0001410368-18-000035.txt : 20180119
0001410368-18-000035.hdr.sgml : 20180119
20180119172043
ACCESSION NUMBER: 0001410368-18-000035
CONFORMED SUBMISSION TYPE: NSAR-U
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171231
FILED AS OF DATE: 20180119
DATE AS OF CHANGE: 20180119
EFFECTIVENESS DATE: 20180119
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: SPDR DOW JONES INDUSTRIAL AVERAGE ETF TRUST
CENTRAL INDEX KEY: 0001041130
IRS NUMBER: 133574560
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: NSAR-U
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-09170
FILM NUMBER: 18538197
BUSINESS ADDRESS:
STREET 1: PDR SERVICES LLC C/O NYSE EURONEXT
STREET 2: 11 WALL STREET
CITY: NEW YORK
STATE: NY
ZIP: 10005
BUSINESS PHONE: 212-656-4440
MAIL ADDRESS:
STREET 1: PDR SERVICES LLC C/O NYSE EURONEXT
STREET 2: 11 WALL STREET
CITY: NEW YORK
STATE: NY
ZIP: 10005
FORMER COMPANY:
FORMER CONFORMED NAME: DIAMONDS TRUST SERIES I
DATE OF NAME CHANGE: 19970714
NSAR-U
1
j906nsaru.txt
SPDR DJIA ETF NSAR-U 12.31.17
FORM N-SAR
ANNUAL REPORT
FOR REGISTERED INVESTMENT COMPANIES
Report for six month period ending:
or calendar year ending:12/31/17
Is this a transition report?:(Y/N) N
Is this an amendment to a previous filing? (Y/N) N
Those items or sub-items with a box "[/]" after the item number should be
completed only if the answer has changed from the previous filing form.
1. A. Registrant Name: SPDR Dow Jones Idustrial Average ETF Trust
B. File Number: 811-09170
C. Telephone Number: (617)662-4026
2. A. Street: 11 Wall Street
B. City: New York
C. State: New York
D. Zip Code: 10005 Zip Ext:
E. Foreign Country: Foreign Postal Code:
3. Is this the first filing on this form by the Registrant? (Y/N) N
----
4. Is this the last filing on this form by Registrant? (Y/N) N
----
5. Is Registrant a small business investment company (SBIC)? (Y/N)
[If answer is "Y" (Yes) complete only items 89 through 110.] N
----
6. Is Registrant a unit investment trust (UIT)? (Y/N) Y
[If answer is "Y" (Yes) complete only items 111 through 132.] ----
7. A. Is Registrant a series or multiple portfolio company? (Y/N)
[If answer is "N" (No), go to item 8.] N
----
B. How many separate series or portfolios did Registrant have at
the end of the period?
----
UNIT INVESTMENT TRUSTS
111. A. [ ] Depositor Name: The Depository Trust Company
-----------------------------------------------------
B. [/] File Number (If any):
-----------------------------------------------
C. [ ] City: New York State: NY Zip Code: 10041 Zip Ext.:
-------------- --------- -------- -----
[ ] Foreign Country: Foreign Postal Code:
-------------------- -----------
111. A. [ ] Depositor Name:
-----------------------------------------------------
B. [ ] File Number (If any):
-----------------------------------------------
C. [ ] City: State: Zip Code: Zip Ext.:
-------------- --------- -------- -----
[ ] Foreign Country: Foreign Postal Code:
-------------------- -----------
112. A. [ ] Sponsor Name: PDR Services LLC
--------------------------------
B. [/] File Number (If any):
------------------------
C. [ ] City: New York State: NY Zip Code: 10005 Zip Ext.:
---------- ---------- ----------
[ ] Foreign Country: Foreign Postal Code:
------------------- ----------
112. A. [ ] Sponsor Name:
-------------------------------------------------------
B. [ ] File Number (If any):
-----------------------------------------------
C. [ ] City: State: Zip Code: Zip Ext.:
-------------- --------- ------- -----
[ ] Foreign Country: Foreign Postal Code:
------------------- ----------
113. A. [ ] Trustee Name: State Street Bank and Trust Company
-------------------------------------------------------
B. [ ] City:Boston State:MA Zip Code: 02111 Zip Ext.:
-------------- --------- ------- -----
[ ] Foreign Country: Foreign Postal Code:
------------------- ----------
113. A. [ ] Trustee Name:
-------------------------------------------------------
B. [ ] City: State: Zip Code: Zip Ext.:
-------------- --------- ------- -----
[ ] Foreign Country: Foreign Postal Code:
------------------- ----------
114. A. [ ] Principal Underwriter Name: ALPS Distributors, Inc.
-----------------------------------------
B. [ ] File Number: 8-34626
---------------
C. [ ] City: Denver State: CO Zip Code: 80203 Zip Ext.:
-------------- --------- ------- -----
[ ] Foreign Country: Foreign Postal Code:
------------------- ----------
114. A. [ ] Principal Underwriter Name:
-----------------------------------------
B. [ ] File Number:
---------------
C. [ ] City: State: Zip Code: Zip Ext.:
-------------- --------- ------- -----
[ ] Foreign Country: Foreign Postal Code:
------------------- ----------
115. A. [ ] Independent Public Accountant Name: PricewaterhouseCoopers LLP
---------------------------------
B. [ ] City:Boston State: MA Zip Code:02110 Zip Ext.:
-------------- --------- ------- -----
[ ] Foreign Country: Foreign Postal Code:
------------------- ----------
115. A. [ ] Independent Public Accountant Name:
---------------------------------
B. [ ] City: State: Zip Code: Zip Ext.:
-------------- --------- ------- -----
[ ] Foreign Country: Foreign Postal Code:
------------------- ----------
116. Family of investment companies information:
A. [ ] Is Registrant part of a family of investment companies? (Y/N) N
------
B. [ ] Identify the family in 10 letters: ______________
(NOTE: In filing this form, use this identification consistently for
all investment companies in family. This designation is for purposes
of this form only.)
117. A. [ ] Is Registrant a separate account of an insurance company? (Y/N) _N_
If answer is "Y" (Yes), are any of the following types of contracts funded
by the Registrant?:
B. [ ] Variable annuity contracts? (Y/N)
-----------------------------------
C. [ ] Scheduled premium variable life contracts? (Y/N)
--------------------
D. [ ] Flexible premium variable life contracts? (Y/N)
---------------------
E. [ ] Other types of insurance products registered under the
Securities Act of 1933? (Y/N)
---------------------------------------
118. [ ] State the number of series existing at the end of the period that had
securities registered under the Securities Act of 1933
1
-----
119. [ ] State the number of new series for which registration
statements under the Securities Act of 1933 became
effective during the period 0
--------------------------------------------
120. [ ] State the total value of the portfolio securities on the date
of deposit for the new series included in item 119
($000's omitted)
--------------------------------------------
121. [ ] State the number of series for which a current prospectus was in
existence at the end of the period 1
--------------------------------
122. [ ] State the number of existing series for which additional units
were registered under the Securities Act of 1933 during the
current period 0
--------------------------------------------------------
123. [ ] State the total value of the additional units considered in
answering item 122 ($000's omitted) 0
----------------
124. [ ] State the total value of units of prior series that were placed in
the portfolios of subsequent series during the current period (the
value of these units is to be measured on the date they were placed in
the subsequent series) ($000's
omitted) 0
---------------------------------------------
125. [ ] State the total dollar amount of sales loads collected (before
reallowances to other brokers or dealers) by Registrant's principal
underwriter and any underwriter which is an affiliated person of the
principal underwriter during the current period solely from the sale of
units of all series of Registrant ($000's omitted)
0
-------------------------------------
126. Of the amount shown in item 125, state the total dollar amount sales loads
collected from secondary market operations in Registrant's units (include
the sales loads, if any, collected on units of a prior series placed in the
portfolio of a subsequent series.) ($000's omitted) 0
---------------------
127. List opposite the appropriate description below the number of series whose
portfolios are invested primarily (based upon a percentage of NAV) in each
type of security shown, the aggregate total assets at market value as of a
date at or near the end of the current period of each such group of series
and the total income distributions made by each such group of series during
the current period (excluding distributions of realized gains, if any):
Number of Total Assets Total Income
Series ($000's Distribution
Investing omitted) ($000's
omitted)
A. U.S. Treasury direct issue
- --------------------------------------------------------------------------------------------
B. U.S. Government agency
C. State and municipal tax-free
- --------------------------------------------------------------------------------------------
D. Public utility debt
- --------------------------------------------------------------------------------------------
E. Brokers or dealers debt or
debt of brokers' or dealers'
parent
- --------------------------------------------------------------------------------------------
F. All other corporate intermed.
& long-term debt
- --------------------------------------------------------------------------------------------
G. All other corporate short-
Term debt
- --------------------------------------------------------------------------------------------
H. Equity security of brokers
Or dealers or parents of
Brokers or dealers
- --------------------------------------------------------------------------------------------
I. Investment company equity
Securities
- --------------------------------------------------------------------------------------------
J. All other equity securities 1 $22,423,503 $394,507
K.
L. Other securities
- --------------------------------------------------------------------------------------------
M. Total assets of all series
Of registrant 1 $22,423,503 $394,507
- --------------------------------------------------------------------------------------------
128. [ ] Is the timely payment of principal and interest on any of the
portfolio securities held by any of Registrant's series at the
end of the current period insured or guaranteed by an entity
other than the issuer? (Y/N) N
--------------------------------
[If answer is "N" (No), go to item 131.] Y/N
129. [ ] Is the issuer of any instrument covered in item 128 delinquent
or in default as to payment of principal or interest at the
end of the current period? (Y/N)
------------------------------
[If answer is "N" (No), go to item 131.] Y/N
130. [ ] In computations of NAV or offering price per unit, is any part
of the value attributed to instruments identified in item 129
derived from insurance or guarantees? (Y/N)
-------------------
Y/N
131. Total expenses incurred by all series of Registrant during the
current reporting period ($000's omitted) $24,626
-------------------
132.List the "811" (Investment Company Act of 1940) registration number for all
Series of Registrant that are being included in this filing:
-----------
811-09170