|
Ticker |
Exchange |
Hartford Schroders Commodity Strategy ETF |
HCOM |
NYSE Arca |
Management fees |
|
Distribution and service (12b-1) fees |
|
Other expenses |
|
Expenses of the Subsidiary(1) |
|
Total annual fund operating expenses |
|
Fee Waiver(2) |
|
Total annual fund operating expenses after Fee Waiver(2) |
|
Year 1 |
Year 3 |
$ |
$ |
Portfolio Manager |
Title |
Involved with Fund Since |
James Luke |
Portfolio Manager |
2021 |
Malcolm Melville |
Portfolio Manager |
2021 |
Dravasp Jhabvala |
Portfolio Manager |
2021 |
√ Principal Risk X Additional Risk |
Commodity Strategy ETF |
Active Investment Management Risk |
√ |
Authorized Participant Concentration Risk |
√ |
Call Risk |
X |
Cash Transactions Risk |
√ |
Commodities Related Investments Risk |
√ |
Commodity-Linked Derivatives Risk |
√ |
Convertible Securities Risk |
X |
Counterparty Risk |
√ |
Credit Risk |
√ |
Currency Risk |
√ |
Depositary Receipts Risk |
X |
Derivatives Risk |
√ |
Forward Currency Contracts Risk |
√ |
Futures and Options Risk |
√ |
Hedging Risk |
X |
Swaps Risk |
√ |
Equity Risk |
√ |
Exchange Traded Funds Risk |
X |
Exchange Traded Notes Risk |
X |
Foreign Investments Risk |
X |
Emerging Markets Risk |
X |
Illiquid Investments Risk |
X |
Interest Rate Risk |
√ |
Large Shareholder Transaction Risk |
X |
Leverage Risk |
√ |
LIBOR Risk |
X |
Liquidity Risk |
X |
Market Price Risk |
√ |
Market Risk |
√ |
New Fund Risk |
X |
No Guarantee of Active Trading Market Risk |
X |
Other Investment Companies Risk |
X |
Repurchase Agreements Risk |
X |
Restricted Securities Risk |
X |
Secondary Trading Market Issues |
X |
Sector Risk |
√ |
Sovereign Debt Risk |
X |
Structured Securities Risk |
X |
Subsidiary Risk |
√ |
√ Principal Risk X Additional Risk |
Commodity Strategy ETF |
Use as an Underlying Fund Risk |
X |
U.S. Government Securities Risk |
X |
Valuation Risk |
√ |
Volatility Risk |
√ |
Warrants Risk |
X |
Fund |
Annual Rate |
Commodity Strategy ETF |
0.89% |
|
1 Year |
5 Years |
10 Years |
Composite (Net) |
4.08% |
1.75% |
-6.81% |
Composite (Gross) |
5.28% |
2.92% |
-5.74% |
Bloomberg Commodity Index Total Return (reflects no deduction for fees, expenses or taxes) |
-3.12% |
1.03% |
-6.50% |
|
2011 |
2012 |
2013 |
2014 |
2015 |
2016 |
2017 |
2018 |
2019 |
2020 |
Composite (Net) |
-7.42% |
-0.80% |
-9.26% |
-24.45% |
-28.09% |
16.37% |
-2.88% |
-11.92% |
5.26% |
4.08% |
Composite (Gross) |
-6.36% |
0.34% |
-8.21% |
-23.58% |
-27.27% |
17.71% |
-1.77% |
-10.91% |
6.47% |
5.28% |
Bloomberg Commodity Index Total Return (reflects no deduction for fees, expenses or taxes) |
-13.32% |
-1.06% |
-9.52% |
-17.01% |
-24.66% |
11.77% |
1.70% |
-11.25% |
7.69% |
-3.12% |
Hartford Funds |
(For overnight mail) |
690 Lee Road |
Hartford Funds |
Wayne, PA 19087 |
690 Lee Road |
|
Wayne, PA 19087 |
Fund |
Exchange |
Ticker |
Hartford Schroders Commodity Strategy ETF |
NYSE Arca |
HCOM |
|
Page No. |
3 | |
3 | |
4 | |
6 | |
49 | |
49 | |
49 | |
57 | |
57 | |
58 | |
60 | |
61 | |
61 | |
63 | |
69 | |
69 | |
70 | |
70 | |
75 | |
75 | |
76 | |
76 | |
76 | |
76 | |
76 | |
76 | |
77 | |
89 |
|
Commodity Strategy ETF |
Active Investment Management Risk |
X |
Asset-Backed Securities |
X |
Collateralized Debt Obligations (CDOs) |
X |
Asset Segregation Risk |
X |
Authorized Participant Concentration Risk |
X |
Bond Forwards Risk |
X |
Borrowing Risk |
X |
Call Risk |
X |
Cash Transactions Risk |
X |
Commodities Regulatory Risk |
X |
Commodities Related Investments Risk |
X |
Convertible Securities Risk |
X |
Contingent Convertibles Risk |
X |
Synthetic Convertibles Risk |
X |
Counterparty Risk |
X |
Credit Risk |
X |
Credit Risk Transfer Securities Risk |
X |
Currency Risk |
X |
Cybersecurity Risk |
X |
Depositary Receipts |
X |
Derivative Instruments |
X |
Commodity Futures |
X |
|
Commodity Strategy ETF |
Hedging Risk |
X |
Options Contracts |
X |
Futures Contracts and Options on Futures Contracts |
X |
Swap Agreements and Swaptions |
X |
Inflation-Linked Instruments |
X |
Hybrid Instruments |
X |
Credit-Linked Securities |
X |
Indexed Securities and Structured Notes |
X |
Event-Linked Bonds |
X |
Foreign Currency Transactions |
X |
Risk Factors in Derivative Instruments |
X |
Dollar Rolls |
X |
Equity Risk |
X |
Special Purpose Acquisition Companies Risk |
X |
Exchange Traded Funds (ETFs) Risk |
X |
Exchange Traded Notes (ETNs) Risk |
X |
Event Risk |
X |
Fixed Income Market Risks |
X |
Fixed Income Securities |
X |
Foreign Investments |
X |
Currency Risk and Exchange Risk |
X |
Principal Exchange Rate Linked Securities |
X |
Performance Indexed Paper |
X |
Settlement Risk |
X |
Government Intervention in Financial Markets |
X |
Illiquid Investments |
X |
Inflation Protected Debt Securities Risk |
X |
Inflation Risk |
X |
Initial Public Offerings (“IPO”) Risk |
X |
Interest Rate Risk |
X |
Interfund Lending Program |
X |
Inverse Floating Rate Securities |
X |
Investment Grade Securities |
X |
Investments in a Subsidiary Risk |
X |
Investments in Emerging Market Securities |
X |
Large Shareholder Transaction Risk |
X |
LIBOR Risk |
X |
Liquidation of Fund Risk |
X |
Loans and Loan Participations |
X |
Floating Rate Loans |
X |
Loan Participations |
X |
Senior Loans |
X |
Unsecured Loans |
X |
Market Price Risk |
X |
Market Risk |
X |
Master Limited Partnership (“MLP”) Risk |
X |
Money Market Instruments and Temporary Investment Strategies |
X |
Mortgage-Related Securities |
X |
Municipal Securities |
X |
New Fund Risk |
X |
No Guarantee of Active Trading Market Risk |
X |
Operational Risks |
X |
Other Capital Securities |
X |
Other Investment Companies Risk |
X |
Preferred Stock Risk |
X |
Real Estate Investment Trusts (“REITs”) Risk |
X |
Real Estate Related Securities Risks |
X |
Repurchase and Reverse Repurchase Agreements |
X |
Restricted Securities Risk |
X |
Risks of Qualified Financial Contracts |
X |
Secondary Trading Market Issues |
X |
Sector Risk |
X |
Securities Lending Risk |
X |
Securities Trusts |
X |
Sovereign Debt |
X |
Stripped Securities Risk |
X |
Structured Securities |
X |
|
Commodity Strategy ETF |
To Be Announced (TBA) Transactions Risk |
X |
Short Sales of TBA Investments Risk |
X |
Use as Underlying Fund Risk |
X |
U.S. Government Securities Risk |
X |
Treasury Inflation-Protection Securities |
X |
Valuation Risk |
X |
Volatility Risk |
X |
Warrants and Rights Risk |
X |
Zero Coupon Securities |
X |
NAME, YEAR OF BIRTH AND ADDRESS* |
POSITION HELD WITH THE TRUST |
TERM OF OFFICE** AND LENGTH OF TIME SERVED |
PRINCIPAL OCCUPATION(S) DURING PAST 5 YEARS |
NUMBER OF PORTFOLIOS IN FUND COMPLEX*** OVERSEEN BY TRUSTEE |
OTHER DIRECTORSHIPS FOR PUBLIC COMPANIES AND OTHER REGISTERED INVESTMENT COMPANIES HELD BY TRUSTEE |
HILARY E. ACKERMANN (1956) |
Trustee |
Since 2017 |
Ms. Ackermann served as Chief Risk Officer at Goldman Sachs Bank USA from October 2008 to November 2011. |
75 |
Ms. Ackermann served as a Director of Dynegy, Inc. from October 2012 until its acquisition by Vistra Energy Corporation in 2018, and since that time she has served as a Director of Vistra. Ms. Ackermann serves as a Director of Credit Suisse Holdings (USA), Inc. from January 2017 to present. |
ROBIN C. BEERY (1967) |
Trustee |
Since 2016 |
Ms. Beery has served as a consultant to ArrowMark Partners (an alternative asset manager) since March of 2015 and since November 2018 has been employed by ArrowMark Partners as a Senior Advisor. Previously, she was Executive Vice President, Head of Distribution, for Janus Capital Group, and Chief Executive Officer and President of the Janus Mutual Funds (a global asset manager) from September 2009 to August 2014. |
75 |
Ms. Beery serves as an independent Director of UMB Financial Corporation (January 2015 to present), has chaired the Compensation Committee since April 2017, and serves on the Audit Committee and the Risk Committee. |
LYNN S. BIRDSONG (1946)† |
Trustee and Chair of the Board |
Trustee since 2017; Chair of the Board since 2019 |
From January 1981 through December 2013, Mr. Birdsong was a partner in Birdsong Company, an advertising specialty firm. From 1979 to 2002, Mr. Birdsong was a Managing Director of Zurich Scudder Investments, an investment management firm. |
75 |
None |
NAME, YEAR OF BIRTH AND ADDRESS* |
POSITION HELD WITH THE TRUST |
TERM OF OFFICE** AND LENGTH OF TIME SERVED |
PRINCIPAL OCCUPATION(S) DURING PAST 5 YEARS |
NUMBER OF PORTFOLIOS IN FUND COMPLEX*** OVERSEEN BY TRUSTEE |
OTHER DIRECTORSHIPS FOR PUBLIC COMPANIES AND OTHER REGISTERED INVESTMENT COMPANIES HELD BY TRUSTEE |
DERRICK D. CEPHAS**** (1952) |
Trustee |
Since 2020 |
Mr. Cephas currently serves as Of Counsel to Squire Patton Boggs LLP, an international law firm with 45 offices in 20 countries. Until his retirement in October 2020, Mr. Cephas was a Partner of Weil, Gotshal & Manges LLP, an international law firm headquartered in New York, where he served as the Head of the Financial Institutions Practice (April 2011 to October 2020). |
75 |
Mr. Cephas currently serves a Director of Signature Bank, a New York-based commercial bank, and is a member of the Credit Committee, Examining Committee and Risk Committee. |
CHRISTINE R. DETRICK (1958) |
Trustee |
Since 2017 |
Ms. Detrick served as a Senior Partner/Advisor at Bain & Company (a management consulting firm) from September 2002 to December 2012. |
75 |
Ms. Detrick serves as a Director and Chair of the Nominating and Governance Committee of Reinsurance Group of America (from January 2014 to present). She also serves as a Director of Charles River Associates (May 2020 to present). |
ANDREW A. JOHNSON**** (1962) |
Trustee |
Since 2020 |
Mr. Johnson currently serves as a Diversity and Inclusion Advisor at Neuberger Berman, a private, global investment management firm. Prior to his current role, Mr. Johnson served as Chief Investment Officer and Head of Global Investment Grade Fixed Income at Neuberger Berman (January 2009 to December 2018). |
75 |
None |
PAUL L. ROSENBERG**** (1953) |
Trustee |
Since 2020 |
Mr. Rosenberg is a Partner of The Bridgespan Group, a global nonprofit consulting firm that is a social impact advisor to nonprofits, non-governmental organizations, philanthropists and institutional investors (October 2007 to present). |
75 |
None |
LEMMA W. SENBET (1946)† |
Trustee |
Since 2017 |
Dr. Senbet currently serves as the William E. Mayer Chair Professor of Finance in the Robert H. Smith School of Business at the University of Maryland, where he was chair of the Finance Department from 1998 to 2006. In June 2013, he began a sabbatical from the University to serve as Executive Director of the African Economic Research Consortium which focuses on economic policy research and training, which he completed in 2018. |
75 |
None |
NAME, YEAR OF BIRTH AND ADDRESS* |
POSITION HELD WITH THE TRUST |
TERM OF OFFICE** AND LENGTH OF TIME SERVED |
PRINCIPAL OCCUPATION(S) DURING PAST 5 YEARS |
NUMBER OF PORTFOLIOS IN FUND COMPLEX*** OVERSEEN BY TRUSTEE |
OTHER DIRECTORSHIPS FOR PUBLIC COMPANIES AND OTHER REGISTERED INVESTMENT COMPANIES HELD BY TRUSTEE |
DAVID SUNG (1953) |
Trustee |
Since 2016 |
Mr. Sung was a Partner at Ernst & Young LLP from October 1995 to July 2014. |
75 |
Mr. Sung serves as a Trustee of Ironwood Institutional Multi- Strategy Fund, LLC and Ironwood Multi-Strategy Fund, LLC (October 2015 to present). |
NAME, YEAR OF BIRTH AND ADDRESS* |
POSITION HELD WITH THE TRUST |
TERM OF OFFICE** AND LENGTH OF TIME SERVED |
PRINCIPAL OCCUPATION(S) DURING PAST 5 YEARS |
NUMBER OF PORTFOLIOS IN FUND COMPLEX*** OVERSEEN BY TRUSTEE |
OTHER DIRECTORSHIPS HELD BY TRUSTEE |
JAMES E. DAVEY**** (1964) |
Trustee, President and Chief Executive Officer |
Trustee since 2017; President and Chief Executive Officer since 2017 |
Mr. Davey serves as Executive Vice President of The Hartford Financial Services Group, Inc. Mr. Davey has served in various positions within The Hartford and its subsidiaries and joined The Hartford in 2002. Additionally, Mr. Davey serves as Director, Chairman, President, and Senior Managing Director for Hartford Funds Management Group, Inc. ("HFMG"). Mr. Davey also serves as President, Manager, Chairman of the Board, and Senior Managing Director for Hartford Funds Management Company, LLC (“HFMC”); Manager, Chairman of the Board, and President of Lattice Strategies LLC (“Lattice”); Chairman of the Board, Manager, and Senior Managing Director of Hartford Funds Distributors, LLC (“HFD”); and Chairman of the Board, President and Senior Managing Director of Hartford Administrative Services Company (“HASCO”), each of which is an affiliate of HFMG. |
75 |
None |
ANDREW S. DECKER (1963) |
AML Compliance Officer |
Since 2016 |
Mr. Decker serves as Chief Compliance Officer and AML Compliance Officer of HASCO (since April 2015) and Vice President of HASCO (since April 2018). Mr. Decker serves as AML Officer of HFD (since May 2015). Mr. Decker also serves as Vice President of HFMG (since April 2018). Prior to joining The Hartford, Mr. Decker served as Vice President and AML Officer at Janney Montgomery Scott (a broker dealer) from April 2011 to January 2015. |
N/A |
N/A |
NAME, YEAR OF BIRTH AND ADDRESS* |
POSITION HELD WITH THE TRUST |
TERM OF OFFICE** AND LENGTH OF TIME SERVED |
PRINCIPAL OCCUPATION(S) DURING PAST 5 YEARS |
NUMBER OF PORTFOLIOS IN FUND COMPLEX*** OVERSEEN BY TRUSTEE |
OTHER DIRECTORSHIPS HELD BY TRUSTEE |
AMY N. FURLONG (1979) |
Vice President |
Since 2018 |
Ms. Furlong serves as Vice President and Assistant Treasurer of HFMC (since September 2019). From 2018 through March 15, 2021, Ms. Furlong served as the Treasurer of the Trust. Ms. Furlong has served in various positions within The Hartford and its subsidiaries in connection with the operation of the Hartford Funds. Ms. Furlong joined The Hartford in 2004. |
N/A |
N/A |
WALTER F. GARGER (1965) |
Vice President and Chief Legal Officer |
Since 2016 |
Mr. Garger serves as Secretary, Managing Director and General Counsel of HFMG, HFMC, HFD, and HASCO (since 2013). Mr. Garger also serves as Secretary and General Counsel of Lattice (since July 2016). Mr. Garger has served in various positions within The Hartford and its subsidiaries in connection with the operation of the Hartford Funds. Mr. Garger joined The Hartford in 1995. |
N/A |
N/A |
THEODORE J. LUCAS (1966) |
Vice President |
Since 2017 |
Mr. Lucas serves as Executive Vice President of HFMG (since July 2016) and as Executive Vice President of Lattice (since June 2017). Previously, Mr. Lucas served as Managing Partner of Lattice (2003 to 2016). |
N/A |
N/A |
JOSEPH G. MELCHER (1973) |
Chief Compliance Officer and Vice President |
Since 2016 |
Mr. Melcher serves as Executive Vice President of HFMG and HASCO (since December 2013). Mr. Melcher also serves as Executive Vice President (since December 2013) and Chief Compliance Officer (since December 2012) of HFMC, serves as Executive Vice President and Chief Compliance Officer of Lattice (since July 2016), serves as Executive Vice President of HFD (since December 2013), and has served as President and Chief Executive Officer of HFD (from April 2018 to June 2019). |
N/A |
N/A |
VERNON J. MEYER (1964) |
Vice President |
Since 2016 |
Mr. Meyer serves as Managing Director and Chief Investment Officer of HFMC and Managing Director of HFMG (since 2013). Mr. Meyer has served in various positions within The Hartford and its subsidiaries in connection with the operation of the Hartford Funds. Mr. Meyer joined The Hartford in 2004. |
N/A |
N/A |
DAVID A. NAAB (1985) |
Vice President and Treasurer |
Since March 15, 2021 |
Mr. Naab serves as Vice President and Treasurer of the Trust. Prior to joining HFMC in 2021, Mr. Naab served in various positions as an associate, senior associate, manager, senior manager, and director within the investment management, financial services, and asset & wealth management practice groups of PricewaterhouseCoopers, LLP from 2007 to 2020. |
N/A |
N/A |
ALICE A. PELLEGRINO (1960) |
Vice President and Assistant Secretary |
Since 2016 |
Ms. Pellegrino serves as Vice President of HFMG (since December 2013). Ms. Pellegrino also serves as Vice President and Assistant Secretary of Lattice (since June 2017). Ms. Pellegrino is a Senior Counsel and has served in various positions within The Hartford and its subsidiaries in connection with the operation of the Hartford Funds. Ms. Pellegrino joined The Hartford in 2007. |
N/A |
N/A |
NAME, YEAR OF BIRTH AND ADDRESS* |
POSITION HELD WITH THE TRUST |
TERM OF OFFICE** AND LENGTH OF TIME SERVED |
PRINCIPAL OCCUPATION(S) DURING PAST 5 YEARS |
NUMBER OF PORTFOLIOS IN FUND COMPLEX*** OVERSEEN BY TRUSTEE |
OTHER DIRECTORSHIPS HELD BY TRUSTEE |
THOMAS R. PHILLIPS (1960) |
Vice President and Secretary |
Since 2017 |
Mr. Phillips is Deputy General Counsel for HFMG and currently serves as Vice President (since February 2017) and Assistant Secretary (since June 2017) for HFMG. Prior to joining HFMG in 2017, Mr. Phillips was a Director and Chief Legal Officer of Saturna Capital Corporation from 2014–2016. Prior to that, Mr. Phillips was a Partner and Deputy General Counsel of Lord, Abbett & Co. LLC. |
N/A |
N/A |
NAME OF PERSON, POSITION |
AGGREGATE COMPENSATION FROM THE TRUST |
PENSION OR RETIREMENT BENEFITS ACCRUED AS PART OF FUND EXPENSES |
ESTIMATED ANNUAL BENEFITS UPON RETIREMENT |
TOTAL COMPENSATION FROM THE FUND COMPLEX PAID TO TRUSTEES |
Hilary E. Ackermann, Trustee |
$3,167 |
None |
None |
$338,500 |
Robin C. Beery, Trustee |
$2,980 |
None |
None |
$316,000 |
Lynn S. Birdsong, Trustee |
$4,512 |
None |
None |
$482,500 |
Derrick D. Cephas, Trustee* |
$2,747 |
None |
None |
$293,500 |
Christine R. Detrick, Trustee |
$3,167 |
None |
None |
$338,500 |
Duane E. Hill** |
$1,247 |
None |
None |
$151,000 |
Andrew A. Johnson, Trustee* |
$2,747 |
None |
None |
$293,500 |
Paul L. Rosenberg, Trustee* |
$2,747 |
None |
None |
$293,500 |
Lemma W. Senbet, Trustee |
$2,747 |
None |
None |
$293,500 |
David Sung, Trustee |
$3,167 |
None |
None |
$338,500 |
NAME OF TRUSTEE |
DOLLAR RANGE OF EQUITY SECURITIES IN THE FUND |
AGGREGATE DOLLAR RANGE OF EQUITY SECURITIES IN ALL REGISTERED INVESTMENT COMPANIES OVERSEEN BY TRUSTEE IN FAMILY OF INVESTMENT COMPANIES |
Hilary E. Ackermann |
N/A |
Over $100,000 |
Robin C. Beery |
N/A |
Over $100,000 |
Lynn S. Birdsong |
N/A |
Over $100,000 |
Derrick D. Cephas |
N/A |
None |
Christine R. Detrick |
N/A |
Over $100,000 |
Duane E. Hill* |
N/A |
Over $100,000 |
Andrew A. Johnson |
N/A |
None |
Paul L. Rosenberg |
N/A |
None |
Lemma W. Senbet |
N/A |
Over $100,000 |
David Sung |
N/A |
None |
NAME OF TRUSTEE |
DOLLAR RANGE OF EQUITY SECURITIES IN THE FUND |
AGGREGATE DOLLAR RANGE OF EQUITY SECURITIES IN ALL REGISTERED INVESTMENT COMPANIES OVERSEEN BY TRUSTEE IN FAMILY OF INVESTMENT COMPANIES |
James E. Davey |
N/A |
Over $100,000 |
FUND |
ANNUAL RATE |
Commodity Strategy ETF |
0.89% |
PORTFOLIO MANAGER |
NUMBER OF ACCOUNTS |
ASSETS MANAGED (in millions) |
NUMBER OF ACCOUNTS WHERE ADVISORY FEE IS BASED ON ACCOUNT PERFORMANCE |
TOTAL ASSETS IN ACCOUNTS WHERE ADVISORY FEE IS BASED ON ACCOUNT PERFORMANCE (in millions) |
James Luke |
|
|
|
|
Other Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other Pooled Investment Vehicles |
3 |
$450 |
0 |
$0 |
Other Accounts |
0 |
$0 |
0 |
$0 |
Malcolm Melville |
|
|
|
|
Other Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other Pooled Investment Vehicles |
3 |
$450 |
0 |
$0 |
Other Accounts |
0 |
$0 |
0 |
$0 |
Dravasp Jhabvala |
|
|
|
|
Other Registered Investment Companies |
0 |
$0 |
0 |
$0 |
Other Pooled Investment Vehicles |
3 |
$450 |
0 |
$0 |
Other Accounts |
0 |
$0 |
0 |
$0 |
FUND |
STANDARD CASH TRANSACTION FEE* |
STANDARD IN-KIND TRANSACTION FEE* |
MAXIMUM VARIABLE TRANSACTION FEE** |
Commodity Strategy ETF |
$100 |
$300 |
$1,200 |
FUND |
STANDARD CASH TRANSACTION FEE* |
STANDARD IN-KIND TRANSACTION FEE* |
MAXIMUM VARIABLE TRANSACTION FEE** |
Commodity Strategy ETF |
$100 |
$300 |
2% |
Name |
Position with HFMC(1) |
Position with Lattice(2) |
Other Business |
James E. Davey |
Senior Managing Director, Chairman of the Board, President and Manager |
President, Chairman of the Board, and Manager |
Executive Vice President of The Hartford Financial Services Group, Inc.(3) (“The Hartford”); Senior Managing Director, Chairman of the Board and Manager of Hartford Funds Distributors, LLC(4) (“HFD”); President, Senior Managing Director, Director and Chairman of the Board of Hartford Administrative Services Company(5) (“HASCO”); and President, Director, Chairman and Senior Managing Director of the Hartford Funds Management Group, Inc.(6) (“HFMG”) |
Gregory A. Frost |
Managing Director, Chief Financial Officer and Manager |
Chief Financial Officer, Assistant Treasurer, and Manager |
Director, Managing Director and Chief Financial Officer of HASCO; Manager, Managing Director and Chief Financial Officer of HFD; and Managing Director and Chief Financial Officer of HFMG |
Name |
Position with HFMC(1) |
Position with Lattice(2) |
Other Business |
Walter F. Garger |
Secretary, Managing Director and General Counsel |
General Counsel and Secretary |
Secretary, Managing Director and General Counsel of HFD, HASCO and HFMG |
Theodore Lucas |
None |
Executive Vice President |
Executive Vice President of HFMG |
Joseph G. Melcher |
Executive Vice President and Chief Compliance Officer |
Executive Vice President and Chief Compliance Officer |
Executive Vice President of HASCO, HFD and HFMG |
Vernon J. Meyer |
Chief Investment Officer and Managing Director |
Senior Vice President – Investments |
Managing Director of HFMG |
Oyinkan A. Adeleye |
Chief Cybersecurity and Business Continuity Officer and Vice President |
None |
None |
Anita Baldwin |
Vice President |
None |
Vice President of HFMG |
Jeffrey T. Coghan |
Vice President |
None |
Senior Vice President of HFD and HFMG |
Amy N. Furlong |
Vice President and Assistant Treasurer |
None |
Vice President of HFMG |
Allison Z. Mortensen |
Vice President |
None |
Vice President of HFMG |
Christopher Morvant |
Vice President |
None |
None |
David A. Naab |
Assistant Treasurer and Vice President |
None |
None |
Shannon O’Neill |
Vice President and Controller |
None |
Vice President and Controller of HASCO and HFMG; Financial and Operations Principal (FINOP), Vice President and Controller of HFD |
Alice A. Pellegrino |
None |
Vice President and Assistant Secretary |
Vice President of HFMG |
Thomas R. Phillips |
Vice President |
None |
Senior Vice President and Assistant Secretary of HFMG |
Name |
Position with HFMC(1) |
Position with Lattice(2) |
Other Business |
Kevin F. Barnett |
Assistant Secretary |
Assistant Secretary |
Assistant Secretary of HASCO, HFD, and HFMG |
Eapen A. Chandy |
Assistant Vice President and Assistant Treasurer |
Assistant Vice President and Assistant Treasurer |
Assistant Vice President and Assistant Treasurer of HASCO, HFD, HFMG, The Hartford, and Hartford Investment Management Company(7) (“HIMCO”) |
Michael J. Fixer |
Assistant Vice President and Assistant Treasurer |
Assistant Vice President and Assistant Treasurer |
Assistant Treasurer and Assistant Vice President of HASCO, HFD, HFMG, and The Hartford |
Kathleen E. Jorens |
Assistant Vice President and Treasurer |
Assistant Vice President and Treasurer |
Assistant Vice President and Treasurer of HASCO and HFMG; Treasurer and Senior Vice President of HIMCO and The Hartford; Senior Vice President and RPG Business Line Principal of HFD |
Elizabeth L. Kemp |
Assistant Secretary |
Assistant Secretary |
Assistant Secretary of HFD, HFMG, and HIMCO; Assistant Treasurer of HASCO |
Timothy M. Ligay |
Assistant Secretary |
Assistant Secretary |
Assistant Secretary of HASCO, HFD, HFMG, and HIMCO |
Gissell Novas |
Assistant Secretary |
Assistant Secretary |
Assistant Secretary of HASCO, HFD, HFMG, and HIMCO |
Keith R. Percy |
Vice President |
Vice President |
Vice President of HASCO, HFD, HFMG, and HIMCO; Head of Corporate Tax and Senior Vice President of The Hartford |
Name and Principal Business Address* |
Positions and Offices with Underwriter |
Position and Offices with Registrant |
Stephen Kyllo |
President, Chief Operating Officer, Director, Chief Compliance Officer |
None |
Eric T. Parsons |
Vice President, Controller and Assistant Treasurer |
None |
Joseph J. Frank** |
Secretary |
None |
Patrick J. Pedonti ** |
Vice President, Treasurer and Assistant Secretary |
None |
Richard C. Noyes |
Senior Vice President, General Counsel, Assistant Secretary |
None |
Liza Orr |
Vice President, Senior Counsel |
None |
Jed Stahl |
Vice President, Senior Counsel |
None |
James Stegall |
Vice President |
None |
Gary Ross |
Senior Vice President |
None |
Kevin Ireland |
Senior Vice President |
None |
Hilary Quinn |
Vice President |
None |
Jennifer Craig |
Assistant Vice President |
None |
HARTFORD FUNDS EXCHANGE-TRADED TRUST | |
By: |
/s/ James E. Davey* |
|
James E. Davey President |
Signature |
Title |
Date |
/s/ James E. Davey* James E. Davey |
Trustee, President and Chief Executive Officer |
September 8, 2021 |
/s/ David A. Naab* David A. Naab |
Treasurer (Principal Financial and Principal Accounting Officer) |
September 8, 2021 |
/s/ Lynn S. Birdsong* Lynn S. Birdsong |
Chair of the Board,Trustee |
September 8, 2021 |
/s/ Hilary E. Ackermann* Hilary E. Ackermann |
Trustee |
September 8, 2021 |
/s/ Robin C. Beery* Robin C. Beery |
Trustee |
September 8, 2021 |
/s/ Derrick D. Cephas* Derrick D. Cephas |
Trustee |
September 8, 2021 |
/s/ Christine R. Detrick* Christine R. Detrick |
Trustee |
September 8, 2021 |
/s/ Andrew A. Johnson, Jr.* Andrew A. Johnson, Jr. |
Trustee |
September 8, 2021 |
/s/ Paul L. Rosenberg* Paul L. Rosenberg |
Trustee |
September 8, 2021 |
/s/ Lemma W. Senbet* Lemma W. Senbet |
Trustee |
September 8, 2021 |
/s/ David Sung* David Sung |
Trustee |
September 8, 2021 |
*,** By:/s/ Thomas R. Phillips Thomas R. Phillips, Attorney-in-fact * Pursuant to Power of Attorney (filed herewith) |
|
September 8, 2021 |
Exhibit No. |
Description |
d.(i).c |
Form of Amendment Number 2 to the Investment Management Agreement |
e.(v) |
Amendment No 5 to the Distribution Agreement dated September 15, 2021 |
h.(vi).d |
Form of Amendment Number 5 to the Fund Accounting Agreement |
i. |
Opinion and Consent of Counsel |
q. |
Power of Attorney dated August 4, 2021 |