-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, KmyP1R5ennWqVFTmvjWxJdJ6KKhICzkSJyoxWwp/YR8UOt1M2Dff+p596hvTAY0o pOihKW01O1WfxXI9Cm9y7w== 0000902561-02-000624.txt : 20021212 0000902561-02-000624.hdr.sgml : 20021212 20021212142427 ACCESSION NUMBER: 0000902561-02-000624 CONFORMED SUBMISSION TYPE: N-8A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20021212 EFFECTIVENESS DATE: 20021212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: POWERSHARES EXCHANGE TRADED FUND TRUST CENTRAL INDEX KEY: 0001209466 FILING VALUES: FORM TYPE: N-8A SEC ACT: 1940 Act SEC FILE NUMBER: 811-21265 FILM NUMBER: 02855610 MAIL ADDRESS: STREET 1: 227 E PRAIRIE AVE CITY: WHEATON STATE: IL ZIP: 60187 N-8A 1 formn-8a_houck121202.txt FORM N-8A SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM N-8A NOTIFICATION OF REGISTRATION FILED PURSUANT TO SECTION 8(a) OF THE INVESTMENT COMPANY ACT OF 1940 The undersigned investment company hereby notifies the Securities and Exchange Commission that it registers under and pursuant to the provisions of Section 8(a) of the Investment Company Act of 1940 and in connection with such notification of registration submits the following information: - -------------------------------------------------------------------------------- Name: PowerShares Exchange-Traded Fund Trust Address of Principal Business Office (No. & Street, City, State, Zip Code): 227 E. Prairie Avenue, Wheaton, Illinois 60187 Telephone Number (including area code): (630) 933-9600 Name and address of agent for service of process: Harold Bruce Bond, 227 E. Prairie Avenue, Wheaton, Illinois 60187 Check Appropriate Box: Registrant is filing a Registration Statement pursuant to Section 8(b) of the Investment Company Act of 1940 concurrently with the filing of Form N-8A: Yes [] No [X] Item 1. Exact name of registrant. PowerShares Exchange-Traded Fund Trust Item 2. Name of state under the laws of which registrant was organized or created and the date of such organization or creation. Registrant was organized under the laws of the Commonwealth of Massachusetts on June 23, 2000. Item 3. Form of organization of registrant (for example, corporation, partnership, trust, joint stock company, association, fund). Business Trust Item 4. Classification of registrant (face amount certificate company, unit investment trust, or management company). Registrant is a management company. Item 5. If registrant is a management company: (a) state whether registrant is a "closed-end" company or an "open-end" company; Registrant is registering as an open-end company. (b) state whether registrant is registering as a "diversified" company or a "non-diversified" company (read instruction 4(i) carefully before replying). Registrant is registering as a diversified company. Item 6. Name and address of each investment adviser of registrant. Leviathan Securities LLC 227 E. Prairie Avenue Wheaton, Illinois 60187 -2- Item 7. If registrant is an investment company having a board of directors, state the name and address of each officer and director of the registrant. Ranga Nathan Trustee; Secretary 227 E. Prairie Avenue Wheaton, Illinois 60187 Harold Bruce Bond Trustee; President 227 E. Prairie Avenue Wheaton, Illinois 60187 Currently, not all of the positions on the board have been filled, there are three (3) vacancies. Item 8. If registrant is an unincorporated investment company not having a board of directors: (a) State the name and address of each sponsor of registrant; NOT APPLICABLE. (b) State the name and address of each officer and director of each sponsor of registrant; NOT APPLICABLE. (c) State the name and address of each trustee and each custodian of registrant. NOT APPLICABLE. Item 9. (a) State whether registrant is currently issuing and offering its securities directly to the public (yes or no). No. (b) If registrant is currently issuing and offering its securities to the public through an underwriter, state the name and address of such underwriter. NOT APPLICABLE. (c) If the answer to Item 9(a) is "no" and the answer to Item 9(b) is "not applicable," state whether registrant presently proposes to make a public offering of its securities (yes or no). Yes. (d) State whether registrant has any securities currently issued and outstanding (yes or no). No. -3- (e) If the answer to Item 9(d) is "yes," state as of a date not to exceed ten days prior to the filing of this notification of registration the number of beneficial owners of registrant's outstanding securities (other than short-term paper) and the name of any company owning 10 percent or more of registrant's outstanding voting securities. NOT APPLICABLE. Item 10. State the current value of registrant's total assets. Zero (0). Item 11. State whether registrant has applied or intends to apply for a license to operate as a small business investment company under the Small Business Investment Act of 1958 (yes or no). No. Item 12. Attach as an exhibit a copy of registrant's last regular periodic report to its security holders, if any. NOT APPLICABLE. -4- SIGNATURES Pursuant to the requirements of the Investment Company Act of 1940, the registrant has caused this notification of registration to be duly signed on its behalf in the City of Wheaton and the State of Illinois on the 27th day of November, 2002. PowerShares Exchange-Traded Fund Trust By: /s/ Harold Bruce Bond ----------------------------------- Attest: /s/ John W. Southard ----------------------- By: John W. Southard Title: Managing Director -5- -----END PRIVACY-ENHANCED MESSAGE-----