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
PGIM ROCK ETF TRUST
(Exact name of registrant as specified in its charter)
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Delaware |
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See below |
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(State or other jurisdiction of incorporation or organization) |
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(I.R.S. Employer |
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Identification No.) |
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655 Broad Street, 6th Floor |
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Newark, New Jersey |
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07102 |
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(Address of principal executive offices) |
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(Zip Code) |
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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 |
I.R.S. Employer |
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______to be so registered |
each class is to be registered |
Identification No. |
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PGIM Laddered Fund of Buffer 12 ETF |
Cboe BZX Exchange, Inc. |
99-2423038 |
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PGIM Laddered Fund of Buffer 20 ETF |
Cboe BZX Exchange, Inc. |
99-2425879 |
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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) or (e), 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) or (e), check the following box. □
If this form relates to the registration of a class of securities concurrently with a Regulation A offering, check the following box. □
Securities Act registration statement or Regulation A offering statement file number to which this form relates:
333-274664(if applicable)
Securities to be registered pursuant to Section 12(g) of theAct: None
INFORMATION REQUIRED IN REGISTRATION STATEMENT
Item 1. Description of Registrant's Securities to be Registered.
A description of the shares of beneficial interest, $0.001 par value per share, of PGIM Laddered Fund of Buffer 12 ETF and PGIM Laddered Fund of Buffer 20 ETF, each a series of PGIM Rock ETF Trust (the "Registrant"), is incorporated herein by reference to Post-Effective Amendment No. 1 to the Registrant's registration statement on Form N-1A, filed with the Securities and Exchange Commission on March 29, 2024 (File Nos. 333-274664; 811-23901). Any form of supplement to the registration statement that is subsequently filed is hereby also incorporated by reference herein.
Item 2. Exhibits.
1.Registrant's Amended and Restated Agreement and Declaration of Trust, incorporated herein by reference to Exhibit (a)(3) to the Registrant's Registration Statement on Form N-1A (File Nos. 333-274664; 811-23901), as filed with the Securities and Exchange Commission on December 20, 2023.
2.Registrant's Certificate of Trust incorporated herein by reference to Exhibit (a)(1) to the Registrant's Registration Statement on Form N-1A (File Nos. 333-274664; 811-23901), as filed with the Securities and Exchange Commission on September 25, 2023.
3.Registrant's By-Laws, incorporated herein by reference to Exhibit (b) to the Registrant's Registration Statement on Form N-1A (File Nos. 333-274664; 811-23901), as filed with the Securities and Exchange Commission on September 25, 2023.
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 in the City of Newark and the State of New Jersey.
PGIM ROCK ETF TRUST
Date: June 5, 2024
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By: |
/s/ Debra Rubano |
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Name: |
Debra Rubano |
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Title: |
Assistant Secretary |