0001752724-23-057681.txt : 20230315 0001752724-23-057681.hdr.sgml : 20230315 20230315171051 ACCESSION NUMBER: 0001752724-23-057681 CONFORMED SUBMISSION TYPE: N-CEN PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20221231 FILED AS OF DATE: 20230315 DATE AS OF CHANGE: 20230315 EFFECTIVENESS DATE: 20230315 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Natixis ETF Trust CENTRAL INDEX KEY: 0001526787 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: N-CEN SEC ACT: 1940 Act SEC FILE NUMBER: 811-23146 FILM NUMBER: 23736112 BUSINESS ADDRESS: STREET 1: 888 BOYLSTON STREET STREET 2: 8TH FLOOR CITY: BOSTON STATE: MA ZIP: 02199 BUSINESS PHONE: 617-449-2810 MAIL ADDRESS: STREET 1: 888 BOYLSTON STREET STREET 2: 8TH FLOOR CITY: BOSTON STATE: MA ZIP: 02199 0001526787 S000060082 Natixis Loomis Sayles Short Duration Income ETF C000196706 Natixis Loomis Sayles Short Duration Income ETF LSST N-CEN 1 primary_doc.xml X0404 N-CEN LIVE 0001526787 XXXXXXXX 811-23146 false false false N-1A S000060082 C000196706 Natixis ETF Trust 811-23146 0001526787 549300G6FGV97Y95ZL43 888 BOYLSTON STREET Suite 800 BOSTON 02199-8197 US-MA US 617-449-2139 ALPS Distributors, Inc. 1290 Broadway Suite 1000 Denver 80203 303-623-2577 Records related to its function as Distributor Loomis, Sayles & Company, L.P. One Financial Center Boston 02111 617-482-2450 Records related to its function as Adviser Natixis Advisors, LLC 888 Boylston Street Boston 02199-8197 617-449-2139 Records related to its function as Administrator State Street Bank and Trust Company 1 Lincoln Street Boston 02110 617-786-3000 Custody and Accounting Records. N N N-1A 1 Y Richard A. Goglia N/A N Maureen B. Mitchell N/A N Cynthia L. Walker N/A N Edmond J. English N/A N Kevin P. Charleston N/A Y Erik R. Sirri N/A N James P. Palermo N/A N Wendell J. Knox N/A N Martin T. Meehan N/A N Peter J. Smail N/A N Kirk A. Sykes N/A N David L. Giunta 002290469 Y Natalie Wagner N/A 888 Boylston Street, Suite 800 Boston 02199-8197 XXXXXX N N N N N N N ALPS Distributors, Inc. 8-34626 000016853 0000000000 N N PricewaterhouseCoopers LLP 238 5493002GVO7EO8RNNS37 N N N N N N N Natixis Loomis Sayles Short Duration Income ETF S000060082 549300PEC4O5EVSNX247 N 0 0 0 Exchange-Traded Fund N N N N N/A N/A N/A Rule 6c-11 (17 CFR 270.6c-11) Rule 32a-4 (17 CFR 270.32a-4) Rule 10f-3 (17 CFR 270.10f-3) Rule 18f-4 (17 CFR 270.18f-4) Y Y Y N Natixis Advisors, LLC 801-48408 000106800 549300PSRHO2UJWZNJ04 N Loomis, Sayles & Company, L.P. 801-170 000105377 JIZPN2RX3UMNOYIDI313 Y N State Street Bank and Trust Company 85-05003 571474TGEMMWANRLN572 N N N The London Clearing House Limited F226TOH6YD6XJB17KS62 GB N Refinitiv US Holdings Inc. 549300NF240HXJO7N016 N Merrill Lynch Valuations LLC 54930015EWCI4VNCZP82 N ICE Data Services, Inc. 13-3668779 Tax ID N PricingDirect Inc. 549300WIC0TOJ7N7GD54 N IHS Markit Ltd. 549300HLPTRASHS0E726 GB N Bloomberg L.P. 549300B56MD0ZC402L06 N Chicago Mercantile Exchange Inc. SNZ2OJLFK8MNNCLQOF39 N N Clearstream Banking S.A. 549300OL514RA0SXJJ44 LU N Y Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7) J.P. Morgan Securities LLC ZBUT11V806EZRVTWT807 N Y Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6) State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N Y Natixis Advisors, LLC 549300PSRHO2UJWZNJ04 Y N N Fenchurch Advisory Partners LLP N/A N/A N/A GB 0.00000000 Natixis Investment Managers International N/A N/A 969500WCY7P9HOJNP063 FR 0.00000000 Natixis Investment Managers Securities Investment Consulting (Taipei) Co., Ltd. N/A N/A N/A TW 0.00000000 Natixis Investment Managers S.A. N/A N/A 5493004FNBJP406R4B02 LU 0.00000000 Loomis Sayles Distributors, L.P. 8-49575 000041795 N/A 0.00000000 Natixis Japan Securities Co., Ltd. N/A N/A 549300JX7L6CKP0SZF78 JP 0.00000000 Harris Associates Securities L.P. 8-19988 000006959 0000000000 0.00000000 Natixis Investment Managers UK Ltd N/A N/A N/A GB 0.00000000 BPCE N/A N/A 9695005MSX1OYEMGDF46 FR 0.00000000 Vega Investment Managers N/A N/A 969500O0FR2QWV4D6N39 FR 0.00000000 Clipperton Finance Limited (Paris, Paris, FR, Branch) N/A N/A N/A FR 0.00000000 Natixis Interepargne N/A N/A 969500K5E8ZEUGFEJ896 FR 0.00000000 Natixis Investment Managers Switzerland Sarl N/A N/A N/A CH 0.00000000 Natixis Tradex Solutions N/A N/A 969500OCY8KZTP2CB380 FR 0.00000000 Seeyond N/A N/A 969500AF5AUGHLMNWA05 FR 0.00000000 Natixis N/A N/A KX1WK48MPD4Y2NCUIZ63 FR 0.00000000 Natixis Asia Limited N/A N/A 549300FLVWNBJU1GUG93 HK 0.00000000 Solomon Partners Securities, LLC 8-43369 000028041 N/A 0.00000000 Natixis Securities Americas LLC 8-719 000001101 549300L8G1E7ZHVEOG75 0.00000000 Natixis Investment Managers Japan Co., Ltd. N/A N/A N/A JP 0.00000000 Natixis Investment Managers Hong Kong Limited N/A N/A N/A HK 0.00000000 Natixis Investment Managers Australia Pty Limited N/A N/A N/A AU 0.00000000 Ostrum Asset Management N/A N/A 969500YVSB0RNS7OCS11 FR 0.00000000 Natixis Distribution, LLC 8-46325 000034754 N/A 0.00000000 J.P. Morgan Securities LLC 8-35008 000000079 ZBUT11V806EZRVTWT807 1499.44000000 1499.44000000 Barclays Capital Inc. 8-41342 000019714 AC28XWWI3WIBK2824319 6831208.18000000 Goldman Sachs & Co. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 14658572.00000000 State Street Bank and Trust Company N/A N/A 571474TGEMMWANRLN572 179095325.50000000 J.P. Morgan Securities LLC 8-35008 000000079 ZBUT11V806EZRVTWT807 18329956.94000000 Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 13068407.70000000 Morgan Stanley & Co. LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 13449478.46000000 Wells Fargo Securities, LLC 8-65876 000126292 VYVVCKR63DVZZN70PB21 6181015.83000000 BofA Securities, Inc. 8-69787 000283942 549300HN4UKV1E2R3U73 10618260.50000000 BNP Paribas Securities Corp. 8-32682 000015794 RCNB6OTYUAMMP879YW96 6998706.42000000 Deutsche Bank Securities Inc. 8-17822 000002525 9J6MBOOO7BECTDTUZW19 8246820.87000000 314830014.61000000 N 40772012.81384615 Committed 500000000.00000000 N N N Natixis Loomis Sayles Short Duration Income ETF S000060082 N 50000.00000000 100.00000000 0.00000000 0.00000000 0.00000000 100.00000000 0.00000000 0.00000000 0.00000000 0.00000000 100.00000000 0.07999987 0.00000000 100.00000000 0.07999987 0.00000000 100.00000000 0.02000003 0.00000000 100.00000000 0.02000003 N true INTERNAL CONTROL RPT 2 NCEN_811-23146_70587987_1222.htm n-cennatixisetftrust2022_1.htm - Generated by SEC Publisher for SEC Filing

Report of Independent Registered Public Accounting Firm

 

To the Board of Trustees and Shareholders of Natixis ETF Trust:

 

In planning and performing our audit of the financial statements of Natixis Loomis Sayles Short Duration Income ETF, a series of Natixis ETF Trust (the “Fund”) as of and for the year ended December 31, 2022 in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), we considered the Fund’s internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Fund’s internal control over financial reporting. Accordingly, we do not express an opinion on the effectiveness of the Fund’s internal control over financial reporting.

 

The management of the Fund is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A fund’s internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A fund’s internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the fund; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the fund are being made only in accordance with authorizations of management and trustees of the fund; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a fund’s assets that could have a material effect on the financial statements.

 

Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.

 

A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the Fund's annual or interim financial statements will not be prevented or detected on a timely basis.

 

Our consideration of the Fund’s internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control over financial reporting that might be material weaknesses under standards established by the PCAOB. However, we noted no deficiencies in the Fund’s internal control over financial reporting and its operation, including controls over safeguarding securities, that we consider to be material weaknesses as defined above as of December 31, 2022.

 

This report is intended solely for the information and use of the Board of Trustees of Natixis ETF Trust and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.

 

/s/PricewaterhouseCoopers LLP

 

February 22, 2023

PricewaterhouseCoopers LLP, 101 Seaport Boulevard, Suite 500, Boston, MA 02210 T: (617) 530 5000, www.pwc.com/us