0001104659-17-058766.txt : 20170926 0001104659-17-058766.hdr.sgml : 20170926 20170926103157 ACCESSION NUMBER: 0001104659-17-058766 CONFORMED SUBMISSION TYPE: 8-A12B PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20170926 DATE AS OF CHANGE: 20170926 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Hartford Funds Exchange-Traded Trust CENTRAL INDEX KEY: 0001501825 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 8-A12B SEC ACT: 1934 Act SEC FILE NUMBER: 001-38039 FILM NUMBER: 171101154 BUSINESS ADDRESS: STREET 1: 690 LEE ROAD CITY: WAYNE STATE: PA ZIP: 19087 BUSINESS PHONE: 610-386-1844 MAIL ADDRESS: STREET 1: 690 LEE ROAD CITY: WAYNE STATE: PA ZIP: 19087 FORMER COMPANY: FORMER CONFORMED NAME: Hartford Active Exchange-Traded Fund Trust DATE OF NAME CHANGE: 20100921 8-A12B 1 a17-22503_18a12b.htm 8-A12B

 

 

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

 

 

HARTFORD FUNDS EXCHANGE-TRADED TRUST

(Exact name of registrant as specified in its charter)

 

 

State of Delaware

 

See Below

(State of incorporation
or organization)

 

(I.R.S. Employer
Identification No.)

 

690 Lee Road

Wayne, Pennsylvania 19087

(Address of principal executive offices)

 

 

Securities to be registered pursuant to Section 12(b) of the Act:

 

Title of Each Class
to be so Registered

 

Name of the Exchange on which Each Class is to be so
Registered

 

I.R.S. Employer
Identification
Number

Shares of beneficial interest, no par value per share, of:

 

 

 

 

Hartford Municipal Opportunities ETF

 

NYSE Arca, Inc.

 

82-1911110

Hartford Schroders Tax-Aware Bond ETF

 

NYSE Arca, Inc.

 

82-1959543

Hartford Total Return Bond ETF

 

NYSE Arca, Inc.

 

82-1059347

 

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), 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), check the following box.  o

 

Securities Act registration statement file number to which this form relates: 333-215165

 

Securities to be registered pursuant to Section 12(g) of the Exchange Act: None.

 

 

 


 

INFORMATION REQUIRED IN REGISTRATION STATEMENT

 

Item 1. Description of Registrant’s Securities to be Registered.

 

A description of the shares of beneficial interest of each of Hartford Municipal Opportunities ETF and Hartford Schroders Tax-Aware Bond ETF, each a series of Hartford Funds Exchange-Traded Trust (the “Trust”) to be registered hereunder, is set forth in Post-Effective Amendments No. 8 and 9, respectively, to the Trust’s Registration Statement on Form N-1A (Commission File Nos. 333-215165; 811-23222) filed on September 11, 2017, which description is incorporated herein by reference as filed with the Securities and Exchange Commission.  A description of the shares of beneficial interest of Hartford Total Return Bond ETF, a series of Trust to be registered hereunder, is set forth in Post-Effective Amendment No. 10 to the Trust’s Registration Statement on Form N-1A (Commission File Nos. 333-215165; 811-23222) filed on September 15, 2017, which description is incorporated herein by reference as filed with the Securities and Exchange Commission.  Any form of amendment or supplement to the registration statement that is subsequently filed is hereby also incorporated by reference herein.

 

Item 2. Exhibits.

 

1. The Trust’s Certificate of Trust is included as Exhibit (a)(i) to Pre-Effective Amendment No. 1 to the Trust’s Registration Statement on Form N-1A (File No. 333-215165), as filed with the Securities and Exchange Commission on March 10, 2017.

 

2. The Trust’s Certificate of Amendment to the Certificate of Trust is included as Exhibit (a)(ii) to Pre-Effective Amendment No. 1 to the Trust’s Registration Statement on Form N-1A (File No. 333-215165), as filed with the Securities and Exchange Commission on March 10, 2017.

 

3.  The Trust’s Amended and Restated Agreement and Declaration of Trust is included as Exhibit (a)(iii) to Pre-Effective Amendment No. 1 to the Trust’s Registration Statement on Form N-1A (File No. 333-215165), as filed with the Securities and Exchange Commission on March 10, 2017.

 

4. The Trust’s By-Laws are included as Exhibit (b) to Pre-Effective Amendment No. 1 to Pre-Effective Amendment No. 1 to the Trust’s Registration Statement on Form N-1A (File No. 333-215165), as filed with the Securities and Exchange Commission on March 10, 2017.

 

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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, as of this 26th day of September, 2017.

 

 

 

HARTFORD FUNDS EXCHANGE-TRADED TRUST

 

 

 

 

By:

/s/ Alice A. Pellegrino

 

Name:

Alice A. Pellegrino

 

Title:

Secretary and Vice President

 

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