Location books Record:
1 |
a. Name of person (e.g., a custodian of records) | Channing Global Advisors, LLC |
b. Street 1 | 801 Brickell Avenue |
Street 2 | Suite 800 |
c. City | Miami |
d. State, if applicable |
FLORIDA
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 33131 |
g. Telephone number (including country code if foreign) | 305-901-5315 |
h. Briefly describe the books and records kept at this location:
| Records relating to its function as investment sub-adviser. |
Location books Record:
2 |
a. Name of person (e.g., a custodian of records) | The Bank of New York Mellon |
b. Street 1 | 240 Greenwich Street |
Street 2 | |
c. City | New York |
d. State, if applicable |
NEW YORK
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 10286 |
g. Telephone number (including country code if foreign) | 212-495-1784 |
h. Briefly describe the books and records kept at this location:
| Records relating to its function as administrator, custodian and transfer agent. |
Location books Record:
3 |
a. Name of person (e.g., a custodian of records) | Zevin Asset Management, LLC |
b. Street 1 | 2 Oliver Street |
Street 2 | Suite 806 |
c. City | Boston |
d. State, if applicable |
MASSACHUSETTS
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 02109 |
g. Telephone number (including country code if foreign) | 617-742-6666 |
h. Briefly describe the books and records kept at this location:
| Records relating to its function as investment sub-adviser. |
Location books Record:
4 |
a. Name of person (e.g., a custodian of records) | Emerge Capital Management Inc. |
b. Street 1 | 500 Pearl St. |
Street 2 | SUITE 740 |
c. City | Buffalo |
d. State, if applicable |
NEW YORK
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 14202 |
g. Telephone number (including country code if foreign) | 716-970-4512 |
h. Briefly describe the books and records kept at this location:
| Records relating to its function as Registrant and investment adviser. |
Location books Record:
5 |
a. Name of person (e.g., a custodian of records) | Catherine Avery Investment Management LLC |
b. Street 1 | 595 Bay Isles Road |
Street 2 | Suite 210 |
c. City | LongBoat Key |
d. State, if applicable |
FLORIDA
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 34228 |
g. Telephone number (including country code if foreign) | 941 388-7249 |
h. Briefly describe the books and records kept at this location:
| Records relating to its functions as investment sub-adviser |
Location books Record:
6 |
a. Name of person (e.g., a custodian of records) | Grace Capital |
b. Street 1 | 400 Crown Colony Drive |
Street 2 | Suite 101 |
c. City | Quincy |
d. State, if applicable |
MASSACHUSETTS
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 02169 |
g. Telephone number (including country code if foreign) | 617-921-6591 |
h. Briefly describe the books and records kept at this location:
| Records relating to its function as investment sub-adviser. |
Location books Record:
7 |
a. Name of person (e.g., a custodian of records) | ALPS Distributors, Inc. |
b. Street 1 | 1290 Broadway |
Street 2 | Suite 1000 |
c. City | Denver |
d. State, if applicable |
COLORADO
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 80203 |
g. Telephone number (including country code if foreign) | 866-759-5679 |
h. Briefly describe the books and records kept at this location:
| Records relating to its function as principal underwriter. |
a. Open-end management investment company registered under the
Act on Form N-1A
i. Total number of Series of the Registrant | |
ii. If a Series of the Registrant with a fiscal year end covered by the report was terminated during the reporting period, provide the following information:
|
Terminated Organization Record:
1 |
i. Name of the Series | Emerge EMPWR Sustainable Select Growth Equity ETF |
ii. Series identification number | |
iii. Date of termination (month/year) | |
ii. If a Series of the Registrant with a fiscal year end covered by the report was terminated during the reporting period, provide the following information:
|
Terminated Organization Record:
2 |
i. Name of the Series | Emerge EMPWR Unified Sustainable Equity ETF |
ii. Series identification number | |
iii. Date of termination (month/year) | |
ii. If a Series of the Registrant with a fiscal year end covered by the report was terminated during the reporting period, provide the following information:
|
Terminated Organization Record:
3 |
i. Name of the Series | Emerge EMPWR Sustainable Emerging Markets Equity ETF |
ii. Series identification number | |
iii. Date of termination (month/year) | |
ii. If a Series of the Registrant with a fiscal year end covered by the report was terminated during the reporting period, provide the following information:
|
Terminated Organization Record:
4 |
i. Name of the Series | Emerge EMPWR Sustainable Global Core Equity ETF |
ii. Series identification number | |
iii. Date of termination (month/year) | |
ii. If a Series of the Registrant with a fiscal year end covered by the report was terminated during the reporting period, provide the following information:
|
Terminated Organization Record:
5 |
i. Name of the Series | Emerge EMPWR Sustainable Dividend Equity ETF |
ii. Series identification number | |
iii. Date of termination (month/year) | |
b. Closed-end management investment company registered under
the Act on Form N-2
c. Separate account offering variable annuity contracts which
is registered under the Act as a management investment company on
Form N-3
d. Separate account offering variable annuity contracts which
is registered under the Act as a unit investment trust on Form
N-4
e. Small business investment company registered under the Act
on Form N-5
f. Separate account offering variable insurance contracts
which is registered under the Act as a unit investment trust on
Form N-6
g. Unit investment trust registered under the Act on Form
N-8B-2
Director Record:
1 |
a. Full Name | Kristina Pappas Crisci |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |
Director Record:
2 |
a. Full Name | Temina Lalani-Shariff |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |
Director Record:
3 |
a. Full Name | Andrea Alms |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |
Director Record:
4 |
a. Full Name | Lisa Lake Langley |
b. CRD number, if any | 000284581 |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |