-41342
000019714
AC28XWWI3WIBK2824319
3939.76000000
Fred Alger & Co., Inc.
008-15900
000005300
549300TITGLG7BXCGB39
14817.02000000
JMP SECURITIES LLC
008-39613
000022208
549300IDHEFHQ741DW68
3723.21000000
MERRILL LYNCH, PIERCE, FENNER & SMITH INC.
008-07221
000007691
8NAV47T0Y26Q87Y0QP81
3896.68000000
105485.19000000
0.00000000
N
26649330.72
N
N
N
Alger Mid Cap 40 ETF
S000069955
N
12500.00000000
0.00010539
0.00008856
99.99989460
0.00008856
0.00009931
0.00003722
99.99990068
0.00003722
0.00000000
118.70967741
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
106.66666666
0.00000000
0.00000000
0.00000000
0.00000000
N
Alger 35 ETF
S000069956
N
12500.00000000
0.00005551
0.00009330
99.99994448
0.00009330
0.00000387
0.00000000
99.99999612
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
N
false
false
true
false
false
false
INTERNAL CONTROL RPT
2
algeretftrust-ncenletter.txt
AUDITOR'S LETTER
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
To the Shareholders and the Board of Trustees of The Alger ETF Trust:
In planning and performing our audits of the financial statements of The Alger
ETF Trust (the "Trust"), including the Alger 35 ETF and the Alger Mid Cap 40
ETF, as of and for the period ended December 31, 2021, in accordance with the
standards of the Public Company Accounting Oversight Board (United States)
(PCAOB), we considered the Trust'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 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 Trust's internal
control over financial reporting. Accordingly, we express no such opinion.
The management of the Trust 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 trust'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 trust'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 trust; (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 trust
are being made only in accordance with authorizations of management and
directors of the trust; and (3) provide reasonable assurance regarding
prevention or timely detection of unauthorized acquisition, use, or disposition
of a trust'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
trust's annual or interim financial statements will not be prevented or
detected on a timely basis.
Our consideration of the Trust'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 PCAOB. However, we noted
no deficiencies in the Trust's internal control over financial reporting and
its operation, including controls for safeguarding securities, that we consider
to be a material weakness, as defined above, as of December 31, 2021.
This report is intended solely for the information and use of management and
the Board of Trustees of the 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.
Deloitte & Touche LLP
New York, New York
February 25, 2022