Basic Stats
| CIK | 1747688 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Pacer Funds Trust - Pacer Pacific Asset Floating Rate High Income ETF
SEC Filings (Chronological Order)
This page provides a complete, chronological list of SEC Filings, excluding ownership filings which we provide elsewhere.
| April 5, 2022 |
N-8F/A 1 tm2211417d1n8fa.htm N-8F/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-8F/A First Amendment to Application for Deregistration of Certain Registered Investment Companies I. General Identifying Information 1. Reason fund is applying to deregister (check only one; for descriptions, see Instruction 1 above): xMerger ¨Liquidation ¨Abandonment of Registration |
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| January 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-8F Application for Deregistration of Certain Registered Investment Companies. I. General Identifying Information 1. Reason fund is applying to deregister (check only one; for descriptions, see Instruction 1 above): x Merger ? Liquidation ? Abandonment of Registration (Note: Abandonments of Registration answer only quest |
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| November 29, 2021 |
PACIFIC GLOBAL ETFs PACIFIC GLOBAL SENIOR LOAN ETF Portfolio of Investments September 30, 2021 (Unaudited) Security Description Principal Amount Fair Value BANK LOANS - 79. |
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| October 25, 2021 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE Arca hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on November 05, 2021, pursuant to the provisions of Rule 12d2-2 (a). |
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| August 5, 2021 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE Arca hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on August 16, 2021, pursuant to the provisions of Rule 12d2-2 (a). |
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| May 27, 2021 |
PACIFIC GLOBAL ETFs PACIFIC GLOBAL FOCUSED HIGH YIELD ETF Portfolio of Investments March 31, 2021 (Unaudited) Security Description Principal Amount Fair Value CORPORATE BONDS - 95. |
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| May 27, 2021 |
PACIFIC GLOBAL ETFs PACIFIC GLOBAL SENIOR LOAN ETF Portfolio of Investments March 31, 2021 (Unaudited) Security Description Principal Amount Fair Value BANK LOANS - 88. |
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| February 5, 2021 |
February 5, 2021 Jacob Sandoval CFA, CPA/ABV, CAIA Branch Chief U.S. Securities and Exchange Commission Division of Investment Management, Disclosure Review and Accounting Office Office of Disclosure and Review 100 F. Street, N.E. Washington, DC 20549 Re: Pacific Global ETF Trust (File Nos. 333-227097 and 811-23376) Dear Mr. Sandoval: On January 8, 2021, you provided verbal comments to me with res |
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| November 13, 2020 |
PACIFIC GLOBAL ETFs PACIFIC GLOBAL SENIOR LOAN ETF Portfolio of Investments September 30, 2020 (Unaudited) Security Description Principal Amount Fair Value BANK LOANS - 88. |
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| November 13, 2020 |
PACIFIC GLOBAL ETFs PACIFIC GLOBAL FOCUSED HIGH YIELD ETF Portfolio of Investments September 30, 2020 (Unaudited) Security Description Principal Amount Fair Value CORPORATE BONDS - 79. |
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| November 13, 2020 |
PACIFIC GLOBAL ETFs PACIFIC GLOBAL US EQUITY INCOME ETF Portfolio of Investments September 30, 2020 (Unaudited) Security Description Shares Fair Value COMMON STOCKS - 99. |
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| November 13, 2020 |
PACIFIC GLOBAL ETFs PACIFIC GLOBAL INTERNATIONAL EQUITY INCOME ETF Portfolio of Investments September 30, 2020 (Unaudited) Security Description Shares Fair Value COMMON STOCKS - 98. |
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| October 30, 2020 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE Arca hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on November 10, 2020, pursuant to the provisions of Rule 12d2-2 (a). |
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| October 30, 2020 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE Arca hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on November 10, 2020, pursuant to the provisions of Rule 12d2-2 (a). |
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| August 27, 2020 |
PACIFIC GLOBAL ETFs PACIFIC GLOBAL SENIOR LOAN ETF Portfolio of Investments March 31, 2020 (Unaudited) Security Description Principal Amount Fair Value BANK LOANS - 80. |
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| May 29, 2020 |
PACIFIC GLOBAL ETFs PACIFIC GLOBAL SENIOR LOAN ETF Portfolio of Investments March 31, 2020 (Unaudited) Security Description Principal Amount Fair Value BANK LOANS - 80. |
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| May 29, 2020 |
PACIFIC GLOBAL ETFs PACIFIC GLOBAL US EQUITY INCOME ETF Portfolio of Investments March 31, 2020 (Unaudited) Security Description Shares Fair Value COMMON STOCKS - 99. |
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| May 29, 2020 |
PACIFIC GLOBAL ETFs PACIFIC GLOBAL INTERNATIONAL EQUITY INCOME ETF Portfolio of Investments March 31, 2020 (Unaudited) Security Description Shares Fair Value COMMON STOCKS - 97. |
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| May 29, 2020 |
PACIFIC GLOBAL ETFs PACIFIC GLOBAL FOCUSED HIGH YIELD ETF Portfolio of Investments March 31, 2020 (Unaudited) Security Description Principal Amount Fair Value CORPORATE BONDS - 78. |
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| December 16, 2019 |
USDY / Pacific Global US Equity Income ETF 8-A12B - - 8-A12B FORM 8-A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 PACIFIC GLOBAL ETF TRUST (Exact name of registrant as specified in its charter) Delaware See below (State of incorporation or organization) (I.R.S. Employer Identification No.) 840 Newport Center D |
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| November 8, 2019 |
As filed with the Securities and Exchange Commission on November 8, 2019 N-14 1 a19-221611n14.htm INITIAL REGISTRATION STATEMENT FOR OPEN-END INVESTMENT COMPANY As filed with the Securities and Exchange Commission on November 8, 2019 Securities Act File No. 333-[ ] SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 x Pre-Effective Amendment No. o Post-Effective Amendment No. o PACIFIC GLOBAL ETF T |
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| November 8, 2019 |
EX-99.B(12) 6 a19-221611ex99db12.htm EX-99.B(12) Exhibit B(12) Form of Tax Opinion , 20 AdvisorShares Trust 4800 Montgomery Lane, Suite 150 Bethesda, MD 20814 Pacific Global ETF Trust 840 Newport Center Drive, 7th Floor Newport Beach, CA 92660 Re: AGREEMENT AND PLAN OF REORGANIZATION, DATED AS OF , 20 (THE “AGREEMENT”), AMONG ADVISORSHARES TRUST (THE “AS TRUST”) ON BEHALF OF ITS INVESTMENT PORTFOL |
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| November 8, 2019 |
PACIFIC GLOBAL ETF TRUST FIRST AMENDMENT TO THE SUBADVISORY AGREEMENT Exhibit (6)(v) PACIFIC GLOBAL ETF TRUST FIRST AMENDMENT TO THE SUBADVISORY AGREEMENT THIS AMENDMENT, dated as of November 1, 2019, to the Subadvisory Agreement, is entered into by and between PACIFIC GLOBAL ADVISORS LLC, a Delaware limited liability company (the ?Manager?), and PACIFIC LIFE FUND ADVISORS LLC, D/B/A PACIFIC ASSET MANAGEMENT, a Delaware limited liability company (the ?Subadviser?). |
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| November 8, 2019 |
PACIFIC GLOBAL ETFs PACIFIC GLOBAL US EQUITY INCOME ETF Portfolio of Investments September 30, 2019 (Unaudited) Security Description Shares Fair Value COMMON STOCKS - 99. |
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| November 8, 2019 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.B(14)(I) 7 a19-221611ex99db14i.htm EX-99.B(14)(I) Exhibit (14)(i) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Registration Statement on Form N-14 of Pacific Global ETF Trust and to the use of our report dated August 26, 2019 on the financial statements and financial highlights of Pacific Asset Enhanced Floating Rate ETF, a series o |
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| November 8, 2019 |
PACIFIC GLOBAL ETF TRUST SECOND AMENDMENT TO THE MANAGEMENT AGREEMENT Exhibit (6)(iii) PACIFIC GLOBAL ETF TRUST SECOND AMENDMENT TO THE MANAGEMENT AGREEMENT THIS AMENDMENT, dated as of November 1, 2019, to the Management Agreement, is entered into by and between PACIFIC GLOBAL ETF TRUST, a Delaware statutory trust (the ?Trust?), and PACIFIC GLOBAL ADVISORS LLC, a Delaware limited liability company (the ?Manager?). |
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| November 8, 2019 |
FIRST AMENDMENT RULE 12b-1 DISTRIBUTION AND SERVICE PLAN Exhibit (10)(ii) FIRST AMENDMENT RULE 12b-1 DISTRIBUTION AND SERVICE PLAN WHEREAS, the Pacific Global ETF Trust (the ?Trust?) adopted, on December 11, 2018, a Rule 12b-1 Distribution and Service Plan (the ?Plan?); and WHEREAS, the Trust desires to amend the Plan, to add new series established under the Trust; and WHEREAS, Paragraph 7 of the Plan allows for its amendment by a vote of both a majority of the Board of Trustees and a majority of the Independent Trustees, cast in person at a meeting called for the purpose of voting on such amendment. |
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| November 8, 2019 |
Exhibit B(11) November 7, 2019 Pacific Global ETF Trust 840 Newport Center Drive 7th Floor Newport Beach, CA 92660 Re: Opinion of Counsel Relating to the Agreement and Plan of Reorganization between Pacific Global ETF Trust and AdvisorShares Trust Ladies and Gentlemen: We have been requested by Pacific Global ETF Trust, a Delaware statutory trust (the ?Acquiring Trust?) established under an Agreem |
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| October 23, 2019 |
FORM 8-A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 PACIFIC GLOBAL ETF TRUST (Exact name of registrant as specified in its charter) Delaware See below (State of incorporation or organization) (I.R.S. Employer Identification No.) 840 Newport Center D |
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| October 23, 2019 |
FORM 8-A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 PACIFIC GLOBAL ETF TRUST (Exact name of registrant as specified in its charter) Delaware See below (State of incorporation or organization) (I.R.S. Employer Identification No.) 840 Newport Center D |
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| October 16, 2019 |
USDY / Pacific Global US Equity Income ETF CORRESP - - October 16, 2019 Jaea Hahn, Esq. Office of Disclosure and Review Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 RE: Pacific Global ETF Trust Pacific Global Focused High Yield ETF (FJNK) File Nos. 333-227097 and 811-23376 Dear Ms. Hahn: On August 2, 2019, Pacific Global ETF Trust (the “Registrant”) filed a registration statement u |
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| October 16, 2019 |
USDY / Pacific Global US Equity Income ETF CORRESP - - October 16, 2019 Jaea Hahn, Esq. Office of Disclosure and Review Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 RE: Pacific Global ETF Trust Pacific Global International Equity Income ETF (IDY) File Nos. 333-227097 and 811-23376 Dear Ms. Hahn: On August 2, 2019, Pacific Global ETF Trust (the “Registrant”) filed a registration sta |
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| August 6, 2019 |
August 6, 2019 VIA ELECTRONIC TRANSMISSION Securities and Exchange Commission Public Filing Desk 100 F Street, N. |
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| August 2, 2019 |
August 2, 2019 VIA ELECTRONIC TRANSMISSION Securities and Exchange Commission Public Filing Desk 100 F Street, N. |
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| August 2, 2019 |
August 2, 2019 VIA ELECTRONIC TRANSMISSION Securities and Exchange Commission Public Filing Desk 100 F Street, N. |
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| May 23, 2019 |
Pacific Global ETF Trust Portfolio of Investments - Pacific Global US Equity Income ETF March 31, 2019 (Unaudited) Security Description Shares Fair Value Common Stocks - 99. |
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| February 12, 2019 |
TRANSFER AGENT SERVICING AGREEMENT EX-99.(G)(4) 2 a19-399113ex99dg4.htm EX-99.(G)(4) Exhibit 99.(g)(4) Execution Version TRANSFER AGENT SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of the last day written in the signature block below, by and between PACIFIC GLOBAL ETF TRUST, a Delaware statutory trust (the “Trust”) and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, a Wisconsin limited liabil |
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| February 12, 2019 |
As filed with the Securities and Exchange Commission on February 12, 2019. As filed with the Securities and Exchange Commission on February 12, 2019. File No. 333-227097 File No. 811-23376 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A x REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 o Pre-Effective Amendment No. x Post-Effective Amendment No. 1 and/or x REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 x Amendment No. 4 PACIFI |
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| February 7, 2019 |
FORM 8-A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 PACIFIC GLOBAL ETF TRUST (Exact name of registrant as specified in its charter) Delaware See below (State of incorporation or organization) (I.R.S. Employer Identification No.) 840 Newport Center D |
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| February 6, 2019 |
[SIGNATURES ON THE FOLLOWING PAGE] EX-99.(G)(3) 4 a19-39911ex99dg3.htm EX-99.(G)(3) Execution Version FUND ADMINISTRATION SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of the last day written in the signature block below, by and between PACIFIC GLOBAL ETF TRUST, a Delaware statutory trust (the “Trust”) and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, a Wisconsin limited liability company (“ |
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| February 6, 2019 |
Execution Version CUSTODY AGREEMENT THIS AGREEMENT is made and entered into as of the last date written on the signature block by and between PACIFIC GLOBAL ETF TRUST, a Delaware statutory trust (the “Trust”) and U. |
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| February 6, 2019 |
February 6, 2019 Ms. Sally Samuel Mr. Kenneth Ellington Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 RE: Pacific Global ETF Trust File Nos. 333-227097 and 811-23376 Dear Ms. Samuel and Mr. Ellington: On February 5, 2019 (the ?Filing Date?), Pacific Global ETF Trust (the ?Registrant?) filed pre-effective amendment No. 3 to its a |
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| February 6, 2019 |
As filed with the Securities and Exchange Commission on February 5, 2019. As filed with the Securities and Exchange Commission on February 5, 2019. File No. 333-227097 File No. 811-23376 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A x REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 x Pre-Effective Amendment No. 3 o Post-Effective Amendment No. and/or x REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 x Amendment No. 3 PACIFIC |
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| February 6, 2019 |
TRANSFER AGENT SERVICING AGREEMENT Execution Version TRANSFER AGENT SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of the last day written in the signature block below, by and between PACIFIC GLOBAL ETF TRUST, a Delaware statutory trust (the “Trust”) and U. |
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| February 6, 2019 |
February 5, 2019 Pacific Global ETF Trust 840 Newport Center Dr., 7th Floor Newport Beach, CA 92660 Re: Pacific Global ETF Trust - File Nos. 333-227097 and 811-23376 Dear Sir/Madam: A legal opinion (the “Legal Opinion”) that we prepared was filed with Pre-Effective Amendment No. 2 under the Securities Act of 1933 to the Pacific Global ETF Trust Registration Statement. We hereby give you our consen |
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| February 6, 2019 |
FUND ACCOUNTING SERVICING AGREEMENT EX-99.(G)(2) 3 a19-39911ex99dg2.htm EX-99.(G)(2) Execution Version FUND ACCOUNTING SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of the last day written in the signature block below, by and between PACIFIC GLOBAL ETF TRUST, a Delaware statutory trust (the “Trust”) and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, a Wisconsin limited liability company (“Fund |
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| February 6, 2019 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 99.(j) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the use in this Pre-Effective Amendment No. 3 to Registration Statement No. 333-227097 on Form N-1A of our report dated January 4, 2019, relating to the statement of assets and liabilities of the Pacific Global ETF Trust comprising the Pacific Global US Equity Income ETF appearing in the Statement of Additional I |
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| February 5, 2019 |
February 5, 2019 Mr. Kenneth Ellington Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 RE: Pacific Global ETF Trust File Nos. 333-227097 and 811-23376 Dear Mr. Ellington: On August 29, 2018 (the “Filing Date”), Pacific Global ETF Trust (the “Registrant”) filed an initial registration statement on Form N-1A related to the Pacific G |
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| February 1, 2019 |
EX-99.(I)(1) 2 a19-37031ex99di1.htm EX-99.(I)(1) January 31, 2019 Pacific Global ETF Trust 840 Newport Center Dr., 7th Floor Newport Beach, CA 92660 Dear Board Members: This letter is in response to your request for our opinion in connection with the filing of Pre-Effective Amendment No. 2 to the Registration Statement, File Nos. 333-227097 and 811-23376 (the “Registration Statement”), of Pacific |
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| February 1, 2019 |
February 1, 2019 VIA ELECTRONIC TRANSMISSION Sally Samuel Branch Chief Division of Investment Management U. |
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| February 1, 2019 |
February 1, 2019 Sally Samuel, Esq. Branch Chief Office of Disclosure and Review Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 RE: Pacific Global ETF Trust File Nos. 333-227097 and 811-23376 Dear Ms. Samuel: Pacific Global ETF Trust (the “Registrant”) on August 29, 2018 (the “Filing Date”) filed two initial registration statemen |
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| February 1, 2019 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the use in this Pre-Effective Amendment No. |
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| February 1, 2019 |
PACIFIC GLOBAL ETF TRUST PACIFIC GLOBAL US EQUITY INCOME ETF PRIVATE OFFERING (SEED MONEY) AGREEMENT EX-99.(I)(2) 3 a19-37031ex99di2.htm EX-99.(I)(2) PACIFIC GLOBAL ETF TRUST PACIFIC GLOBAL US EQUITY INCOME ETF PRIVATE OFFERING (SEED MONEY) AGREEMENT This Private Offering (Seed Money) Agreement (the “Agreement”) made this 19th day of December, 2018, by and between Pacific Global ETF Trust, a statutory trust organized and existing under the laws of the State of Delaware (the “Trust”), on behalf of |
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| February 1, 2019 |
As filed with the Securities and Exchange Commission on February 1, 2019. As filed with the Securities and Exchange Commission on February 1, 2019. File No. 333-227097 File No. 811-23376 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A x REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 x Pre-Effective Amendment No. 2 o Post-Effective Amendment No. and/or x REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 x Amendment No. 2 PACIFIC |
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| February 1, 2019 |
PACIFIC GLOBAL ETF TRUST POWER OF ATTORNEY PACIFIC GLOBAL ETF TRUST POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS: WHEREAS, PACIFIC GLOBAL ETF TRUST, a statutory trust organized under the laws of the State of Delaware (hereinafter referred to as the “Trust”), periodically files amendments to its Registration Statement with the SEC under the provisions of the Securities Act of 1933, as amended and the Investment Company Act of 1940, as amended; WHEREAS, the undersigned is the Treasurer of the Trust; and NOW, THEREFORE, the undersigned hereby constitutes and appoints Anthony Dufault, Michael Skillman, J. |
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| December 11, 2018 |
FORM OF TRANSFER AGENT SERVICING AGREEMENT Exhibit 99.(g)(4) FORM OF TRANSFER AGENT SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of the last day written in the signature block below, by and between PACIFIC GLOBAL ETF TRUST, a Delaware statutory trust (the ?Trust?) and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, a Wisconsin limited liability company (?Fund Services?). WHEREAS, the Trust is a serie |
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| December 11, 2018 |
FORM OF FUND ACCOUNTING SERVICING AGREEMENT Exhibit 99.(g)(2) FORM OF FUND ACCOUNTING SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of the last day written in the signature block below, by and between PACIFIC GLOBAL ETF TRUST, a Delaware statutory trust (the “Trust”) and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, a Wisconsin limited liability company (“Fund Services”). WHEREAS, the Trust is regist |
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| December 11, 2018 |
PACIFIC GLOBAL ETF PACIFIC GLOBAL [ ] ETF SUBADVISORY AGREEMENT EX-99.(D)(2) 3 a18-360711ex99dd2.htm EX-99.(D)(2) Exhibit 99.(d)(2) PACIFIC GLOBAL ETF PACIFIC GLOBAL [ ] ETF SUBADVISORY AGREEMENT Agreement made as of this [ ] day of [ ], 2018, between Pacific Global Advisors LLC (the “Manager”), a Delaware limited liability company, and [Cadence/PAM] (the “Subadviser”), a Delaware limited liability company. WHEREAS, the Manager has entered into a Management Ag |
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| December 11, 2018 |
EX-99.(P)(2) 13 a18-360711ex99dp2.htm EX-99.(P)(2) Exhibit 99.(p)(2) Cadence Capital Management LLC Pacific Asset Management Pacific Global Advisors LLC Pacific Life Fund Advisors LLC Pacific Private Fund Advisors LLC Investment Advisers’ CODE OF ETHICS Effective January 1, 2019 Investment Advisers’ Code of Ethics TABLE OF CONTENTS I. INTRODUCTION 2 II. WHY AM I SUBJECT TO THE CODE? 3 III. WHO CAN |
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| December 11, 2018 |
PACIFIC GLOBAL ETF TRUST Code of Ethics Exhibit 99.(p)(1) PACIFIC GLOBAL ETF TRUST Code of Ethics This Code of Ethics (the ?Code?) has been adopted by Pacific Global ETF Trust (the ?Trust? or the ?Funds?) in compliance with Rule 17j-1 under the Investment Company Act of 1940 (the ?Act?) (unless specifically identified, Rule 17j-1 is referred to as the ?Rule?). This Code of Ethics is intended to ensure that all acts, practices and course |
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| December 11, 2018 |
PACIFIC GLOBAL ETF TRUST MANAGEMENT AGREEMENT Exhibit 99.(d)(1) PACIFIC GLOBAL ETF TRUST MANAGEMENT AGREEMENT Agreement made the [ ]st day of [ ], 2018, between Pacific Global ETF Trust, a Delaware statutory trust (the ?Trust?), on behalf of each of its series identified on Schedule A hereto (each a ?Fund,? and collectively, the ?Funds?), and Pacific Global Advisors LLC, a Delaware limited liability company (the ?Manager?). W I T N E S S E T |
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| December 11, 2018 |
December 11, 2018 Frank A. Buda, Esq. Attorney-Adviser Office of Disclosure and Review Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 RE: Pacific Global ETF Trust File Nos. 333-227097 and 811-23376 Dear Mr. Buda: Pacific Global ETF Trust (the “Registrant”) on August 29, 2018 (the “Filing Date”) filed two initial registration stat |
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| December 11, 2018 |
Exhibit 99.(i) December 11, 2018 Pacific Global ETF Trust 840 Newport Center Dr., 7th Floor Newport Beach, CA 92660 Dear Board Members: This letter is in response to your request for our opinion in connection with the filing of Pre-Effective Amendment No. 1 to the Registration Statement, File Nos. 333-227097 and 811-23376 (the ?Registration Statement?), of Pacific Global ETF Trust (the ?Trust?). W |
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| December 11, 2018 |
December 11, 2018 VIA ELECTRONIC TRANSMISSION Securities and Exchange Commission Public Filing Desk 100 F Street, N. |
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| December 11, 2018 |
FORM OF AUTHORIZED PARTICIPANT AGREEMENT Pacific Global ETF Trust Exhibit 99.(h) FORM OF AUTHORIZED PARTICIPANT AGREEMENT Pacific Global ETF Trust This Authorized Participant Agreement (the ?Agreement?) is entered into by and between Foreside Fund Services, LLC (the ?Distributor?) and (the ?Participant?) and is subject to acceptance by [Name of Transfer Agent/Index Receipt Agent] (the ?[Transfer Agent/Index Receipt Agent]?), and is further subject to acknowledge |
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| December 11, 2018 |
CODE OF ETHICS APPENDIX A FORESIDE COMPANIES Exhibit 99.(p)(3) CODE OF ETHICS INTRODUCTION 1 1. STANDARDS OF PROFESSIONAL CONDUCT 2 (a) Fiduciary Duties 2 (b) Compliance with Laws 2 (c) Corporate Culture 2 (d) Professional Misconduct 3 (e) Disclosure of Conflicts 3 (f) Undue Influence 3 (g) Confidentiality and Protection of Material Nonpublic Information 3 (h) Personal Securities Transactions 4 (i) Gifts 4 (j) Service on Boards 4 (k) Prohibi |
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| December 11, 2018 |
FORM OF ETF DISTRIBUTION AGREEMENT Exhibit 99.(e)(1) FORM OF ETF DISTRIBUTION AGREEMENT This Distribution Agreement (the “Agreement”) is made this day of 2018, by and between Pacific Global ETF Trust, a Delaware statutory trust (the “Trust”) having its principal place of business at 840 Newport Center Drive, 7th Floor, Newport Beach, CA 92660, and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”) |
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| December 11, 2018 |
RULE 12b-1 DISTRIBUTION AND SERVICE PLAN EX-99.(M) 11 a18-360711ex99dm.htm EX-99.(M) Exhibit 99.(m) RULE 12b-1 DISTRIBUTION AND SERVICE PLAN 1. The Trust. Pacific Global ETF Trust (the “Trust”) is an open-end management investment company registered as such under the Investment Company Act of 1940, as amended (the “1940 Act”), and is authorized to issue separate series (each such series is referred to herein as a “Fund” and collectively |
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| December 11, 2018 |
Via EDGAR U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, DC 20549 December 11, 2018 Re: Pacific Global ETF Trust (the “Registrant”) Request to Withdraw Registration Statement on Form N-1A (File Nos. 811-23376 and 333-227102) Ladies and Gentlemen: Pursuant to Rule 477 promulgated under the Securities Act of 1933, as amended (the “Securities Ac |
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| December 11, 2018 |
As filed with the Securities and Exchange Commission on December 11, 2018. As filed with the Securities and Exchange Commission on December 11, 2018. File No. 333-227097 File No. 811-23376 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A x REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 x Pre-Effective Amendment No. 1 o Post-Effective Amendment No. and/or x REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 x Amendment No. 1 PACIFI |
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| December 11, 2018 |
Exhibit 99.(g)(1) FORM OF CUSTODY AGREEMENT THIS AGREEMENT is made and entered into as of the last date written on the signature block by and between PACIFIC GLOBAL ETF TRUST, a Delaware statutory trust (the “Trust”) and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America (the “Custodian”). WHEREAS, the Trust is regis |
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| December 11, 2018 |
FORM OF FUND ADMINISTRATION SERVICING AGREEMENT Exhibit 99.(g)(3) FORM OF FUND ADMINISTRATION SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of the last day written in the signature block below, by and between PACIFIC GLOBAL ETF TRUST, a Delaware statutory trust (the “Trust”) and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, a Wisconsin limited liability company (“Fund Services”). WHEREAS, the Trust is re |
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| August 29, 2018 |
As filed with the Securities and Exchange Commission on August 29, 2018 As filed with the Securities and Exchange Commission on August 29, 2018 File No. 333-[ ] File No. 811-23376 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A x REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 o Pre-Effective Amendment No. o Post-Effective Amendment No. and/or x REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 o Amendment No. PACIFIC GLOBAL E |
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| August 29, 2018 |
EX-99.(B)(1) 4 a18-220402ex99db1.htm EX-99.(B)(1) Exhibit 99.(b)(1) FORM OF BY-LAWS OF PACIFIC GLOBAL ETF TRUST Dated as of June 26, 2018 ARTICLE 1 GOVERNING INSTRUMENT AND PRINCIPAL OFFICE Section 1.1 Declaration of Trust. These By-Laws are adopted pursuant to Section 3.12 of the Agreement and Declaration of Trust, as from time to time in effect (the “Declaration of Trust”), of Pacific Global ETF |
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| August 29, 2018 |
EX-99.(A)(2)(A) 3 a18-220402ex99da2a.htm EX-99.(A)(2)(A) Exhibit 99.(a)(2)(A) FORM OF AGREEMENT AND DECLARATION OF TRUST OF PACIFIC GLOBAL ETF TRUST a Delaware Statutory Trust Principal Place of Business: 840 Newport Center Drive, 7th Floor Newport Beach, CA 92660 Dated as of June 26, 2018 TABLE OF CONTENTS Page ARTICLE I THE TRUST 1 1.1 Name 1 1.2 Definitions 2 ARTICLE II PURPOSE OF THE TRUST 4 A |
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| August 29, 2018 |
Exhibit 99.(a)(1)(A) Delaware The First State I, JEFFREY W. BULLOCK, SECRETARY OF STATE OF THE STATE OF DELAWARE, DO HEREBY CERTIFY THE ATTACHED IS A TRUE AND CORRECT COPY OF THE CERTIFICATE OF STATUTORY TRUST REGISTRATION OF ?PACIFIC GLOBAL ETF TRUST?, FILED IN THIS OFFICE ON THE TWENTY? SIXTH DAY OF JUNE, A. D. 2018, AT 3 : 44 O?CLOCK P.M. 6949754 8100 Authentication: 202965779 SR# 20185373598 D |
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| August 29, 2018 |
EX-99.(A)(2)(A) 3 a18-220403ex99da2a.htm EX-99.(A)(2)(A) Exhibit 99.(a)(2)(A) FORM OF AGREEMENT AND DECLARATION OF TRUST OF PACIFIC GLOBAL ETF TRUST a Delaware Statutory Trust Principal Place of Business: 840 Newport Center Drive, 7th Floor Newport Beach, CA 92660 Dated as of June 26, 2018 TABLE OF CONTENTS Page ARTICLE I THE TRUST 1 1.1 Name 1 1.2 Definitions 2 ARTICLE II PURPOSE OF THE TRUST 4 A |
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| August 29, 2018 |
August 29, 2018 VIA ELECTRONIC TRANSMISSION Re: Pacific Global ETF Trust Ladies and Gentlemen: On behalf of Pacific Global ETF Trust (the “Trust”), we hereby electronically file, pursuant to Section 8(b) of the Investment Company Act of 1940, the Trust’s Registration Statement on Form N-1A. |
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| August 29, 2018 |
Exhibit 99.(a)(1)(A) Delaware The First State I, JEFFREY W. BULLOCK, SECRETARY OF STATE OF THE STATE OF DELAWARE, DO HEREBY CERTIFY THE ATTACHED IS A TRUE AND CORRECT COPY OF THE CERTIFICATE OF STATUTORY TRUST REGISTRATION OF “PACIFIC GLOBAL ETF TRUST”, FILED IN THIS OFFICE ON THE TWENTY— SIXTH DAY OF JUNE, A. D. 2018, AT 3 : 44 O’CLOCK P.M. 6949754 8100 Authentication: 202965779 SR# 20185373598 D |
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| August 29, 2018 |
Exhibit 99.(b)(1) FORM OF BY-LAWS OF PACIFIC GLOBAL ETF TRUST Dated as of June 26, 2018 ARTICLE 1 GOVERNING INSTRUMENT AND PRINCIPAL OFFICE Section 1.1 Declaration of Trust. These By-Laws are adopted pursuant to Section 3.12 of the Agreement and Declaration of Trust, as from time to time in effect (the “Declaration of Trust”), of Pacific Global ETF Trust (the “Trust”) and shall be subject to the t |
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| August 29, 2018 |
As filed with the Securities and Exchange Commission on August 29, 2018 As filed with the Securities and Exchange Commission on August 29, 2018 File No. 333-[ ] File No. 811-23376 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A x REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 o Pre-Effective Amendment No. o Post-Effective Amendment No. and/or x REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 o Amendment No. PACIFIC GLOBAL E |
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| August 29, 2018 |
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 notific |
