Location books Record:
1 |
a. Name of person (e.g., a custodian of records) | Foreside Distributors, LLC |
b. Street 1 | 3 Canal Plaza |
Street 2 | Suite 100 |
c. City | Portland |
d. State, if applicable |
MAINE
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 04101 |
g. Telephone number (including country code if foreign) | 866-251-6920 |
h. Briefly describe the books and records kept at this location:
| Distributor of the Exchange Traded Funds |
Location books Record:
2 |
a. Name of person (e.g., a custodian of records) | Timothy Partners, Ltd. |
b. Street 1 | 1055 Maitland Center Commons |
Street 2 | |
c. City | Maitland |
d. State, if applicable |
FLORIDA
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 32751 |
g. Telephone number (including country code if foreign) | 407-644-1986 |
h. Briefly describe the books and records kept at this location:
| Investment Adviser to the Trust |
Location books Record:
3 |
a. Name of person (e.g., a custodian of records) | Citi Fund Services Ohio, Inc. |
b. Street 1 | 4400 Easton Commons |
Street 2 | Suite 200 |
c. City | Columbus |
d. State, if applicable |
OHIO
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 43219 |
g. Telephone number (including country code if foreign) | 614-470-8000 |
h. Briefly describe the books and records kept at this location:
| Administrator and Fund Accountant to the Exchange Traded Funds that maintains the accounting books and records for the Funds |
Location books Record:
4 |
a. Name of person (e.g., a custodian of records) | Victory Capital Management, Inc. |
b. Street 1 | 4900 Tiedeman Road |
Street 2 | 4th Floor |
c. City | Brooklyn |
d. State, if applicable |
OHIO
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 44144 |
g. Telephone number (including country code if foreign) | 877-660-4400 |
h. Briefly describe the books and records kept at this location:
| Sub-Investment Adviser to the Exchange Traded Funds |
Location books Record:
5 |
a. Name of person (e.g., a custodian of records) | Gemini Fund Services |
b. Street 1 | 4221 N. 203rd St. |
Street 2 | Suite 100 |
c. City | Elkhorn |
d. State, if applicable |
NEBRASKA
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 68022 |
g. Telephone number (including country code if foreign) | 402-509-1066 |
h. Briefly describe the books and records kept at this location:
| Fund Accounting and Transfer Agent Records |
Location books Record:
6 |
a. Name of person (e.g., a custodian of records) | Citibank, N.A. |
b. Street 1 | 388 Greenwhich Street |
Street 2 | |
c. City | New York |
d. State, if applicable |
NEW YORK
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 10013 |
g. Telephone number (including country code if foreign) | 800-374-9700 |
h. Briefly describe the books and records kept at this location:
| Transfer Agent to the Exchange Traded Funds that maintains shareholder records and Custodian for assets of Exchange Traded Funds |
Director Record:
1 |
a. Full Name | Richard Copeland |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |
Director Record:
2 |
a. Full Name | Mathew D. Staver |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |
Director Record:
3 |
a. Full Name | Patrice Tsague |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |
Director Record:
4 |
a. Full Name | Arthur D. Ally |
b. CRD number, if any | 000855097 |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |
Director Record:
5 |
a. Full Name | Dale Bissonette |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |
Director Record:
6 |
a. Full Name | John Mulder |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |
Director Record:
7 |
a. Full Name | Bill Johnson |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |
Director Record:
8 |
a. Full Name | Scott Preissler |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |
Director Record:
9 |
a. Full Name | Alan Ross |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |
Director Record:
10 |
a. Full Name | Deborah Honeycutt |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |
Director Record:
11 |
a. Full Name | Abraham Rivera |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |
Principal underwriter Record:
1 |
i. Full name | Foreside Fund Services, LLC |
ii. SEC file number (e.g., 8-) | 008-51293 |
iii. CRD number | 000046106 |
iv. LEI, if any | |
v. State, if applicable |
MAINE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
No
|
Principal underwriter Record:
2 |
i. Full name | Timothy Partners, Ltd |
ii. SEC file number (e.g., 8-) | 8-49589 |
iii. CRD number | 000041835 |
iv. LEI, if any | |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
No
|
b. Have any principal underwriters been hired or terminated during the reporting period?
|
Yes
No
|