Basic Stats
| CIK | 1782952 |
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 Investment Managers Series Trust II - AXS Esoterica NextG Economy ETF
SEC Filings (Chronological Order)
This page provides a complete, chronological list of SEC Filings, excluding ownership filings which we provide elsewhere.
| August 26, 2025 |
KURV ETF TRUST 1 Letterman Drive, Building C, Suite 3-500 San Francisco, CA 94129 KURV ETF TRUST 1 Letterman Drive, Building C, Suite 3-500 San Francisco, CA 94129 August 26, 2025 VIA EDGAR Securities and Exchange Commission Filing Desk 100 F Street, N. |
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| July 1, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Kurv ETF Trust (Exact name of registrant as specified in its charter) Delaware See Below (State of incorporation or organization) (I. |
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| June 9, 2025 |
The Atlantic Building 950 F Street, NW Washington, DC 20004-1404 202-239-3300 | Fax: 202-239-3333 The Atlantic Building 950 F Street, NW Washington, DC 20004-1404 202-239-3300 | Fax: 202-239-3333 David J. |
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| June 4, 2025 |
The Atlantic Building 950 F Street, NW Washington, DC 20004-1404 202-239-3300 | Fax: 202-239-3333 The Atlantic Building 950 F Street, NW Washington, DC 20004-1404 202-239-3300 | Fax: 202-239-3333 David J. |
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| November 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Kurv ETF Trust (Exact name of registrant as specified in its charter) Delaware See Below (State of incorporation or organization) (I. |
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| October 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a−101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant ☒ Filed by a party other than the registrant ☐ Check the appropriate box: ☐ Preliminary proxy statement ☐ Confidential, for use of |
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| September 27, 2024 |
Alston&Bird llp The Atlantic Building 950 F. Street, N.W. Washington, DC 20004-2601 202-239-3300 Fax: 202-239-3333 www.alston.com David J. Baum Direct Dial: 202-239-3346 Email: [email protected] September 26, 2024 VIA EDGAR United States Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Attn: Christopher Bellacicco Megan Miller Re: Kurv ETF Trust (the “Trust” or “Regis |
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| August 21, 2024 |
The Atlantic Building 950 F Street, NW Washington, DC 20004-1404 Kurv ETF Trust N-14 Exhibit 99.11 The Atlantic Building 950 F Street, NW Washington, DC 20004-1404 202-756-3300 Fax:202-756-3333 www.alston.com David J. Baum Direct Dial: 202-239-3346 E-mail: [email protected] August 21, 2024 Kurv ETF Trust 1 Letterman Drive, Building C, Suite 3-500 San Francisco, CA 94129 Re: Opinion of Counsel regarding Legality of Shares to be Issued This opinion is being f |
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| August 21, 2024 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Kurv ETF Trust N-14 Exhibit 99.14 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-14 of our report dated July 29, 2024, relating to the financial statements and financial highlights of Kurv Yield Premium Strategy Amazon (AMZN) ETF, Kurv Yield Premium Strategy Apple (APPL) ETF, Kurv Yield Premium S |
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| August 21, 2024 |
Kurv ETF Trust N-14 Exhibit 99.16 POWER OF ATTORNEY We, the undersigned Trustees and officers of Kurv ETF Trust (the “Trust”), hereby severally constitute and appoint DAVID BAUM, MARTIN DOZIER, MUSTAFA ALMUSAWI and ALI DARVISH and each of them singly, our true and lawful attorneys, with full power to them and each of them, to sign for us, and in our name and in the capacities indicated below, the |
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| August 21, 2024 |
KURV ETF TRUST OPERATING EXPENSES LIMITATION Kurv ETF Trust N-14 Exhibit 99.13(c) KURV ETF TRUST OPERATING EXPENSES LIMITATION AGREEMENT THIS OPERATING EXPENSES LIMITATION AND SECURITY AGREEMENT (the “Agreement”) is effective as of [], 2024 by and between KURV ETF TRUST, a Delaware statutory trust (the “Trust”), on behalf of each of the Funds listed on Appendix A, (each a “Fund” and, collectively, the “Funds”) each a series of the Trust, and |
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| August 21, 2024 |
Kurv ETF Trust N-14 Exhibit 99.12 The Atlantic Building 950 F Street, NW Washington, DC 20004-1404 202-239-3300 | Fax: 202-239-3333 [●], 2024 Kurv ETF Trust 1 Letterman Drive, Building C, Suite 3-500 San Francisco, CA 94129 NEOS ETF Trust 13 Riverside Avenue Westport, CT 06880 Ladies and Gentlemen: We have acted as counsel in connection with the Agreement and Plan of Reorganization (the “Agreement |
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| August 21, 2024 |
Kurv ETF Trust N-14 Exhibit 99.6 INVESTMENT ADVISORY AGREEMENT INVESTMENT ADVISORY AGREEMENT, dated [], 2024, between Kurv ETF Trust (the “Trust”), a statutory trust organized under the laws of the State of Delaware, and Kurv Investment Management LLC, a limited liability company organized under the laws of the State of Delaware (the “Adviser”). WHEREAS, the Adviser is engaged in the business of r |
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| August 21, 2024 |
Kurv ETF Trust N-14 Exhibit 99.17 FORM OF PROXY CARD [PROXY SERVICE Address] To vote by Internet 1) Read the Proxy Statement and have the proxy card below at hand. 2) Go to website 3) Follow the instructions provided on the website. To vote by Telephone 1) Read the Proxy Statement and have the proxy card below at hand. 2) Call 3) Follow the instructions. To vote by Mail 1) Read the Proxy Statement |
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| August 21, 2024 |
U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-14 As filed with the Securities and Exchange Commission on August 21, 2024 1933 Act Registration File No. |
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| August 8, 2024 |
KURV ETF TRUST 1 Letterman Drive, Building C, Suite 3-500 San Francisco, CA 94129 KURV ETF TRUST 1 Letterman Drive, Building C, Suite 3-500 San Francisco, CA 94129 August 8, 2024 VIA EDGAR Securities and Exchange Commission Filing Desk 100 F Street, N. |
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| July 22, 2024 |
8-A12B 1 kqqq-8a12b072224.htm FORM 8-A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Kurv ETF Trust (Exact name of registrant as specified in its charter) Delaware See Below (State of incorporation or organization) (I.R.S. Employer Identificat |
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| June 27, 2024 |
The Atlantic Building 950 F Street, NW Washington, DC 20004-1404 202-239-3300 | Fax: 202-239-3333 The Atlantic Building 950 F Street, NW Washington, DC 20004-1404 202-239-3300 | Fax: 202-239-3333 David J. |
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| June 25, 2024 |
The Atlantic Building 950 F Street, NW Washington, DC 20004-1404 202-239-3300 | Fax: 202-239-3333 The Atlantic Building 950 F Street, NW Washington, DC 20004-1404 202-239-3300 | Fax: 202-239-3333 David J. |
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| June 20, 2024 |
The Atlantic Building 950 F Street, NW Washington, DC 20004-1404 202-239-3300 | Fax: 202-239-3333 The Atlantic Building 950 F Street, NW Washington, DC 20004-1404 202-239-3300 | Fax: 202-239-3333 David J. |
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| June 14, 2024 |
The Atlantic Building 950 F Street, NW Washington, DC 20004-1404 202-239-3300 | Fax: 202-239-3333 The Atlantic Building 950 F Street, NW Washington, DC 20004-1404 202-239-3300 | Fax: 202-239-3333 David J. |
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| June 4, 2024 |
The Atlantic Building 950 F Street, NW Washington, DC 20004-1404 202-239-3300 | Fax: 202-239-3333 The Atlantic Building 950 F Street, NW Washington, DC 20004-1404 202-239-3300 | Fax: 202-239-3333 David J. |
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| May 24, 2024 |
The Atlantic Building 950 F Street, NW Washington, DC 20004-1404 202-239-3300 | Fax: 202-239-3333 The Atlantic Building 950 F Street, NW Washington, DC 20004-1404 202-239-3300 | Fax: 202-239-3333 David J. |
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| September 23, 2022 |
ESOTERICA THEMATIC TRUST Esoterica NextG Economy ETF ESOTERICA THEMATIC TRUST Esoterica NextG Economy ETF SCHEDULE OF INVESTMENTS July 31, 2022 (unaudited) Security Description Country Shares Value Common Stocks – 84. |
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| March 10, 2022 |
ESOTERICA THEMATIC TRUST Esoterica NextG Economy ETF ESOTERICA THEMATIC TRUST Esoterica NextG Economy ETF SCHEDULE OF INVESTMENTS January 31, 2022 (unaudited) Security Description Country Shares Value Common Stocks – 97. |
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| February 3, 2022 |
DEF 14A 1 fp0072852def14a.htm 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 Rule 14a-6(e)(2)) [x] Definitive Proxy Statement [ ] Definitive |
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| September 20, 2021 |
ESOTERICA THEMATIC TRUST Esoterica NextG Economy ETF ESOTERICA THEMATIC TRUST Esoterica NextG Economy ETF SCHEDULE OF INVESTMENTS July 31, 2021 (unaudited) Security Description Country Shares Value Common Stocks – 100. |
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| March 25, 2021 |
ESOTERICA THEMATIC TRUST Esoterica NextG Economy ETF ESOTERICA THEMATIC TRUST Esoterica NextG Economy ETF SCHEDULE OF INVESTMENTS January 31, 2021 (unaudited) Security Description Country Shares Value Common Stocks – 100. |
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| March 17, 2021 |
Via EDGAR U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, DC 20549 March 16, 2021 Re: Esoterica Thematic Trust (the “Registrant”) Request to Withdraw Registration Statement on Form N-1A (File Nos. 811-23473 and 333-233633) Ladies and Gentlemen: Esoterica Thematic Trust (the “Trust”) filed Post-Effective Amendment No. 1 to the Trust’s Registrat |
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| September 2, 2020 |
ESOTERICA THEMATIC TRUST Esoterica NextG Economy ETF ESOTERICA THEMATIC TRUST Esoterica NextG Economy ETF SCHEDULE OF INVESTMENTS July 31, 2020 (unaudited) Security Description Country Shares Market Value Common Stocks – 92. |
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| March 18, 2020 |
March 18, 2020 Lisa N. Larkin Senior Counsel Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Esoterica Thematic Trust; File Nos. 333-233633 and 811-23473 Dear Ms. Larkin: On March 13, 2020, Esoterica Thematic Trust (the “Fund”) filed Pre-Effective Amendment No. 2 to its registration statement on Form N-1A (the “Registration St |
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| March 13, 2020 |
As filed with the Securities and Exchange Commission on March 12, 2020 As filed with the Securities and Exchange Commission on March 12, 2020 Securities Act File No. |
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| March 13, 2020 |
March 13, 2020 Lisa N. Larkin Senior Counsel Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Esoterica Thematic Trust; File Nos. 333-233633 and 811-23473 Dear Ms. Larkin: On March 13, 2020, Esoterica Thematic Trust (the “Fund”) filed Pre-Effective Amendment No. 2 to its registration statement on Form N-1A (the “Registration St |
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| March 13, 2020 |
Esoterica Thematic Trust FORESIDE FUND Services, LLC 135 W. 52nd Street, Suite 16C New York, New York 10019 3 Canal Plaza Portland, ME 04101 March 13, 2020 VIA ELECTRONIC TRANSMISSION Ms. Lisa Larkin Senior Counsel Office of Disclosure and Review U.S. Securities & Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Esoterica Thematic Trust, Files Nos.: 333-233633; 811-23473 Dear Ms. La |
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| March 13, 2020 |
March 12, 2020 VIA ELECTRONIC TRANSMISSION Securities and Exchange Commission Public Filing Desk 100 F Street, N. |
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| March 13, 2020 |
EX-99.28.I 2 fp0051826ex9928i.htm March 12, 2020 Esoterica Thematic Trust 135 W. 52nd St., 16C New York, New York 10019 Re: Esoterica Thematic Trust; File Nos. 333-233633 and 811-23473 Dear Board Members: A legal opinion (the “Legal Opinion”) that we prepared was filed with Pre-Effective Amendment No. 1 to the Esoterica Thematic Trust Registration Statement. We hereby give you our consent to incor |
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| March 13, 2020 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-1A of our report dated February 19, 2020, relating to the financial statement of Esoterica Thematic Trust comprising Esoterica NextG Economy ETF as of February 18, 2020, and to the references to our firm under the headings ?Fund Service Providers? and ?Independent Registered Public Accountant? in the Prospectus and ?Independent Registered Public Accounting Firm? in the Statement of Additional Information. |
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| March 11, 2020 |
March 11, 2020 Lisa N. Larkin Senior Counsel Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Esoterica Thematic Trust; File Nos. 333-233633 and 811-23473 Dear Ms. Larkin: On February 20, 2020, Esoterica Thematic Trust (the “Fund”) filed Pre-Effective Amendment No. 1 to its registration statement on Form N-1A (the “Registration |
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| March 6, 2020 |
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 ESOTERICA THEMATIC TRUST (Exact name of registrant as specified in its charter) Delaware See below (State of incorporation or organization) (I.R.S. Employer Identification No.) 135 W. 52nd Street, |
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| March 5, 2020 |
March 4, 2020 Lisa N. Larkin Senior Counsel Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Esoterica Thematic Trust; File Nos. 333-233633 and 811-23473 Dear Ms. Larkin: On February 20, 2020, Esoterica Thematic Trust (the ?Fund?) filed Pre-Effective Amendment No. 1 to its registration statement on Form N-1A (the ?Registration |
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| March 5, 2020 |
Esoterica Thematic Trust FORESIDE FUND Services, LLC 135 W. 52nd Street, Suite 16C New York, New York 10019 3 Canal Plaza Portland, ME 04101 March 4, 2020 VIA ELECTRONIC TRANSMISSION Ms. Lisa Larkin Senior Counsel Office of Disclosure and Review U.S. Securities & Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Esoterica Thematic Trust, Files Nos.: 333-233633; 811-23473 Dear Ms. Lar |
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| February 20, 2020 |
February 18, 2020 Lisa N. Larkin Senior Counsel Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Esoterica Thematic ETF Trust; File Nos. 333-233633 and 811-23473 Dear Ms. Larkin: On September 5, 2019, Esoterica Thematic ETF Trust (the “Fund”) filed a registration statement on Form N-1A (the “Registration Statement”). The Fund h |
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| February 20, 2020 |
DISTRIBUTION AGREEMENT This Distribution Agreement (the “Agreement”) is made this 11th day of December 2019, by and between Esoterica Thematic Trust, a Delaware statutory trust (the “Trust”) having its principal place of business at 135 W. |
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| February 20, 2020 |
Agreement and Declaration of Trust of the Registrant AGREEMENT AND DECLARATION OF TRUST of Esoterica Thematic Trust a Delaware Statutory Trust TABLE OF CONTENTS Page ARTICLE I. |
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| February 20, 2020 |
Distribution Services Agreement DISTRIBUTION SERVICES AGREEMENT THIS AGREEMENT made this 11th day of December, 2019 by and between Esoterica Capital LLC, a Delaware limited liability company (the “Adviser”), and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”). |
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| February 20, 2020 |
As filed with the Securities and Exchange Commission on February 20, 2020 As filed with the Securities and Exchange Commission on February 20, 2020 Securities Act File No. |
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| February 20, 2020 |
EX-99.28.H.5 14 fp0050924ex9928h5.htm FORM OF AUTHORIZED PARTICIPANT AGREEMENT [TRUST NAME] 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 |
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| February 20, 2020 |
Fund PFO and Treasury Agreement FUND PFO/TREASURER AGREEMENT AGREEMENT made as of February 10, 2020, by and between Esoterica Thematic Trust, a Delaware statutory trust, with its principal office and place of business at 135 W. |
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| February 20, 2020 |
Esoterica NextG Economy ETF Operating Expenses Limitation Agreement ESOTERICA THEMATIC TRUST OPERATING EXPENSES LIMITATION AGREEMENT Esoterica Capital LLC THIS OPERATING EXPENSES LIMITATION AGREEMENT (the “Agreement”) by and between ESOTERICA THEMATIC TRUST, a Delaware statutory trust (the “Trust”), on behalf of the Esoterica NextG Economy ETF (the “Fund”), a series of the Trust and the adviser, Esoterica Capital LLC (the “Adviser”). |
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| February 20, 2020 |
Esoterica Thematic Trust Master Distribution Plan Pursuant to Rule 12b-1 Adopted October 8, 2019 WHEREAS, Esoterica Thematic Trust, a Delaware statutory trust (the “Trust”), engages in business as an open-end management investment company and is registered as such under the Investment Company Act of 1940, as amended (the “1940 Act”); and WHEREAS, the Trust issues shares of beneficial interest (the |
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| February 20, 2020 |
Sub-Advisory Agreement between Esoterica Capital, LLC and Vident Investment Advisory, LLC Execution Copy INVESTMENT SUB-ADVISORY AGREEMENT with Vident Investment Advisory, LLC This INVESTMENT SUB-ADVISORY AGREEMENT (the “Agreement”) is made as of this 14th day of February, 2020 by and among ESOTERICA CAPITAL LLC, a Delaware limited liability company with its principal place of business at 135 W. |
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| February 20, 2020 |
Code of Ethics of the Registrant EX-99.28.P.1 20 fp0050924ex9928p1.htm ESOTERICA THEMATIC TRUST CODE OF ETHICS This Code of Ethics (the “Code”) has been adopted by Esoterica Thematic Trust (the “Trust”) 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 c |
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| February 20, 2020 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-1A of our report dated February 19, 2020, relating to the financial statement of Esoterica Thematic Trust comprising Esoterica NextG Economy ETF as of February 18, 2020, and to the references to our firm under the headings “Fund Service Providers” and “Independent Registered Public Accountant”in the Prospectus and “Independent Registered Public Accounting Firm” in the Statement of Additional Information. |
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| February 20, 2020 |
FUND CCO AND AMLO AGREEMENT THIS AGREEMENT is made as of December 11, 2019 by and between Esoterica Thematic Trust, a Delaware statutory trust having its principal place of business at 135 W. |
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| February 20, 2020 |
EX-99.28.H.6 15 fp0050924ex9928h6.htm Agreement on IOPV Calculation the (“Agreement”) dated 12 February 2020 between Solactive AG Platz der Einheit 1 60327 Frankfurt am Main Germany - hereinafter referred to as "Solactive" - and Esoterica Capital LLC 135 W 52nd St, 16C NYC, NY, 10019 United States of America - hereinafter referred to as "Partner" - jointly referred to hereinafter as "Parties" - Co |
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| February 20, 2020 |
Code of Ethics of Esoterica Capital LLC EX-99.28.P.2 21 fp0050924ex9928p2.htm ESOTERICA CAPITAL LLC CODE OF BUSINESS CONDUCT AND ETHICS DECEMBER, 2019 Introduction This Code of Ethics (this “Code”) is adopted by Esoterica Capital LLC (“Esoterica”, “the Company”, or “the Firm”) in an effort to maintain a policy of strict compliance with the highest standards of ethical business conduct and the provisions of applicable laws, including sta |
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| February 20, 2020 |
Management Agreement between the Trust and Esoterica Capital, LLC Execution Copy MANAGEMENT AGREEMENT TO: Esoterica Capital LLC 135 W. 52nd St., 16C New York, NY 10019 Dear Esoterica Capital LLC ("you" or the "Manager"): Esoterica Thematic Trust (the "Trust"), an open-end investment company established as a Delaware statutory trust, offers shares in the series named on Appendix A hereto (such series being herein referred to as a “Fund,” and collectively as the “ |
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| February 20, 2020 |
Administrative Agency Agreement ADMINISTRATIVE AGENCY AGREEMENT THIS AGREEMENT is made as of December 31, 2019, by and between BROWN BROTHERS HARRIMAN & CO. |
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| February 20, 2020 |
(a) Powers of Attorney of Edward McRedmond and Monique Labbe.2 POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS: WHEREAS, ESOTERICA THEMATIC 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 (File Nos. |
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| February 20, 2020 |
February 19, 2020 VIA ELECTRONIC TRANSMISSION Securities and Exchange Commission Public Filing Desk 100 F Street, N. |
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| February 20, 2020 |
Exchange Listing Agreement This listing agreement (?Listing Agreement?) should be executed and submitted by Companies seeking initial listing on the Cboe BZX Exchange, Inc. |
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| February 20, 2020 |
CUSTODIAN AGREEMENT THIS AGREEMENT, dated as of December 31, 2019, between ESOTERICA THEMATIC TRUST, a management investment company organized as a Delaware statutory trust and registered with the Commission under the Investment Company Act of 1940 (the “1940 Act”) (the “Trust,” for itself and on behalf of each series listed on Appendix A to this Agreement, severally and not jointly (each, a “Portfolio”)), and BROWN BROTHERS HARRIMAN & CO. |
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| February 20, 2020 |
EX-99.28.I 17 fp0050924ex9928i.htm February 19, 2020 Esoterica Thematic Trust 135 W. 52nd St., 16C New York, New York 10019 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. 333-233633 and 811-23473 (the “Registration Statement”), of Esoterica Thematic Trust (the “Tr |
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| February 20, 2020 |
EX-99.28.B.1 4 fp0050924ex9928b1.htm BY-LAWS Esoterica Thematic Trust A Delaware Statutory Trust ARTICLE I. OFFICES Section 1.01. PRINCIPAL EXECUTIVE OFFICE. The Board of Trustees shall fix and, from time to time, may change the location of the principal executive office of the Trust at any place within or outside the State of Delaware. Section 1.02. OTHER OFFICES. The Board of Trustees may at any |
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| February 20, 2020 |
STATE OF DELAWARE CERTIFICATE OF AMENDMENT TO CERTIFICATE OF TRUST OF ESOTERICA THEMATIC ETF TRUST Pursuant to Title 12, Section 3810(b) of the Delaware Statutory Trust Act, the undersigned Trust executed the following Certificate of Amendment: 1. |
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| October 3, 2019 |
October 2, 2019 Via EDGAR U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: Request for Withdrawal of Exemptive Application (File No: 812-15053) Ladies and Gentlemen: On August 1, 2019, Esoterica Thematic ETF Trust (?Trust?) and Esoterica Capital LLC (collectively, the ?Applicants?) filed an application (the ?Application?) for a |
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| September 5, 2019 |
Delaware Page 1 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 “ESOTERICA THEMATIC ETF TRUST.”, FILED IN THIS OFFICE ON THE SECOND DAY OF JULY, A.D. 2019, AT 7:13 O`CLOCK P.M. Jeffrey W. Bullock Secretary of State 7498049 8100 SR# 20195794055 Authenti |
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| September 5, 2019 |
As filed with the Securities and Exchange Commission on September 5, 2019 N-1A 1 fp0045518n1a.htm As filed with the Securities and Exchange Commission on September 5, 2019 Securities Act File No. 333-[ ] Investment Company Act File No. 811-[ ] U.S. 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-Effective Amendment No. [ ] AND/OR THE INVESTMENT COMPANY AC |
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| September 5, 2019 |
September 4, 2019 VIA ELECTRONIC TRANSMISSION Securities and Exchange Commission Public Filing Desk 100 F Street, N. |
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| September 5, 2019 |
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 |
