0001193125-24-029353.txt : 20240209 0001193125-24-029353.hdr.sgml : 20240209 20240209091927 ACCESSION NUMBER: 0001193125-24-029353 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20240209 DATE AS OF CHANGE: 20240209 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Global X Funds CENTRAL INDEX KEY: 0001432353 ORGANIZATION NAME: IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-85039 FILM NUMBER: 24611824 BUSINESS ADDRESS: STREET 1: 605 THIRD AVENUE STREET 2: 43RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10158 BUSINESS PHONE: (212) 644-6110 MAIL ADDRESS: STREET 1: 605 THIRD AVENUE STREET 2: 43RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10158 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PNC FINANCIAL SERVICES GROUP, INC. CENTRAL INDEX KEY: 0000713676 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] ORGANIZATION NAME: 02 Finance IRS NUMBER: 251435979 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: THE TOWER AT PNC PLAZA STREET 2: 300 FIFTH AVENUE CITY: PITTSBURGH STATE: PA ZIP: 15222-2401 BUSINESS PHONE: 888-762-2265 MAIL ADDRESS: STREET 1: THE TOWER AT PNC PLAZA STREET 2: 300 FIFTH AVENUE CITY: PITTSBURGH STATE: PA ZIP: 15222-2401 FORMER COMPANY: FORMER CONFORMED NAME: PNC FINANCIAL SERVICES GROUP INC DATE OF NAME CHANGE: 20000327 FORMER COMPANY: FORMER CONFORMED NAME: PNC BANK CORP DATE OF NAME CHANGE: 19930505 FORMER COMPANY: FORMER CONFORMED NAME: PNC BANK CORP /PA/ DATE OF NAME CHANGE: 19930428 SC 13G/A 1 d745731dsc13ga.htm SC 13G/A SC 13G/A

 

 

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

SCHEDULE 13G/A

UNDER THE SECURITIES EXCHANGE ACT OF 1934

(AMENDMENT NO. 1)

 

 

Global X Fintech Thematic ETF

(Name of Issuer)

Exchange-Traded Fund

(Title of Class of Securities)

37954Y814

(CUSIP Number)

December 31, 2023

(Date of Event Which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

☒

Rule 13d-1(b)

 

☐

Rule 13d-1(c)

 

☐

Rule 13d-1(d)

 

 

 

CUSIP No. 37954Y814       Page 2 of 9 Pages

 

 1)   

 Names of Reporting Persons

 IRS Identification No. Of Above Persons

 

 The PNC Financial Services Group, Inc. 25-1435979

 2)  

 Check the Appropriate Box if a Member of a Group (See Instructions)

 a) ☐  b) ☐

 

 3)  

 SEC USE ONLY

 

 4)  

 Citizenship or Place of Organization

 

 Pennsylvania

Number of

Shares  Beneficially 

Owned By

Each

Reporting

Person

With

    5)   

 Sole Voting Power

 

 932,460

   6)  

 Shared Voting Power

 

 -0-

   7)  

 Sole Dispositive Power

 

 668,985

   8)  

 Shared Dispositive Power

 

 268,303

 9)   

 Aggregate Amount Beneficially Owned by Each Reporting Person

 

 937,288

10)  

 Check if the Aggregate Amount in Row (9) Excludes Certain Shares See Instructions

 

 ☐

11)  

 Percent of Class Represented by Amount in Row (9)

 

 5.95

12)  

 Type of Reporting Person (See Instructions)

 

 HC

CUSIP No. 37954Y814       Page 3 of 9 Pages

 

 1)   

 Names of Reporting Persons

 IRS Identification No. Of Above Persons

 

 PNC Bank, National Association 22-1146430

 2)  

 Check the Appropriate Box if a Member of a Group (See Instructions)

 a) ☐  b) ☐

 

 3)  

 SEC USE ONLY

 

 4)  

 Citizenship or Place of Organization

 

 United States

Number of

Shares  Beneficially 

Owned By

Each

Reporting

Person

With

    5)   

 Sole Voting Power

 

 925,875

   6)  

 Shared Voting Power

 

 -0-

   7)  

 Sole Dispositive Power

 

 663,166

   8)  

 Shared Dispositive Power

 

 267,537

 9)   

 Aggregate Amount Beneficially Owned by Each Reporting Person

 

 930,703

10)  

 Check if the Aggregate Amount in Row (9) Excludes Certain Shares See Instructions

 

 ☐

11)  

 Percent of Class Represented by Amount in Row (9)

 

 5.91

12)  

 Type of Reporting Person (See Instructions)

 

 BK

CUSIP No. 37954Y814       Page 4 of 9 Pages

 

 1)   

 Names of Reporting Persons

 IRS Identification No. Of Above Persons

 

 PNC Delaware Trust Company 81-0581990

 2)  

 Check the Appropriate Box if a Member of a Group (See Instructions)

 a) ☐  b) ☐

 

 3)  

 SEC USE ONLY

 

 4)  

 Citizenship or Place of Organization

 

 Delaware

Number of

Shares  Beneficially 

Owned By

Each

Reporting

Person

With

    5)   

 Sole Voting Power

 

 6,099

   6)  

 Shared Voting Power

 

 -0-

   7)  

 Sole Dispositive Power

 

 5,333

   8)  

 Shared Dispositive Power

 

 766

 9)   

 Aggregate Amount Beneficially Owned by Each Reporting Person

 

 6,099

10)  

 Check if the Aggregate Amount in Row (9) Excludes Certain Shares See Instructions

 

 ☐

11)  

 Percent of Class Represented by Amount in Row (9)

 

 0.04

12)  

 Type of Reporting Person (See Instructions)

 

 BK

CUSIP No. 37954Y814       Page 5 of 9 Pages

 

 1)   

 Names of Reporting Persons

 IRS Identification No. Of Above Persons

 

 PNC Ohio Trust Company 81-0991531

 2)  

 Check the Appropriate Box if a Member of a Group (See Instructions)

 a) ☐  b) ☐

 

 3)  

 SEC USE ONLY

 

 4)  

 Citizenship or Place of Organization

 

 Ohio

Number of

Shares  Beneficially 

Owned By

Each

Reporting

Person

With

    5)   

 Sole Voting Power

 

 486

   6)  

 Shared Voting Power

 

 -0-

   7)  

 Sole Dispositive Power

 

 486

   8)  

 Shared Dispositive Power

 

 -0-

 9)   

 Aggregate Amount Beneficially Owned by Each Reporting Person

 

 486

10)  

 Check if the Aggregate Amount in Row (9) Excludes Certain Shares See Instructions

 

 ☐

11)  

 Percent of Class Represented by Amount in Row (9)

 

 Less than 0.01

12)  

 Type of Reporting Person (See Instructions)

 

 BK

      Page 6 of 9 Pages

 

ITEM 1(a) - NAME OF ISSUER:

Global X Fintech Thematic ETF

ITEM 1(b) - ADDRESS OF ISSUER’S PRINCIPAL EXECUTIVE OFFICES:

c/o Global X Funds

600 Lexington Avenue, 20th Floor

New York, New York 10022

ITEM 2(a) - NAME OF PERSON FILING:

The PNC Financial Services Group, Inc.; PNC Bank, National

Association; PNC Delaware Trust Company; and PNC Ohio Trust Company

ITEM 2(b) - ADDRESS OF PRINCIPAL BUSINESS OFFICE:

The PNC Financial Services Group, Inc. - 300 Fifth Avenue, Pittsburgh, PA 15222-2401

PNC Bank, National Association - 300 Fifth Avenue, Pittsburgh, PA 15222-2401

PNC Delaware Trust Company - 222 Delaware Avenue, Wilmington, DE 19801

PNC Ohio Trust Company - 1900 East 9th Street, Cleveland, OH 44114

ITEM 2(c) - CITIZENSHIP:

The PNC Financial Services Group, Inc. - Pennsylvania

PNC Bank, National Association - United States

PNC Delaware Trust Company - Delaware

PNC Ohio Trust Company - Ohio

ITEM 2(d) - TITLE OF CLASS OF SECURITIES:

Exchange-Traded Fund

ITEM 2(e) - CUSIP NUMBER:

37954Y814

ITEM 3 - IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b), OR 13d-2(b), CHECK WHETHER THE PERSON FILING IS A:

 

(a)    ☐    Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
(b)    ☒    Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
(c)    ☐    Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
(d)    ☐    Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
(e)    ☐    An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
(f)    ☐    An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
(g)    ☒    A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
(h)    ☐    A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
(i)    ☐    A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3);
(j)    ☐    A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);
(k)    ☐    Group, in accordance with § 240.13d-1(b)(1)(ii)(K).

      Page 7 of 9 Pages

 

ITEM 4 - OWNERSHIP:

The following information is as of December 31, 2023:

 

(a) Amount Beneficially Owned:

      937,288  

(b) Percent of Class:

      5.95  

(c) Number of fund shares to which such person has:

   

(i) sole power to vote or to direct the vote

      932,460  

(ii) shared power to vote or to direct the vote

      -0-  

(iii) sole power to dispose or to direct the disposition of

      668,985  

(iv) shared power to dispose or to direct the disposition of

      268,303  

Of the total fund shares reported herein, 930,703 are held in accounts at PNC Bank, National Association in a fiduciary capacity for clients.

Of the total fund shares reported herein, 6,099 are held in accounts at PNC Delaware Trust Company in a fiduciary capacity for clients.

Of the total fund shares reported herein, 486 are held in accounts at PNC Ohio Trust Company in a fiduciary capacity for clients.

The inclusion of the reporting persons and such securities in this report shall not be deemed an admission of beneficial ownership by the reporting persons for the purposes of Section 13(d) or 13(g) of the Act, or for any other purposes.

ITEM 5 - OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS:

Not Applicable.

ITEM 6 - OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON:

Not Applicable.

ITEM 7 - IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY:

Included are the following subsidiaries of The PNC Financial Services Group, Inc. - HC:

PNC Bank, National Association - BK

PNC Delaware Trust Company - BK

PNC Ohio Trust Company - BK

ITEM 8 - IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP:

Not Applicable.

ITEM 9 - NOTICE OF DISSOLUTION OF GROUP:

Not Applicable.

      Page 8 of 9 Pages

 

ITEM 10 - CERTIFICATION:

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

February 9, 2024     February 9, 2024
Date     Date
By:  

/s/ Gregory H. Kozich

     By:  

/s/ Joshua Ott

Signature - The PNC Financial Services Group, Inc.     Signature - PNC Delaware Trust Company
Gregory H. Kozich, Senior Vice President & Controller     Joshua Ott, Fiduciary Market Director
Name & Title     Name & Title
February 9, 2024    

February 9, 2024

Date     Date
By:  

/s/ Gregory H. Kozich

     By:  

/s/ John Shockley

Signature - PNC Bank, National Association     Signature - PNC Ohio Trust Company
Gregory H. Kozich, Executive Vice President & Controller     John Shockley, President
Name & Title     Name & Title

AN AGREEMENT TO FILE A JOINT STATEMENT

IS INCLUDED HEREWITH AS EXHIBIT A

EX-99.A 2 d745731dex99a.htm EX-99.A EX-99.A
      Page 9 of 9 Pages

 

EXHIBIT A

AGREEMENT

February 9, 2024

The undersigned hereby agree to file a joint statement on Schedule 13G under the Securities and Exchange Act of 1934, as amended (the “Act”) with respect to the fund shares issued by Global X Fintech Thematic ETF.

Each of the undersigned states that it is entitled to individually use Schedule 13G pursuant to Rule 13d-1(b) of the Act.

Each of the undersigned is responsible for the timely filing of the statement and any amendments thereto, and for the completeness and accuracy of the information concerning each of them contained therein but none is responsible for the completeness or accuracy of the information concerning the others.

This Agreement applies to any amendments to this Schedule 13G.

 

THE PNC FINANCIAL SERVICES GROUP, INC.
BY:  

/s/ Gregory H. Kozich

  Gregory H. Kozich, Senior Vice President & Controller
PNC BANK, NATIONAL ASSOCIATION
BY:  

/s/ Gregory H. Kozich

  Gregory H. Kozich, Executive Vice President & Controller
PNC DELAWARE TRUST COMPANY
BY:  

/s/ Joshua Ott

  Joshua Ott, Fiduciary Market Director
PNC OHIO TRUST COMPANY
BY:  

/s/ John Shockley

  John Shockley, President