Basic Stats
| CIK | 1605803 |
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 Lattice Strategies Trust - Hartford Disciplined US Equity ETF
SEC Filings (Chronological Order)
This page provides a complete, chronological list of SEC Filings, excluding ownership filings which we provide elsewhere.
| June 30, 2025 |
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 July 11, 2025, pursuant to the provisions of Rule 12d2-2 (a). |
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| March 27, 2025 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| March 14, 2024 |
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 LATTICE STRATEGIES 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 Roa |
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| December 1, 2023 |
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 LATTICE STRATEGIES 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 Roa |
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| February 24, 2023 |
Hartford Disciplined US Equity ETF Schedule of Investments December 31, 2022 (Unaudited) Shares or Principal Amount Market Value† COMMON STOCKS - 99. |
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| February 24, 2023 |
Hartford Disciplined US Equity ETF Schedule of Investments December 31, 2022 (Unaudited) Shares or Principal Amount Market Value† COMMON STOCKS - 99. |
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| February 24, 2023 |
NPORT-EX 2 NPORTLS04428752351222.htm Hartford Disciplined US Equity ETF Schedule of Investments December 31, 2022 (Unaudited) Shares or Principal Amount Market Value† COMMON STOCKS - 99.8% Automobiles & Components - 1.8% 10 Autoliv, Inc. $ 766 1,668 Ford Motor Co. 19,399 30 General Motors Co. 1,009 979 Gentex Corp. 26,697 305 Tesla, Inc.* 37,570 85,441 Banks - 2.6% |
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| February 24, 2023 |
NPORT-EX 2 NPORTLS02384872321222.htm Hartford Disciplined US Equity ETF Schedule of Investments December 31, 2022 (Unaudited) Shares or Principal Amount Market Value† COMMON STOCKS - 99.8% Automobiles & Components - 1.8% 10 Autoliv, Inc. $ 766 1,668 Ford Motor Co. 19,399 30 General Motors Co. 1,009 979 Gentex Corp. 26,697 305 Tesla, Inc.* 37,570 85,441 Banks - 2.6% |
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| February 24, 2023 |
Hartford Disciplined US Equity ETF Schedule of Investments December 31, 2022 (Unaudited) Shares or Principal Amount Market Value† COMMON STOCKS - 99. |
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| February 24, 2023 |
Hartford Disciplined US Equity ETF Schedule of Investments December 31, 2022 (Unaudited) Shares or Principal Amount Market Value† COMMON STOCKS - 99. |
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| February 24, 2023 |
Hartford Disciplined US Equity ETF Schedule of Investments December 31, 2022 (Unaudited) Shares or Principal Amount Market Value† COMMON STOCKS - 99. |
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| December 21, 2022 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| November 10, 2022 |
Lattice Strategies Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 25, 2022 |
NPORT-EX 2 NPORTLS16667299230622.htm Hartford Longevity Economy ETF Schedule of Investments June 30, 2022 (Unaudited) Shares or Principal Amount Market Value† COMMON STOCKS - 99.9% Automobiles & Components - 2.0% 5,548 Ford Motor Co. $ 61,749 2,072 General Motors Co.* 65,807 2,494 Standard Motor Products, Inc. 112,205 1,227 Thor Industries, Inc. 91,694 2,210 Winnebago Indust |
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| August 25, 2022 |
NPORT-EX 2 NPORTLS06475740520622.htm Hartford Longevity Economy ETF Schedule of Investments June 30, 2022 (Unaudited) Shares or Principal Amount Market Value† COMMON STOCKS - 99.9% Automobiles & Components - 2.0% 5,548 Ford Motor Co. $ 61,749 2,072 General Motors Co.* 65,807 2,494 Standard Motor Products, Inc. 112,205 1,227 Thor Industries, Inc. 91,694 2,210 Winnebago Indust |
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| August 25, 2022 |
NPORT-EX 2 NPORTLS12953454580622.htm Hartford Longevity Economy ETF Schedule of Investments June 30, 2022 (Unaudited) Shares or Principal Amount Market Value† COMMON STOCKS - 99.9% Automobiles & Components - 2.0% 5,548 Ford Motor Co. $ 61,749 2,072 General Motors Co.* 65,807 2,494 Standard Motor Products, Inc. 112,205 1,227 Thor Industries, Inc. 91,694 2,210 Winnebago Indust |
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| August 25, 2022 |
NPORT-EX 2 NPORTLS00293667640622.htm Hartford Longevity Economy ETF Schedule of Investments June 30, 2022 (Unaudited) Shares or Principal Amount Market Value† COMMON STOCKS - 99.9% Automobiles & Components - 2.0% 5,548 Ford Motor Co. $ 61,749 2,072 General Motors Co.* 65,807 2,494 Standard Motor Products, Inc. 112,205 1,227 Thor Industries, Inc. 91,694 2,210 Winnebago Indust |
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| August 25, 2022 |
NPORT-EX 2 NPORTLS02544581800622.htm Hartford Longevity Economy ETF Schedule of Investments June 30, 2022 (Unaudited) Shares or Principal Amount Market Value† COMMON STOCKS - 99.9% Automobiles & Components - 2.0% 5,548 Ford Motor Co. $ 61,749 2,072 General Motors Co.* 65,807 2,494 Standard Motor Products, Inc. 112,205 1,227 Thor Industries, Inc. 91,694 2,210 Winnebago Indust |
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| August 25, 2022 |
Hartford Longevity Economy ETF Schedule of Investments June 30, 2022 (Unaudited) Shares or Principal Amount Market Value† COMMON STOCKS - 99. |
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| February 23, 2022 |
NPORT-EX 2 NPORTLS04701371551221.htm Hartford Longevity Economy ETF Schedule of Investments December 31, 2021 (Unaudited) Shares or Principal Amount Market Value† COMMON STOCKS - 99.9% Automobiles & Components - 1.3% 6,269 Ford Motor Co. $ 130,207 2,923 General Motors Co.* 171,375 490 Gentex Corp. 17,077 128 Thor Industries, Inc. 13,283 223 Winnebago Industries, Inc. |
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| February 23, 2022 |
NPORT-EX 2 NPORTLS12956132731221.htm Hartford Longevity Economy ETF Schedule of Investments December 31, 2021 (Unaudited) Shares or Principal Amount Market Value† COMMON STOCKS - 99.9% Automobiles & Components - 1.3% 6,269 Ford Motor Co. $ 130,207 2,923 General Motors Co.* 171,375 490 Gentex Corp. 17,077 128 Thor Industries, Inc. 13,283 223 Winnebago Industries, Inc. |
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| February 23, 2022 |
Hartford Longevity Economy ETF Schedule of Investments December 31, 2021 (Unaudited) Shares or Principal Amount Market Value† COMMON STOCKS - 99. |
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| February 23, 2022 |
Hartford Longevity Economy ETF Schedule of Investments December 31, 2021 (Unaudited) Shares or Principal Amount Market Value† COMMON STOCKS - 99. |
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| February 23, 2022 |
Hartford Longevity Economy ETF Schedule of Investments December 31, 2021 (Unaudited) Shares or Principal Amount Market Value† COMMON STOCKS - 99. |
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| February 23, 2022 |
Hartford Longevity Economy ETF Schedule of Investments December 31, 2021 (Unaudited) Shares or Principal Amount Market Value† COMMON STOCKS - 99. |
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| August 26, 2021 |
Hartford Longevity Economy ETF Schedule of Investments June 30, 2021 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99. |
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| August 26, 2021 |
Hartford Longevity Economy ETF Schedule of Investments June 30, 2021 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99. |
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| August 26, 2021 |
Hartford Longevity Economy ETF Schedule of Investments June 30, 2021 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99. |
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| August 26, 2021 |
HTML Hartford Longevity Economy ETF Schedule of Investments June 30, 2021 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99. |
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| August 26, 2021 |
Hartford Longevity Economy ETF Schedule of Investments June 30, 2021 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99. |
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| August 26, 2021 |
Hartford Longevity Economy ETF Schedule of Investments June 30, 2021 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99. |
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| March 23, 2021 |
Consent of former Independent Registered Public Accounting Firm (filed herewith) Consent of Independent Registered Public Accounting Firm We consent to the reference to our firm as ?another independent registered public accounting firm? under the caption ?Financial Highlights? in the Prospectus and to the incorporation by reference of our report dated November 26, 2019 with respect to the financial statements and financial highlights of Hartford Multifactor Emerging Markets ET |
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| March 23, 2021 |
As filed with the Securities and Exchange Commission on March 23, 2021 File Nos. 333-199089/ 811-23002 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549? FORM N-1A ? REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ? Pre-Effective Amendment No. ? Post-Effective Amendment No. 21 ? and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 ? Amendment No. 24 |
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| March 23, 2021 |
Power of Attorney for David A. Naab dated March 15, 2021 (filed herewith) THE HARTFORD MUTUAL FUNDS, INC. THE HARTFORD MUTUAL FUNDS II, INC. HARTFORD SERIES FUND, INC. HARTFORD HLS SERIES FUND II, INC. HARTFORD FUNDS EXCHANGE-TRADED TRUST LATTICE STRATEGIES TRUST HARTFORD SCHRODERS OPPORTUNISTIC INCOME FUND LIMITED POWER OF ATTORNEY March 15, 2021 The undersigned person does hereby constitute and appoint as his attorney-in-fact and agent Walter F. Garger, Thomas R. Phil |
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| March 12, 2021 |
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 LATTICE STRATEGIES 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 Roa |
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| February 24, 2021 |
Hartford Multifactor Developed Markets (ex-US) ETF Schedule of Investments December 31, 2020 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99. |
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| February 24, 2021 |
Hartford Multifactor Developed Markets (ex-US) ETF Schedule of Investments December 31, 2020 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99. |
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| February 24, 2021 |
Hartford Multifactor Developed Markets (ex-US) ETF Schedule of Investments December 31, 2020 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99. |
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| February 24, 2021 |
NPORT-EX 2 NPORT8058074502798451.htm Hartford Multifactor Developed Markets (ex-US) ETF Schedule of Investments December 31, 2020 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99.5% Australia - 9.1% 1,041,394 AGL Energy Ltd. $ 9,602,923 491,083 Ampol Ltd. 10,769,597 266,116 Ansell Ltd. 7,142,020 54,432 ASX Ltd. 3,024,177 696,868 Aurizon Holdings Ltd. 2,097,179 1,593,904 AusN |
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| February 24, 2021 |
Hartford Multifactor Developed Markets (ex-US) ETF Schedule of Investments December 31, 2020 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99. |
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| September 4, 2020 |
- DEFINITIVE ADDITIONAL MATERIALS DEFA14A 1 tm2027489-3defa14a.htm DEFINITIVE ADDITIONAL MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary proxy statement ¨ Definitive |
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| August 25, 2020 |
FOR VALIDATION PURPOSES ONLY - [75048.TX] Hartford Multifactor Developed Markets (ex-US) ETF Schedule of Investments June 30, 2020 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99.5% Australia - 8.8% 848,203 AGL Energy Ltd. $ 9,956,990 507,053 Ampol Ltd. 10,235,787 227,512 Ansell Ltd. 5,748,761 242,455 Australia & New Zealand Banking Group Ltd. 3,111,580 628,346 Bendigo & Ad |
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| August 25, 2020 |
FOR VALIDATION PURPOSES ONLY - [75048.TX] Hartford Multifactor Developed Markets (ex-US) ETF Schedule of Investments June 30, 2020 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99.5% Australia - 8.8% 848,203 AGL Energy Ltd. $ 9,956,990 507,053 Ampol Ltd. 10,235,787 227,512 Ansell Ltd. 5,748,761 242,455 Australia & New Zealand Banking Group Ltd. 3,111,580 628,346 Bendigo & Ad |
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| August 25, 2020 |
FOR VALIDATION PURPOSES ONLY - [75048.TX] Hartford Multifactor Developed Markets (ex-US) ETF Schedule of Investments June 30, 2020 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99.5% Australia - 8.8% 848,203 AGL Energy Ltd. $ 9,956,990 507,053 Ampol Ltd. 10,235,787 227,512 Ansell Ltd. 5,748,761 242,455 Australia & New Zealand Banking Group Ltd. 3,111,580 628,346 Bendigo & Ad |
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| August 25, 2020 |
FOR VALIDATION PURPOSES ONLY - [75048.TX] Hartford Multifactor Developed Markets (ex-US) ETF Schedule of Investments June 30, 2020 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99.5% Australia - 8.8% 848,203 AGL Energy Ltd. $ 9,956,990 507,053 Ampol Ltd. 10,235,787 227,512 Ansell Ltd. 5,748,761 242,455 Australia & New Zealand Banking Group Ltd. 3,111,580 628,346 Bendigo & Ad |
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| August 25, 2020 |
FOR VALIDATION PURPOSES ONLY - [75048.TX] Hartford Multifactor Developed Markets (ex-US) ETF Schedule of Investments June 30, 2020 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99.5% Australia - 8.8% 848,203 AGL Energy Ltd. $ 9,956,990 507,053 Ampol Ltd. 10,235,787 227,512 Ansell Ltd. 5,748,761 242,455 Australia & New Zealand Banking Group Ltd. 3,111,580 628,346 Bendigo & Ad |
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| August 25, 2020 |
FOR VALIDATION PURPOSES ONLY - [75048.TX] Hartford Multifactor Developed Markets (ex-US) ETF Schedule of Investments June 30, 2020 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99.5% Australia - 8.8% 848,203 AGL Energy Ltd. $ 9,956,990 507,053 Ampol Ltd. 10,235,787 227,512 Ansell Ltd. 5,748,761 242,455 Australia & New Zealand Banking Group Ltd. 3,111,580 628,346 Bendigo & Ad |
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| August 25, 2020 |
FOR VALIDATION PURPOSES ONLY - [75048.TX] Hartford Multifactor Developed Markets (ex-US) ETF Schedule of Investments June 30, 2020 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99.5% Australia - 8.8% 848,203 AGL Energy Ltd. $ 9,956,990 507,053 Ampol Ltd. 10,235,787 227,512 Ansell Ltd. 5,748,761 242,455 Australia & New Zealand Banking Group Ltd. 3,111,580 628,346 Bendigo & Ad |
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| August 14, 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 August 25, 2020, pursuant to the provisions of Rule 12d2-2 (a). |
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| August 14, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary proxy statement x Definitive proxy statement ¨ Definitive additional materials ¨ Soliciting m |
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| February 25, 2020 |
FOR VALIDATION PURPOSES ONLY - [882451.TX] Hartford Multifactor Developed Markets (ex-US) ETF Schedule of Investments December 31, 2019 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99.7% Australia - 8.5% 868,417 AGL Energy Ltd. $ 12,532,618 526,537 Amcor plc 5,762,913 209,883 Ansell Ltd. 4,283,007 515,542 Aurizon Holdings Ltd. 1,895,354 386,608 AusNet Services 462,002 320,2 |
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| February 25, 2020 |
FOR VALIDATION PURPOSES ONLY - [882451.TX] Hartford Multifactor Developed Markets (ex-US) ETF Schedule of Investments December 31, 2019 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99.7% Australia - 8.5% 868,417 AGL Energy Ltd. $ 12,532,618 526,537 Amcor plc 5,762,913 209,883 Ansell Ltd. 4,283,007 515,542 Aurizon Holdings Ltd. 1,895,354 386,608 AusNet Services 462,002 320,2 |
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| February 25, 2020 |
FOR VALIDATION PURPOSES ONLY - [882451.TX] Hartford Multifactor Developed Markets (ex-US) ETF Schedule of Investments December 31, 2019 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99.7% Australia - 8.5% 868,417 AGL Energy Ltd. $ 12,532,618 526,537 Amcor plc 5,762,913 209,883 Ansell Ltd. 4,283,007 515,542 Aurizon Holdings Ltd. 1,895,354 386,608 AusNet Services 462,002 320,2 |
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| February 25, 2020 |
FOR VALIDATION PURPOSES ONLY - [882451.TX] Hartford Multifactor Developed Markets (ex-US) ETF Schedule of Investments December 31, 2019 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99.7% Australia - 8.5% 868,417 AGL Energy Ltd. $ 12,532,618 526,537 Amcor plc 5,762,913 209,883 Ansell Ltd. 4,283,007 515,542 Aurizon Holdings Ltd. 1,895,354 386,608 AusNet Services 462,002 320,2 |
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| February 25, 2020 |
FOR VALIDATION PURPOSES ONLY - [882451.TX] Hartford Multifactor Developed Markets (ex-US) ETF Schedule of Investments December 31, 2019 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99.7% Australia - 8.5% 868,417 AGL Energy Ltd. $ 12,532,618 526,537 Amcor plc 5,762,913 209,883 Ansell Ltd. 4,283,007 515,542 Aurizon Holdings Ltd. 1,895,354 386,608 AusNet Services 462,002 320,2 |
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| February 25, 2020 |
FOR VALIDATION PURPOSES ONLY - [882451.TX] Hartford Multifactor Developed Markets (ex-US) ETF Schedule of Investments December 31, 2019 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99.7% Australia - 8.5% 868,417 AGL Energy Ltd. $ 12,532,618 526,537 Amcor plc 5,762,913 209,883 Ansell Ltd. 4,283,007 515,542 Aurizon Holdings Ltd. 1,895,354 386,608 AusNet Services 462,002 320,2 |
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| February 25, 2020 |
FOR VALIDATION PURPOSES ONLY - [882451.TX] Hartford Multifactor Developed Markets (ex-US) ETF Schedule of Investments December 31, 2019 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99.7% Australia - 8.5% 868,417 AGL Energy Ltd. $ 12,532,618 526,537 Amcor plc 5,762,913 209,883 Ansell Ltd. 4,283,007 515,542 Aurizon Holdings Ltd. 1,895,354 386,608 AusNet Services 462,002 320,2 |
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| January 31, 2020 |
RORE / Hartford Multifactor REIT ETF CORRESP - - CORRESP 1 filename1.htm 1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www.dechert.com ADAM T. TEUFEL [email protected] +1 202 261 3464 Direct +1 202 261 3164 Fax January 31, 2020 VIA EDGAR CORRESPONDENCE Scott Lee U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549-4644 Re: Lattice Strategi |
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| January 28, 2020 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| January 17, 2020 |
RORE / Hartford Multifactor REIT ETF CORRESP - - 1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| November 15, 2019 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| August 28, 2019 |
Lattice Strategies Trust NPORT-EX - - LATTICE STRATEGIES TRUST Hartford Multifactor Developed Markets (ex-US) ETF Schedule of Investments June 30, 2019 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99. |
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| August 28, 2019 |
Lattice Strategies Trust NPORT-EX - - NPORT-EX 1 NPORT8610232537453400.htm Hartford Multifactor Developed Markets (ex-US) ETF Schedule of Investments June 30, 2019 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99.6% Australia - 8.5% 763,224 AGL Energy Ltd. $ 10,717,204 393,912 Amcor Ltd. 4,475,365 202,923 Ansell Ltd. 3,823,472 420,714 AusNet Services 553,568 61,890 Australia & New Zealand Banking Group Ltd. 1,22 |
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| August 28, 2019 |
Lattice Strategies Trust NPORT-EX - - LATTICE STRATEGIES TRUST Hartford Multifactor Developed Markets (ex-US) ETF Schedule of Investments June 30, 2019 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99. |
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| August 28, 2019 |
Lattice Strategies Trust NPORT-EX - - NPORT-EX 1 NPORT8611764628549671.htm Hartford Multifactor Developed Markets (ex-US) ETF Schedule of Investments June 30, 2019 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99.6% Australia - 8.5% 763,224 AGL Energy Ltd. $ 10,717,204 393,912 Amcor Ltd. 4,475,365 202,923 Ansell Ltd. 3,823,472 420,714 AusNet Services 553,568 61,890 Australia & New Zealand Banking Group Ltd. 1,22 |
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| August 28, 2019 |
Lattice Strategies Trust NPORT-EX - - NPORT-EX 1 d55905dnq.htm Hartford Multifactor Developed Markets (ex-US) ETF Schedule of Investments June 30, 2019 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99.6% Australia - 8.5% 763,224 AGL Energy Ltd. $ 10,717,204 393,912 Amcor Ltd. 4,475,365 202,923 Ansell Ltd. 3,823,472 420,714 AusNet Services 553,568 61,890 Australia & New Zealand Banking Group Ltd. 1,225,197 404,64 |
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| August 28, 2019 |
Lattice Strategies Trust NPORT-EX - - NPORT-EX 1 NPORT8613069354075157.htm Hartford Multifactor Developed Markets (ex-US) ETF Schedule of Investments June 30, 2019 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99.6% Australia - 8.5% 763,224 AGL Energy Ltd. $ 10,717,204 393,912 Amcor Ltd. 4,475,365 202,923 Ansell Ltd. 3,823,472 420,714 AusNet Services 553,568 61,890 Australia & New Zealand Banking Group Ltd. 1,22 |
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| August 28, 2019 |
Lattice Strategies Trust NPORT-EX - - LATTICE STRATEGIES TRUST Hartford Multifactor Developed Markets (ex-US) ETF Schedule of Investments June 30, 2019 (Unaudited) Shares or Principal Amount Market Value† Common Stocks - 99. |
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| February 28, 2019 |
Lattice Strategies Trust LATTICE STRATEGIES TRUST (Quarterly Schedule of Portfolio Holdings) N-Q 1 d688815dnq.htm LATTICE STRATEGIES TRUST UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-23002 LATTICE STRATEGIES TRUST (Exact name of registrant as specified in charter) 101 Montgomery Street, 27th Floor, San Francisco, California 94104 |
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| February 28, 2019 |
EX-99.CERT 2 d688815dex99cert.htm 302 CERTIFICATIONS FORM N-Q CERTIFICATION I, James E. Davey, certify that: 1. I have reviewed this report on Form N-Q of Lattice Strategies Trust (File Number 811-23002); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstance |
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| September 7, 2018 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 8-K 1 tv5023938k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 31, 2018 Lattice Strategies Trust (Exact name of registrant as specified in its charter) Delaware 811-23002 See below (State or other jurisdiction |
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| August 28, 2018 |
EX-99.CERT 2 d609210dex99cert.htm 302 CERTIFICATIONS FORM N-Q CERTIFICATION I, James E. Davey, certify that: 1. I have reviewed this report on Form N-Q of Lattice Strategies Trust (File Number 811-23002); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstance |
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| August 28, 2018 |
Lattice Strategies Trust LATTICE STRATEGIES TRUST (Quarterly Schedule of Portfolio Holdings) N-Q 1 d609210dnq.htm LATTICE STRATEGIES TRUST UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-23002 LATTICE STRATEGIES TRUST (Exact name of registrant as specified in charter) 101 Montgomery Street, 27th Floor, San Francisco, California 94104 |
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| February 27, 2018 |
302 Certifications FORM N-Q CERTIFICATION I, James E. Davey, certify that: 1. I have reviewed this report on Form N-Q of Lattice Strategies Trust (File Number 811-23002); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were |
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| February 27, 2018 |
Lattice Strategies Trust LATTICE STRATEGIES TRUST (Quarterly Schedule of Portfolio Holdings) N-Q 1 d526662dnq.htm LATTICE STRATEGIES TRUST UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-23002 LATTICE STRATEGIES TRUST (Exact name of registrant as specified in charter) 101 Montgomery Street, 27th Floor, San Francisco, California 94104 |
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| February 15, 2018 |
This Supplement contains new and additional information and should be read in connection with your Prospectus, Summary Prospectus and Statement of Additional Information. |
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| January 12, 2018 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| August 29, 2017 |
LATTICE STRATEGIES TRUST UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 29, 2017 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act 302 Certifications EX-99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Darek Wojnar, President and Principal Executive Officer of Lattice Strategies Trust certify that: 1. I have reviewed this report on Form N-Q of Lattice Strategies Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact o |
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| July 31, 2017 |
LATTICE STRATEGIES LLC 101 Montgomery Street, 27th Floor San Francisco, CA 94104 July 28, 2017 LATTICE STRATEGIES LLC 101 Montgomery Street, 27th Floor San Francisco, CA 94104 July 28, 2017 By Email [Owner Name] [Address] [Address] Re: Proxy Voting Instruction Dear [Owner Name]: Background As you are aware, Lattice Strategies LLC (“Lattice”) currently serves as investment adviser to your separately managed account (the “Account”). |
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| July 19, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| July 19, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| March 31, 2017 |
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 Lattice Strategies Trust (Exact name of registrant as specified in its charter) Delaware See Below (State of incorporation or organization) (I.R.S. Employer Identification number) 101 Montgomery St |
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| February 17, 2017 |
LATTICE STRATEGIES TRUST UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 17, 2017 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act 302 Certifications EX-99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Darek Wojnar, certify that: 1. I have reviewed this report on Form N-Q of Lattice Strategies Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, |
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| August 29, 2016 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Darek Wojnar, certify that: 1. I have reviewed this report on Form N-Q of Lattice Strategies Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the ci |
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| August 29, 2016 |
Lattice Strategies Trust - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-23002 Lattice STRATEGIES TRUST (Exact name of registrant as specified in charter) 101 Montgomery Street, 27th Floor San Francisco, California 94104 (Address of principal executive offices)(Zip c |
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| July 1, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule14a-6(e)(2)) ¨ Definitive Proxy Statement x Definitive Additional Materials ¨ Soliciting Material Pursuant to Rule 14a-12 LATTICE STRATEGIES TRUST (Name of Registrant as Specified In Its Charter) (Name of Person(s) Filing Proxy Statement, if other than the Registrant) Payment of filing fee (Check the appropriate box): x No fee required. |
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| June 27, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to Rule 14a-12 LATTICE STRATEGIES TRUST (Name of Registrant as Specified In Its Charter) (Name of Person(s) Filing Proxy Statement, if other than the Registrant) Payment of filing fee (Check the appropriate box): x No fee required. |
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| June 27, 2016 |
CORRESP 1 filename1.htm Kathleen H. Moriarty +1 212 836 8276 office [email protected] 250 West 55th Street New York, NY 10019-9710 +1 212 836 8000 main +1 212 836 6790 fax June 27, 2016 Ms. Deborah O’Neal-Johnson Senior Counsel United States Securities and Exchange Commission Washington, D.C. 20549 Re: Lattice Strategies Trust Preliminary Proxy Statement on Schedule 14A Filed June |
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| June 13, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: x Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule14a-6(e)(2)) ¨ Definitive Proxy Statement ¨ Definitive Additional Materials ¨ Soliciting Material Pursuant to Rule 14a-12 LATTICE STRATEGIES TRUST (Name of Registrant as Specified In Its Charter) (Name of Person(s) Filing Proxy Statement, if other than the Registrant) Payment of filing fee (Check the appropriate box): x No fee required. |
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| February 24, 2016 |
Lattice Strategies Trust - FORM N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-23002 Lattice STRATEGIES TRUST (Exact name of registrant as specified in charter) 101 Montgomery Street, 27th Floor San Francisco, California 94104 (Address of principal executive offices)(Zip c |
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| February 24, 2016 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 v432310ex99-cert.htm SECTION 302 CERTIFICATIONS EX-99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Darek Wojnar, certify that: 1. I have reviewed this report on Form N-Q of Lattice Strategies Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material f |
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| August 21, 2015 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 v416841ex99-cert.htm EX-99.CERT EX-99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Darek Wojnar, certify that: 1. I have reviewed this report on Form N-Q of Lattice Strategies Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to |
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| August 21, 2015 |
Lattice Strategies Trust - N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-23002 Lattice STRATEGIES TRUST (Exact name of registrant as specified in charter) 101 Montgomery Street, 27th Floor San Francisco, California 94104 (Address of principal executive offices)(Zip c |
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| February 13, 2015 |
Lattice Strategies Trust 8-A12B - - LATTICE STRATEGIES TRUST 8-A12B 1 d867153d8a12b.htm LATTICE STRATEGIES TRUST 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 Lattice Strategies Trust (Exact name of registrant as specified in its charter) Delaware See Below (State of incorporation or organization) (I.R. |
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| February 12, 2015 |
Lattice Strategies Trust N-1A/A - - LATTICE STRATEGIES TRUST LATTICE STRATEGIES TRUST Table of Contents As filed with the Securities and Exchange Commission on February 12, 2015 Securities Act File No. |
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| February 12, 2015 |
Opinion and Consent of Counsel February 12, 2015 575 Madison Avenue New York, NY 10022-2585 212. |
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| February 12, 2015 |
Distribution Agreement Exhibit (e) DISTRIBUTION AGREEMENT THIS AGREEMENT is made as of January 6, 2015, between Lattice Strategies Trust, a Delaware statutory trust (the “Trust”), and ALPS Distributors, Inc. |
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| February 12, 2015 |
Lattice Strategies Trust CORRESP - - LATTICE STRATEGIES TRUST February 12, 2015 VIA EDGAR Securities and Exchange Commission Washington, D. |
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| February 12, 2015 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Consent of Independent Registered Public Accounting Firm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the use in this Registration Statement on Form N-1A of our report dated February XX, 2015, relating to the Statement of Assets and Liabilities of Lattice Developed Markets (ex-US) Strategy ETF, which appears in such Registration Statement. |
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| February 12, 2015 |
Lattice Strategies Trust CORRESP - - Comment Response letter 575 Madison Avenue New York, NY 10022-2585 212.940.8800 tel 212.940.8776 fax www.kattenlaw.com KATHLEEN H. MORIARTY [email protected] (212) 940-6304 direct (212) 894-5504 fax February 11, 2015 VIA EDGAR CORRESPONDENCE Mr. Mark Cowan, Senior Counsel United States Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D |
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| February 12, 2015 |
Investment Advisory Agreement Exhibit (d)(i) INVESTMENT ADVISORY AGREEMENT This Investment Advisory Agreement (this “Agreement”) is made and entered into on December 30th, 2014, to be effective upon the commencement of operations of the portfolios of the Trust listed on Schedule A attached hereto, by and between- Lattice Strategies Trust, a Delaware statutory trust organized on April 15, 2014 (“Trust”), and Lattice Strategies, LLC, a Delaware limited liability company (“Advisor”). |
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| February 12, 2015 |
INVESTMENT SUB-ADVISORY AGREEMENT Investment Sub-Advisory Agreement Exhibit (d)(ii) INVESTMENT SUB-ADVISORY AGREEMENT This Investment Sub-Advisory Agreement (this “Agreement”) is made and entered into on December 31, 2014, by and among Lattice Strategies LLC a Delaware limited liability company located at One Embarcadero Center, Suite 2350,San Francisco, California 94111 (“Advisor”), and Mellon Capital Management Corporation, a De |
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| February 12, 2015 |
Company, dated December 12, 2014 (incorporated by reference to Pre-Effective Amendment No. Administration Agreement Exhibit (h)(i) ADMINISTRATION AGREEMENT This Administration Agreement (“Agreement”) dated and effective as of December 12, 2014, is by and between State Street Bank and Trust Company, a Massachusetts trust company (the “Administrator”), and each of the entities listed on Schedule A attached hereto (each, a “Trust”). |
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| February 12, 2015 |
Master Custodian Agreement Exhibit (g) MASTER CUSTODIAN AGREEMENT This Agreement is made as of December 12, 2014 (this “Agreement”), between each management investment company identified on Appendix A and each management investment company which becomes a party to this Agreement in accordance with the terms hereof (in each case, a “Fund”), including, if applicable, each series of the Fund identified on Appendix A and each series which becomes a party to this Agreement in accordance with the terms hereof, and STATE STREET BANK AND TRUST COMPANY, a Massachusetts trust company (the “Custodian”). |
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| February 12, 2015 |
TRANSFER AGENCY AND SERVICE AGREEMENT Transfer Agency and Service Agreement Exhibit (h)(ii) TRANSFER AGENCY AND SERVICE AGREEMENT THIS AGREEMENT is made as of the 12th day of December, 2014, by and between STATE STREET BANK AND TRUST COMPANY, Massachusetts trust company having its principal office and place of business at One Lincoln Street, Boston, Massachusetts 02111 (“State Street” or the “Transfer Agent”), and each of the entities listed on Schedule A attached hereto (each, a “Trust). |
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| December 23, 2014 |
Administration Agreement by and between Registrant and State Street Bank and Trust Company Exhibit (h)(i) ADMINISTRATION AGREEMENT This Administration Agreement (“Agreement”) dated and effective as of September 30, 2014, is by and between State Street Bank and Trust Company, a Massachusetts trust company (the “Administrator”), and each of the entities listed on Schedule A attached hereto (each, a “Trust”). |
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| December 23, 2014 |
Form of Purchasing Fund Agreement (incorporated by reference to Pre-Effective Amendment No. Form of Purchasing Fund Agreement Exhibit (h)(v) LATTICE STRATEGIES TRUST PURCHASING FUND AGREEMENT This Purchasing Fund Agreement (the “Agreement”) is made as of the date set forth below between the Lattice Strategies Trust (the “Trust”) and (the “Purchasing Fund”). |
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| December 23, 2014 |
By-Laws of the Registrant, dated September 30, 2014 (incorporated by reference to Pre-Effective By-Laws of the Registrant Exhibit (b) BY-LAWS of LATTICE STRATEGIES TRUST (a Delaware Statutory Trust) Dated as of September 30, 2014 TABLE OF CONTENTS Page ARTICLE I Introduction 1 Section 1. |
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| December 23, 2014 |
Form of Distribution Agreement by and between Registrant and ALPS Distributors, Inc. |
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| December 23, 2014 |
Code of Ethics of Mellon Capital Management Corporation Exhibit (p)(iii) Policies and Procedures Code of Conduct POLICY: Mellon Capital has adopted Bank of New York Mellon Corporation’s Code of Conduct (the “Code”). |
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| December 23, 2014 |
Code of Ethics of ALPS Distributors, Inc. Exhibit (p)(iv) ALPS Code of Ethics ALPS Code of Ethics Dated: May 1, 2010 Amended Last: September 30, 2013 1 ALPS Code of Ethics Table of Contents Introduction 3 Applicability 4 General Standards of Business Conduct 8 Conflicts of Interest 8 Protecting Confidential Information 8 Insider Trading and Tipping 9 Excess Trading 9 Front Running 9 Gifts and Ente |
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| December 23, 2014 |
Form of Initial Capital Agreement (incorporated by reference to Pre-Effective Amendment No. 1 to Initial Capital Agreement Exhibit (l) FORM OF INITIAL CAPITAL AGREEMENT THIS INITIAL CAPITAL AGREEMENT is entered into as of , 2014 by and between Lattice Strategies LLC with its principal office at One Embarcadero Center, 23rd Floor, San Francisco, California 94111 (“Purchaser”) and Lattice Strategies Trust, a Delaware statutory trust, with its principal office at One Embarcadero Center, 23rd Floor, San Francisco, California 94111 (the “Trust”). |
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| December 23, 2014 |
Declaration of Trust of the Registrant, dated September 30, 2014 (incorporated by reference to Declaration of Lattice Strategies Trust ('Registrant') Exhibit (a) DECLARATION OF TRUST of LATTICE STRATEGIES TRUST (a Delaware Statutory Trust) Dated as of September 30, 2014 TABLE OF CONTENTS DECLARATION OF TRUST Page ARTICLE I Name and Definitions 3 Section 1. |
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| December 23, 2014 |
Lattice Strategies Trust CORRESP - - SEC Response Letter 575 Madison Avenue New York, NY 10022-2585 212.940.8800 tel 212.940.8776 fax www.kattenlaw.com KATHLEEN H. MORIARTY [email protected] (212) 940-6304 direct (212) 894-5504 fax December 23, 2014 VIA EDGAR CORRESPONDENCE Mr. Mark Cowan, Senior Counsel United States Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, DC 20 |
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| December 23, 2014 |
Custodian Agreement by and between Registrant and State Street Bank and Trust Company Exhibit (g) MASTER CUSTODIAN AGREEMENT This Agreement is made as of September 30, 2014 (this “Agreement”), between each management investment company identified on Appendix A and each management investment company which becomes a party to this Agreement in accordance with the terms hereof (in each case, a “Fund”), including, if applicable, each series of the Fund identified on Appendix A and each series which becomes a party to this Agreement in accordance with the terms hereof, and STATE STREET BANK AND TRUST COMPANY, a Massachusetts trust company (the “Custodian”). |
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| December 23, 2014 |
TRANSFER AGENCY AND SERVICE AGREEMENT Transfer Agency and Service Agreement by and between Registrant and State Street Bank and Trust Exhibit (h)(ii) TRANSFER AGENCY AND SERVICE AGREEMENT THIS AGREEMENT is made as of the 30th day of September, 2014, by and between STATE STREET BANK AND TRUST COMPANY, Massachusetts trust company having its principal office and place of business at One Lincoln Street, Boston, Massachusetts 02111 (“State Street” or the “Transfer Agent”), and each of the entities listed on Schedule A attached hereto (each, a “Trust). |
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| December 23, 2014 |
LATTICE STRATEGIES TRUST PARTICIPANT AGREEMENT Form of Participant Agreement Exhibit (h)(iv) LATTICE STRATEGIES TRUST PARTICIPANT AGREEMENT This Participant Agreement (the “Agreement”) is entered into by and among ALPS Distributors, Inc. |
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| December 23, 2014 |
LATTICE STRATEGIES TRUST Rule 12b-1 Distribution and Service Plan Rule 12b-1 Plan Exhibit (m) LATTICE STRATEGIES TRUST Rule 12b-1 Distribution and Service Plan 1. |
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| December 23, 2014 |
Form of Investment Advisory Agreement by and between Registrant and Lattice Strategies Exhibit (d)(i) INVESTMENT ADVISORY AGREEMENT This Investment Advisory Agreement (this “Agreement”) is made and entered into on , 2014, to be effective upon the commencement of operations of the [first of] the portfolios of the Trust listed on Schedule A attached hereto, by and between- Lattice Strategies Trust, a Delaware statutory trust organized on April 15, 2014 (“Trust”), and Lattice Strategies, LLC , a Delaware limited liability company (“Advisor”). |
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| December 23, 2014 |
INVESTMENT SUB-ADVISORY AGREEMENT Form of Investment Sub-Advisory Agreement by and between Lattice Strategies LLC and Mellon Capital Exhibit (d)(ii) INVESTMENT SUB-ADVISORY AGREEMENT This Investment Sub-Advisory Agreement (this “Agreement”) is made and entered into on December 31, 2014, , by and among Lattice Strategies LLC a Delaware limited liability company located at One Embarcadero Center, Suite 2350,San Francisco, California |
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| December 23, 2014 |
Code of Ethics of Registrant Exhibit (p)(i) LATTICE STRATEGIES TRUST (the “Trust”) Code of Ethics Pursuant to Rule 17j-1 of the Investment Company Act of 1940 A. |
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| December 23, 2014 |
Code of Ethics of Lattice Strategies LLC Exhibit (p)(ii) Code of Ethics January 2014 CODE OF ETHICS Statement of Policy The Firm and all Employees must affirmatively exercise authority and responsibility for the benefit of Clients and may not participate in any activities that may conflict with the interests of Clients without full disclosure of such activities to Clients. |
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| December 23, 2014 |
LATTICE STRATEGIES TRUST POWER OF ATTORNEY Powers of Attorney executed by Robin Beery, Naozer Dadachanji, Theodore Lucas and David Sung Exhibit (q) LATTICE STRATEGIES TRUST POWER OF ATTORNEY Each of the undersigned Trustees of Lattice Strategies Trust (the “Trust”) hereby constitutes and appoints Darek Wojnar, Albert Lee, and David James, each of them with full powers of substitution, as his or her true and lawful attorney-in-fact and agen |
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| December 23, 2014 |
Lattice Strategies Trust N-1A/A - - LATTICE STRATEGIES TRUST LATTICE STRATEGIES TRUST Table of Contents As filed with the Securities and Exchange Commission on December 23, 2014 Securities Act File No. |
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| December 23, 2014 |
Securities Lending Authorization Agreement between the Registrant and State Street Bank and Trust Exhibit (h)(iii) SECURITIES LENDING AUTHORIZATION AGREEMENT Between [NAME OF TRUST] ON BEHALF OF EACH OF ITS SERIES AS LISTED ON SCHEDULE B And STATE STREET BANK AND TRUST COMPANY TABLE OF CONTENTS PAGE 1. |
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| October 1, 2014 |
Lattice Strategies Trust COVER - - 575 Madison Avenue New York, NY 10022-2585 212.940.8800 tel 212.940.8776 fax www.kattenlaw.com KATHLEEN H. MORIARTY [email protected] (212) 940-6304 direct (212) 894-5504 fax October 1, 2014 VIA EDGAR Securities and Exchange Commission Washington, D.C. 20549 Re: Form N-1A Filing for Lattice Strategies Trust Registration No.: 811-23002 Dear Sir or Madam: On behalf of our client, Latti |
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| October 1, 2014 |
Lattice Strategies Trust N-1A - - LATTICE STRATEGIES TRUST N-1A 1 d786118dn1a.htm LATTICE STRATEGIES TRUST Table of Contents As filed with the Securities and Exchange Commission on October 1, 2014 Securities Act File No. 333-[ ] Investment Company Act of 1940 File No. 811-23002 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 x Pre-Effective Amendment No. ¨ Post-Effec |
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| October 1, 2014 |
Lattice Strategies Trust N-8A - - LATTICE STRATEGIES TRUST N-8A 1 d786214dn8a.htm LATTICE STRATEGIES TRUST UNITED STATES 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 Inve |
