Grundlæggende statistik
| CIK | 1501825 |
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 Hartford Funds Exchange-Traded Trust - Hartford AAA CLO ETF
SEC Filings (Chronological Order)
Denne side giver en komplet, kronologisk liste over SEC-arkiveringer, eksklusive ejerskabsregistreringer, som vi leverer andre steder.
| June 3, 2026 |
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): June 3, 2026 Hartford Funds Exchange-Traded Trust (Exact name of registrant as specified in its charter) Delaware 811-23222 See below (State or other jurisdiction (Commission (IRS Emp |
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| June 2, 2026 |
cboe.com June 2, 2026 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549 RE: Hartford Funds Exchange-Traded Trust Issuer CIK: 0001501825 Issuer File Number: 333-215165/811-23222 Form Type: 8-A12B Filing Date: June 2, 2026 To Whom It May Concern: Cboe BZX Exchange, Inc. certifies its approval for listing and registration of Hartford Alpha |
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| May 28, 2026 |
Hartford Alpha Capture Growth ETF UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| December 16, 2025 |
8050 Marshall Drive, Suite 120 › Lenexa, KS 66214 › cboe.com December 16, 2025 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549 RE: Hartford Funds Exchange-Traded Trust Issuer CIK: 0001501825 Issuer File Number: 333-215165 / 811-23222 Form Type: 8-A12B Filing Date: December 16, 2025 To Whom It May Concern: Cboe BZX Exchange, Inc. certi |
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| December 11, 2025 |
Hartford Funds Exchange-Traded Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 23, 2025 |
The Nasdaq Stock Market LLC, 1100 New York Ave. NW, Suite 310E, Washington, DC 20005 Joseph Cusick Vice President Head of Market Surveillance September 23, 2025 Division of Corporation Finance U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Division of Corporation Finance: This is to certify that on September 17, 2025 The Nasdaq Stock Market (the "Exchange") recei |
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| September 17, 2025 |
Hartford Dynamic Bond ETF UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 11, 2025 |
Dechert LLP 1900 K Street, N.W. Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax Alexander Karampatsos Partner [email protected] +1 202 261 3402 Direct September 11, 2025 VIA EDGAR CORRESPONDENCE Kalkidan Ezra U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D.C. 20549-4644 Re: Hartford Funds Exchange-Trad |
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| 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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| November 20, 2024 |
1900 K Street, N.W. Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www.dechert.com Alexander Karampatsos [email protected] +1 202 261 3402 Direct November 20, 2024 VIA EDGAR CORRESPONDENCE Seamus O’Brien U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D.C. 20549-4644 Re: Hartford Funds Exchange-Traded Trus |
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| October 29, 2024 |
EXHIBIT I The shares reported on the attached Schedule 13G are beneficially owned by the following direct or indirect subsidiaries of The Bank of New York Mellon Corporation, as listed: (A) The Item 3 classification of each of the subsidiaries listed below is "Item 3(b) Bank as defined in Section 3(a)(6) of the Act" (15 U. |
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| October 29, 2024 |
JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), the undersigned hereby agree to any and all joint filings required to be made on their behalf on Schedule 13G (including amendments thereto) under the Exchange Act, with respect to securities which may be deemed to be beneficially owned by them under the Exchange Act, and that this Agreement be included as an Exhibit to any such joint filing. |
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| October 29, 2024 |
POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS that each of the undersigned (each a "Company") does hereby make, constitute and appoint each of Ivan Arias and Andrew Weiser (and any other employee of The Bank of New York Mellon Corporation, or one of its affiliates, associated with the Global Holdings Reporting Group and designated in writing by one of the attorneys-in-fact), acting individu |
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| September 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.21)* NAME OF ISSUER: Hartford Schroders Tax-Aware Bond ETF TITLE OF CLASS OF SECURITIES: Exchange Traded Fund CUSIP NUMBER: 41653L404 DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT: August 31, 2024 Check the appropriate box to designate the rule pursua |
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| January 24, 2024 |
SC 13G/A 1 Hartford13GFiling.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.20)* NAME OF ISSUER: Hartford Schroders Tax-Aware Bond ETF TITLE OF CLASS OF SECURITIES: Exchange Traded Fund CUSIP NUMBER: 41653L404 DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT: December 31, 2023 Check the appropria |
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| December 6, 2023 |
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): December 6, 2023 Hartford Funds Exchange-Traded Trust (Exact name of registrant as specified in its charter) Delaware 811-23222 86-3860707 (State or other jurisdiction (Commission (IR |
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| November 16, 2023 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| November 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.19)* NAME OF ISSUER: Hartford Schroders Tax-Aware Bond ETF TITLE OF CLASS OF SECURITIES: Exchange Traded Fund CUSIP NUMBER: 41653L404 DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT: October 31, 2023 Check the appropriate box to designate the rule pursu |
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| October 13, 2023 |
8050 Marshall Drive, Suite 120 › Lenexa, KS 66214 › cboe.com By Electronic Mail October 13, 2023 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549 RE: Hartford Funds Exchange-Traded Trust Issuer CIK: 0001501825 Issuer File Number: 811-23222/333-215165 Form Type: 8-A12B Filing Date: October 13, 2023 To Whom It May Concern: Please be advi |
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| October 11, 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 HARTFORD FUNDS EXCHANGE-TRADED TRUST (Exact name of registrant as specified in its charter) State of Delaware 41-1821330 (State or other jurisdiction of incorporation or organization) (I.R.S. Emplo |
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| September 18, 2023 |
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 [ ] Confidential, for use of the Commission only (as permitted by Rule |
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| September 15, 2023 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| September 8, 2023 |
Hartford Funds Exchange-Traded Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 10, 2023 |
Hartford Funds Exchange-Traded Trust Table of Contents As filed with the U.S. Securities and Exchange Commission on August 10, 2023 File No. 333-273214 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pre-Effective Amendment No. 1 ☑ Post-Effective Amendment No. ☐ Hartford Funds Exchange-Traded Trust (Exact Nam |
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| August 10, 2023 |
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-14 of Hartford Funds Exchange-Traded Trust of our report dated December 28, 2022, relating to the financial statements and financial highlights, which appears in Hartford Quality Value Fund’s Annual Report on Form N-CSR for the year ended October 31, 2022. |
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| August 7, 2023 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| July 28, 2023 |
Hartford Funds Exchange-Traded Trust 690 Lee Road Wayne, Pennsylvania 19087 July 28, 2023 Hartford Funds Exchange-Traded Trust 690 Lee Road Wayne, Pennsylvania 19087 July 28, 2023 VIA EDGAR U. |
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| July 28, 2023 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| July 12, 2023 |
Hartford Funds Exchange-Traded Trust As filed with the U.S. Securities and Exchange Commission on July 12, 2023 File No. 333-[ ] UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pre-Effective Amendment No. ☐ Post-Effective Amendment No. ☐ Hartford Funds Exchange-Traded Trust (Exact Name of Registrant as Specif |
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| July 12, 2023 |
One International Place, 40th Floor One International Place, 40th Floor 100 Oliver Street Boston, MA 02110-2605 +1 617 728 7100 Main +1 617 426 6567 Fax www. |
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| July 12, 2023 |
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-14 of The Hartford Mutual Funds II, Inc. |
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| July 12, 2023 |
Form of Amendment No 7 to the Distribution Agreement FORM OF AMENDMENT 9 This amendment (the “Amendment”) between the parties signing below (“Parties”) amends the Existing Agreement as of October , 2023 (the “Effective Date”): Term Means “Existing Agreement” The Distribution Agreement between ALPS and the Trust dated April 16, 2018, as amended “ALPS” ALPS Distributors, Inc. |
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| July 12, 2023 |
AMENDMENT NUMBER 5 TO THE INVESTMENT MANAGEMENT AGREEMENT Amendment Number 5 to the Investment Management Agreement AMENDMENT NUMBER 5 TO THE INVESTMENT MANAGEMENT AGREEMENT This AMENDMENT NUMBER 5 (the “Amendment”) amends that certain INVESTMENT MANAGEMENT AGREEMENT, dated March 8, 2017, by and between Hartford Funds Management Company, LLC (the “Adviser”), and Hartford Funds Exchange-Traded Trust (the “Trust”) (the “Agreement”), on its own behalf and on behalf of each series listed on Schedule A hereto (each a “Fund”), and is effective as of June 15, 2023 (the “Effective Date”). |
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| July 12, 2023 |
FORM OF AMENDMENT NUMBER 8 TO THE SUB-ADVISORY AGREEMENT Amendment Number 8 to the Sub-Advisory Agrmt w/ Wellington Mngmt Co FORM OF AMENDMENT NUMBER 8 TO THE SUB-ADVISORY AGREEMENT This AMENDMENT NUMBER 8 (the “Amendment”) amends that certain SUB-ADVISORY AGREEMENT, dated March 8, 2017, by and between Hartford Funds Management Company, LLC (the “Adviser”), and Wellington Management Company LLP (the “Sub-Adviser”) (the “Agreement”), and is effective as of [August 9, 2023] (the “Effective Date”). |
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| July 12, 2023 |
THE HARTFORD MUTUAL FUNDS II, INC. HARTFORD FUNDS EXCHANGE-TRADED TRUST POWER OF ATTORNEY June 30, 2023 Each of the undersigned persons do hereby constitute and appoint as their attorney-in-fact and agent Walter F. Garger, Thomas R. Phillips, and Alice A. Pellegrino and each of them, with full power to act without the other, as the true and lawful attorney-in-fact and agent, with full and several |
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| July 12, 2023 |
FORM OF AMENDMENT NUMBER 6 TO THE INVESTMENT MANAGEMENT AGREEMENT FORM OF AMENDMENT NUMBER 6 TO THE INVESTMENT MANAGEMENT AGREEMENT This AMENDMENT NUMBER 6 (the “Amendment”) amends that certain INVESTMENT MANAGEMENT AGREEMENT, dated March 8, 2017, by and between Hartford Funds Management Company, LLC (the “Adviser”), and Hartford Funds Exchange-Traded Trust (the “Trust”) (the “Agreement”), on its own behalf and on behalf of each series listed on Schedule A hereto (each a “Fund”), and is effective as of [August 9, 2023] (the “Effective Date”). |
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| July 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.18)* NAME OF ISSUER: Hartford Schroders Tax-Aware Bond ETF TITLE OF CLASS OF SECURITIES: Exchange Traded Fund CUSIP NUMBER: 41653L404 DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT: June 30, 2023 Check the appropriate box to designate the rule pursuant |
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| June 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.17)* NAME OF ISSUER: Hartford Schroders Tax-Aware Bond ETF TITLE OF CLASS OF SECURITIES: Exchange Traded Fund CUSIP NUMBER: 41653L404 DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT: May 31, 2023 Check the appropriate box to designate the rule pursuant |
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| May 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.16)* NAME OF ISSUER: Hartford Schroders Tax-Aware Bond ETF TITLE OF CLASS OF SECURITIES: Exchange Traded Fund CUSIP NUMBER: 41653L404 DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT: April 30, 2023 Check the appropriate box to designate the rule pursuan |
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| March 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.15)* NAME OF ISSUER: Hartford Schroders Tax-Aware Bond ETF TITLE OF CLASS OF SECURITIES: Exchange Traded Fund CUSIP NUMBER: 41653L404 DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT: February 28, 2023 Check the appropriate box to designate the rule purs |
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| February 6, 2023 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Hartford Municipal Opportunities ETF - (Name of Issuer) Common - (Title of Class of Securities) 41653L503 - (CUSIP Number) December 31, 2022 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua |
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| February 6, 2023 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| January 27, 2023 |
HTAB / Hartford Schroders Tax-Aware Bond ETF / Bank of New York Mellon Corp Passive Investment SC 13G/A 1 Hartford13GFiling.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.14)* NAME OF ISSUER: Hartford Schroders Tax-Aware Bond ETF TITLE OF CLASS OF SECURITIES: Exchange Traded Fund CUSIP NUMBER: 41653L404 DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT: December 31, 2022 Check the appropria |
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| December 27, 2022 |
Hartford Core Bond ETF Schedule of Investments October 31, 2022 (Unaudited) Shares or Principal Amount Market Value† ASSET & COMMERCIAL MORTGAGE-BACKED SECURITIES - 22. |
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| December 27, 2022 |
Hartford Core Bond ETF Schedule of Investments October 31, 2022 (Unaudited) Shares or Principal Amount Market Value† ASSET & COMMERCIAL MORTGAGE-BACKED SECURITIES - 22. |
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| December 27, 2022 |
Hartford Core Bond ETF Schedule of Investments October 31, 2022 (Unaudited) Shares or Principal Amount Market Value† ASSET & COMMERCIAL MORTGAGE-BACKED SECURITIES - 22. |
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| December 27, 2022 |
NPORT-EX 2 NPORTLSCB954861261022.htm Hartford Core Bond ETF Schedule of Investments October 31, 2022 (Unaudited) Shares or Principal Amount Market Value† ASSET & COMMERCIAL MORTGAGE-BACKED SECURITIES - 22.1% Asset-Backed - Automobile - 0.7% $ 30,000 American Credit Acceptance Receivables Trust 4.55%, 10/13/2026(1) $ 29,161 155,000 Exeter Automobile Receivables Trust 4.57%, 01/15/202 |
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| December 27, 2022 |
Hartford Core Bond ETF Schedule of Investments October 31, 2022 (Unaudited) Shares or Principal Amount Market Value† ASSET & COMMERCIAL MORTGAGE-BACKED SECURITIES - 22. |
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| December 27, 2022 |
Hartford Core Bond ETF Schedule of Investments October 31, 2022 (Unaudited) Shares or Principal Amount Market Value† ASSET & COMMERCIAL MORTGAGE-BACKED SECURITIES - 22. |
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| December 27, 2022 |
Hartford Core Bond ETF Schedule of Investments October 31, 2022 (Unaudited) Shares or Principal Amount Market Value† ASSET & COMMERCIAL MORTGAGE-BACKED SECURITIES - 22. |
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| December 27, 2022 |
NPORT-EX 2 NPORTLSCD960653081022.htm Hartford Core Bond ETF Schedule of Investments October 31, 2022 (Unaudited) Shares or Principal Amount Market Value† ASSET & COMMERCIAL MORTGAGE-BACKED SECURITIES - 22.1% Asset-Backed - Automobile - 0.7% $ 30,000 American Credit Acceptance Receivables Trust 4.55%, 10/13/2026(1) $ 29,161 155,000 Exeter Automobile Receivables Trust 4.57%, 01/15/202 |
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| December 27, 2022 |
Hartford Core Bond ETF Schedule of Investments October 31, 2022 (Unaudited) Shares or Principal Amount Market Value† ASSET & COMMERCIAL MORTGAGE-BACKED SECURITIES - 22. |
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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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| December 19, 2022 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 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): December 19, 2022 (December 14, 2022) Hartford Funds Exchange-Traded Trust (Exact name of registrant as specified in its charter) Delaware 811-23222 86-3860707 (State or other jurisdi |
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| November 29, 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 18, 2022 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| September 12, 2022 |
HTAB / Hartford Schroders Tax-Aware Bond ETF / Bank of New York Mellon Corp Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.13)* NAME OF ISSUER: Hartford Schroders Tax-Aware Bond ETF TITLE OF CLASS OF SECURITIES: Exchange Traded Fund CUSIP NUMBER: 41653L404 DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT: August 31, 2022 Check the appropriate box to designate the rule pursua |
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| June 27, 2022 |
Hartford Core Bond ETF Schedule of Investments April 30, 2022 (Unaudited) Shares or Principal Amount Market Value† ASSET & COMMERCIAL MORTGAGE-BACKED SECURITIES - 21. |
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| June 27, 2022 |
NPORT-EX 2 NPORTLWEF281610430422.htm Hartford Core Bond ETF Schedule of Investments April 30, 2022 (Unaudited) Shares or Principal Amount Market Value† ASSET & COMMERCIAL MORTGAGE-BACKED SECURITIES - 21.8% Asset-Backed - Automobile - 0.1% $ 105,000 Prestige Auto Receivables Trust 1.62%, 11/16/2026(1) $ 102,802 94,067 Tricolor Auto Securitization Trust 0.74%, 04/15/2024(1) 93,73 |
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| June 27, 2022 |
Hartford Core Bond ETF Schedule of Investments April 30, 2022 (Unaudited) Shares or Principal Amount Market Value† ASSET & COMMERCIAL MORTGAGE-BACKED SECURITIES - 21. |
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| June 27, 2022 |
NPORT-EX 2 NPORTLWEJ142699740422.htm Hartford Core Bond ETF Schedule of Investments April 30, 2022 (Unaudited) Shares or Principal Amount Market Value† ASSET & COMMERCIAL MORTGAGE-BACKED SECURITIES - 21.8% Asset-Backed - Automobile - 0.1% $ 105,000 Prestige Auto Receivables Trust 1.62%, 11/16/2026(1) $ 102,802 94,067 Tricolor Auto Securitization Trust 0.74%, 04/15/2024(1) 93,73 |
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| June 27, 2022 |
NPORT-EX 2 NPORTLSCD793736080422.htm Hartford Core Bond ETF Schedule of Investments April 30, 2022 (Unaudited) Shares or Principal Amount Market Value† ASSET & COMMERCIAL MORTGAGE-BACKED SECURITIES - 21.8% Asset-Backed - Automobile - 0.1% $ 105,000 Prestige Auto Receivables Trust 1.62%, 11/16/2026(1) $ 102,802 94,067 Tricolor Auto Securitization Trust 0.74%, 04/15/2024(1) 93,73 |
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| June 27, 2022 |
Hartford Core Bond ETF Schedule of Investments April 30, 2022 (Unaudited) Shares or Principal Amount Market Value† ASSET & COMMERCIAL MORTGAGE-BACKED SECURITIES - 21. |
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| June 27, 2022 |
Hartford Core Bond ETF Schedule of Investments April 30, 2022 (Unaudited) Shares or Principal Amount Market Value† ASSET & COMMERCIAL MORTGAGE-BACKED SECURITIES - 21. |
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| June 27, 2022 |
NPORT-EX 2 NPORTLWED183717380422.htm Hartford Core Bond ETF Schedule of Investments April 30, 2022 (Unaudited) Shares or Principal Amount Market Value† ASSET & COMMERCIAL MORTGAGE-BACKED SECURITIES - 21.8% Asset-Backed - Automobile - 0.1% $ 105,000 Prestige Auto Receivables Trust 1.62%, 11/16/2026(1) $ 102,802 94,067 Tricolor Auto Securitization Trust 0.74%, 04/15/2024(1) 93,73 |
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| June 27, 2022 |
NPORT-EX 2 NPORTLWEI926916010422.htm Hartford Core Bond ETF Schedule of Investments April 30, 2022 (Unaudited) Shares or Principal Amount Market Value† ASSET & COMMERCIAL MORTGAGE-BACKED SECURITIES - 21.8% Asset-Backed - Automobile - 0.1% $ 105,000 Prestige Auto Receivables Trust 1.62%, 11/16/2026(1) $ 102,802 94,067 Tricolor Auto Securitization Trust 0.74%, 04/15/2024(1) 93,73 |
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| June 9, 2022 |
US41653L6020 / Hartford Short Duration ETF / TRUIST FINANCIAL CORP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. )* Hartford Short Duration ETF 41653L602 May 31, 2022 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1 (b) [ ] Rule 13d-1 (c) [ ] Rule 13d-1 (d) *The remainder of this cover page shall be filled out f |
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| May 10, 2022 |
HTAB / Hartford Schroders Tax-Aware Bond ETF / Bank of New York Mellon Corp Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.12)* NAME OF ISSUER: Hartford Schroders Tax-Aware Bond ETF TITLE OF CLASS OF SECURITIES: Exchange Traded Fund CUSIP NUMBER: 41653L404 DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT: April 30, 2022 Check the appropriate box to designate the rule pursuan |
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| April 11, 2022 |
HTAB / Hartford Schroders Tax-Aware Bond ETF / Bank of New York Mellon Corp Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.11)* NAME OF ISSUER: Hartford Schroders Tax-Aware Bond ETF TITLE OF CLASS OF SECURITIES: Exchange Traded Fund CUSIP NUMBER: 41653L404 DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT: March 31, 2022 Check the appropriate box to designate the rule pursuan |
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| March 17, 2022 |
US41653L6020 / Hartford Short Duration ETF / TRUIST FINANCIAL CORP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Hartford Short Duration ETF 41653L602 December 31, 2021 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1 (b) [ ] Rule 13d-1 (c) [ ] Rule 13d-1 (d) *The remainder of this cover page shall be filled ou |
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| February 1, 2022 |
HTAB / Hartford Schroders Tax-Aware Bond ETF / Bank of New York Mellon Corp Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.10)* NAME OF ISSUER: Hartford Schroders Tax-Aware Bond ETF TITLE OF CLASS OF SECURITIES: Exchange Traded Fund CUSIP NUMBER: 41653L404 DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT: December 31, 2021 Check the appropriate box to designate the rule purs |
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| January 31, 2022 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Hartford Municipal Opportunities ETF - (Name of Issuer) Common - (Title of Class of Securities) 41653L503 - (CUSIP Number) December 31, 2021 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuan |
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| January 31, 2022 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| December 29, 2021 |
Hartford Core Bond ETF Schedule of Investments October 31, 2021 (Unaudited) Shares or Principal Amount Market Value† ASSET & COMMERCIAL MORTGAGE-BACKED SECURITIES - 20. |
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| December 29, 2021 |
Hartford Core Bond ETF Schedule of Investments October 31, 2021 (Unaudited) Shares or Principal Amount Market Value† ASSET & COMMERCIAL MORTGAGE-BACKED SECURITIES - 20. |
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| December 29, 2021 |
Hartford Core Bond ETF Schedule of Investments October 31, 2021 (Unaudited) Shares or Principal Amount Market Value† ASSET & COMMERCIAL MORTGAGE-BACKED SECURITIES - 20. |
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| December 29, 2021 |
Hartford Core Bond ETF Schedule of Investments October 31, 2021 (Unaudited) Shares or Principal Amount Market Value† ASSET & COMMERCIAL MORTGAGE-BACKED SECURITIES - 20. |
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| December 29, 2021 |
Hartford Core Bond ETF Schedule of Investments October 31, 2021 (Unaudited) Shares or Principal Amount Market Value† ASSET & COMMERCIAL MORTGAGE-BACKED SECURITIES - 20. |
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| December 29, 2021 |
Hartford Core Bond ETF Schedule of Investments October 31, 2021 (Unaudited) Shares or Principal Amount Market Value† ASSET & COMMERCIAL MORTGAGE-BACKED SECURITIES - 20. |
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| December 29, 2021 |
Hartford Core Bond ETF Schedule of Investments October 31, 2021 (Unaudited) Shares or Principal Amount Market Value† ASSET & COMMERCIAL MORTGAGE-BACKED SECURITIES - 20. |
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| December 29, 2021 |
Hartford Core Bond ETF Schedule of Investments October 31, 2021 (Unaudited) Shares or Principal Amount Market Value† ASSET & COMMERCIAL MORTGAGE-BACKED SECURITIES - 20. |
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| November 10, 2021 |
HTAB / Hartford Schroders Tax-Aware Bond ETF / Bank of New York Mellon Corp Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.9)* NAME OF ISSUER: Hartford Schroders Tax-Aware Bond ETF TITLE OF CLASS OF SECURITIES: Exchange Traded Fund CUSIP NUMBER: 41653L404 DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT: October 31, 2021 Check the appropriate box to designate the rule pursua |
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| November 9, 2021 | ||
| November 5, 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 HARTFORD FUNDS EXCHANGE-TRADED TRUST (Exact name of registrant as specified in its charter) State of Delaware 87-1168105 (State or other jurisdiction of incorporation or organization) (I.R.S. Emplo |
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| September 21, 2021 | ||
| September 17, 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 HARTFORD FUNDS EXCHANGE-TRADED TRUST (Exact name of registrant as specified in its charter) State of Delaware 87-0898457 (State or other jurisdiction of incorporation or organization) (I.R.S. Emplo |
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| September 13, 2021 | ||
| September 10, 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 HARTFORD FUNDS EXCHANGE-TRADED TRUST (Exact name of registrant as specified in its charter) State of Delaware 87-1396978 (State or other jurisdiction of incorporation or organization) (I.R.S. Emplo |
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| September 2, 2021 |
1900 K Street, N.W. 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 September 2, 2021 VIA EDGAR CORRESPONDENCE Deborah O’Neal U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D.C. 20549-4644 Re: Hartford Funds Exchange-Traded Tru |
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| August 10, 2021 | ||
| August 10, 2021 | ||
| August 6, 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 HARTFORD FUNDS EXCHANGE-TRADED TRUST (Exact name of registrant as specified in its charter) State of Delaware 86-3860707 (State or other jurisdiction of incorporation or organization) (I.R.S. Emplo |
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| July 29, 2021 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| July 12, 2021 |
HTAB / Hartford Schroders Tax-Aware Bond ETF / Bank of New York Mellon Corp Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.8)* NAME OF ISSUER: Hartford Schroders Tax-Aware Bond ETF TITLE OF CLASS OF SECURITIES: Exchange Traded Fund CUSIP NUMBER: 41653L404 DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT: June 30, 2021 Check the appropriate box to designate the rule pursuant |
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| June 28, 2021 |
OTC Swaption Contracts Outstanding at April 30, 2021 Hartford Core Bond ETF Schedule of Investments April 30, 2021 (Unaudited) Shares or Principal Amount Market Value† Asset & Commercial Mortgage-Backed Securities - 17. |
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| June 28, 2021 |
OTC Swaption Contracts Outstanding at April 30, 2021 Hartford Core Bond ETF Schedule of Investments April 30, 2021 (Unaudited) Shares or Principal Amount Market Value† Asset & Commercial Mortgage-Backed Securities - 17. |
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| June 28, 2021 |
OTC Swaption Contracts Outstanding at April 30, 2021 Hartford Core Bond ETF Schedule of Investments April 30, 2021 (Unaudited) Shares or Principal Amount Market Value† Asset & Commercial Mortgage-Backed Securities - 17. |
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| June 28, 2021 |
OTC Swaption Contracts Outstanding at April 30, 2021 FOR VALIDATION PURPOSES ONLY - [139224.TX] Hartford Core Bond ETF Schedule of Investments April 30, 2021 (Unaudited) Shares or Principal Amount Market Value† Asset & Commercial Mortgage-Backed Securities - 17.7% Asset-Backed - Automobile - 0.2% American Credit Acceptance Receivables Trust $ 51,399 0.62%, 10/13/2023(1) $ 51,443 Prestige Auto Receivables Trust 105,000 1.62%, 11/16/2026(1) 106,177 Sa |
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| June 28, 2021 |
OTC Swaption Contracts Outstanding at April 30, 2021 Hartford Core Bond ETF Schedule of Investments April 30, 2021 (Unaudited) Shares or Principal Amount Market Value† Asset & Commercial Mortgage-Backed Securities - 17. |
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| June 25, 2021 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| June 25, 2021 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| June 10, 2021 |
HTAB / Hartford Schroders Tax-Aware Bond ETF / Bank of New York Mellon Corp Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.7)* NAME OF ISSUER: Hartford Schroders Tax-Aware Bond ETF TITLE OF CLASS OF SECURITIES: Exchange Traded Fund CUSIP NUMBER: 41653L404 DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT: May 31, 2021 Check the appropriate box to designate the rule pursuant t |
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| May 21, 2021 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
|
| April 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.6)* NAME OF ISSUER: Hartford Schroders Tax-Aware Bond ETF TITLE OF CLASS OF SECURITIES: Exchange Traded Fund CUSIP NUMBER: 41653L404 DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT: March 31, 2021 Check the appropriate box to designate the rule pursuant |
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| March 23, 2021 |
Power of Attorney for David A. Naab dated March 15, 2021 (incorporated by reference to Post- 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 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 September 24, 2019 with respect to the financial statements and financial highlights of Hartford Municipal Opportunities ETF, Hartford Schroders Tax-Aware Bond ETF, Hartford Total Return Bond ETF and Hartford Short Duration ETF (four of the series constituting Hartford Funds Exchange-Traded Trust) in Post-Effective Amendment No. |
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| March 23, 2021 |
- HARTFORD FUNDS EXCHANGE-TRADED TRUST As filed with the Securities and Exchange Commission on March 23, 2021 File Nos. 333-215165/811-23222 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. 27 ? and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 ? Amendment No. 29 ? |
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| February 17, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1394 (Amendment No. )* Hartford Short Duration ETV 41653l602 December 31, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1 (b) [ ] Rule 13d-1 (c) [ ] Rule 13d-1 (d) *The remainder of this cover page shall be filled ou |
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| February 1, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.5)* NAME OF ISSUER: Hartford Schroders Tax-Aware Bond ETF TITLE OF CLASS OF SECURITIES: Exchange Traded Fund CUSIP NUMBER: 41653L404 DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT: December 31, 2020 Check the appropriate box to designate the rule pursu |
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| December 29, 2020 |
CORRESP Hartford Core Bond ETF Schedule of Investments October 31, 2020 (Unaudited) Shares or Principal Amount Market Value† Asset & Commercial Mortgage-Backed Securities - 17. |
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| December 29, 2020 |
CORRESP Hartford Core Bond ETF Schedule of Investments October 31, 2020 (Unaudited) Shares or Principal Amount Market Value† Asset & Commercial Mortgage-Backed Securities - 17. |
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| December 29, 2020 |
CORRESP Hartford Core Bond ETF Schedule of Investments October 31, 2020 (Unaudited) Shares or Principal Amount Market Value† Asset & Commercial Mortgage-Backed Securities - 17. |
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| December 29, 2020 |
CORRESP Hartford Core Bond ETF Schedule of Investments October 31, 2020 (Unaudited) Shares or Principal Amount Market Value† Asset & Commercial Mortgage-Backed Securities - 17. |
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| December 29, 2020 |
CORRESP Hartford Core Bond ETF Schedule of Investments October 31, 2020 (Unaudited) Shares or Principal Amount Market Value† Asset & Commercial Mortgage-Backed Securities - 17. |
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| October 9, 2020 |
HCRB / Hartford Core Bond ETF / Bank of New York Mellon Corp Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.4)* NAME OF ISSUER: Hartford Schroders Tax-Aware Bond ETF TITLE OF CLASS OF SECURITIES: Exchange Traded Product CUSIP NUMBER: 41653L404 DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT: September 30, 2020 Check the appropriate box to designate the rule p |
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| September 4, 2020 |
- 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 proxy statement x Definitive additional materials ¨ Soliciting m |
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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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| June 24, 2020 |
HTML Hartford Core Bond ETF Schedule of Investments April 30, 2020 (Unaudited) Shares or Principal Amount Market Value† Asset & Commercial Mortgage-Backed Securities - 16. |
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| June 24, 2020 |
HTML Hartford Core Bond ETF Schedule of Investments April 30, 2020 (Unaudited) Shares or Principal Amount Market Value† Asset & Commercial Mortgage-Backed Securities - 16. |
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| June 24, 2020 |
HTML Hartford Core Bond ETF Schedule of Investments April 30, 2020 (Unaudited) Shares or Principal Amount Market Value† Asset & Commercial Mortgage-Backed Securities - 16. |
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| June 24, 2020 |
HTML Hartford Core Bond ETF Schedule of Investments April 30, 2020 (Unaudited) Shares or Principal Amount Market Value† Asset & Commercial Mortgage-Backed Securities - 16. |
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| June 24, 2020 |
HTML Hartford Core Bond ETF Schedule of Investments April 30, 2020 (Unaudited) Shares or Principal Amount Market Value† Asset & Commercial Mortgage-Backed Securities - 16. |
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| June 10, 2020 |
HMOP / Hartford Municipal Opportunities ETF / Bank of New York Mellon Corp Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.3)* NAME OF ISSUER: Hartford Schroders Tax-Aware Bond ETF TITLE OF CLASS OF SECURITIES: Exchange Traded Product CUSIP NUMBER: 41653L404 DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT: May 31, 2020 Check the appropriate box to designate the rule pursuan |
|
| April 9, 2020 |
HTRB / Hartford Total Return Bond ETF / Bank of New York Mellon Corp Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.2)* NAME OF ISSUER: Hartford Schroders Tax-Aware Bond ETF TITLE OF CLASS OF SECURITIES: Exchange Traded Product CUSIP NUMBER: 41653L404 DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT: March 31, 2020 Check the appropriate box to designate the rule pursu |
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| February 19, 2020 |
HTRB / Hartford Total Return Bond ETF 8-A12B - - FORM 8-A12B 8-A12B 1 tm207844-18a12b.htm FORM 8-A12B 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 HARTFORD FUNDS EXCHANGE-TRADED TRUST (Exact name of registrant as specified in its charter) State of Delaware See Below (State of incorporation or organizat |
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| February 19, 2020 |
HTRB / Hartford Total Return Bond ETF CERT - - CBOE BZX CERTIFICATION begin 644 8ACertHCRB.pdf M)5!$1BTQ+C8-)>+CS],-"C0W(# @;V)J#3P\+TQI;F5AF4@,3 U+U1Y<&4O6%)E9B]76S$@,R Q73X^ M2)-HL+@'B/2H19@C/QE$&KP"RUX%DOEOC$P 7VT#^P&!L8!(\S,'UX#1!@ M (3+%YH-"F5N9'-THT!3'(MU!5"7X;4$ MJP\?&Y[[F*=\B*"7E/@E/WE$;M-!,..S M MP6%@8FYB<04<84@ # *$:';,-"F5N9'-T%LP+C @,"XP(#8Q,BXP(#UA*+U#?##)%JP&.W), MU?S[FUT[(7;C$*+J9%FV=V9V9=Y=F;6E@,%*X [L!(85V 5,&/ :I ,&PTH M+& [**;YPD$*%%P%240,W9)1/$\( |
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| February 11, 2020 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
|
| February 3, 2020 |
HSRT / Hartford Short Duration ETF / Bank of New York Mellon Corp Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.1)* NAME OF ISSUER: Hartford Schroders Tax-Aware Bond ETF TITLE OF CLASS OF SECURITIES: Exchange Traded Product CUSIP NUMBER: 41653L404 DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT: December 31, 2019 Check the appropriate box to designate the rule pu |
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| December 27, 2019 |
FOR VALIDATION PURPOSES ONLY - [829076.SOI] Hartford Municipal Opportunities ETF Schedule of Investments October 31, 2019 (Unaudited) Shares or Principal Amount Market Value† Municipal Bonds - 97.3% Alabama - 3.0% $ 1,100,000 Birmingham, AL, Water Works Board Water Rev 5.00%, 01/01/2027 $ 1,361,580 100,000 Jefferson County, AL, Board of Education 5.00%, 02/01/2042 118,666 90,000 Jefferson County, |
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| December 27, 2019 |
FOR VALIDATION PURPOSES ONLY - [829076.SOI] Hartford Municipal Opportunities ETF Schedule of Investments October 31, 2019 (Unaudited) Shares or Principal Amount Market Value† Municipal Bonds - 97.3% Alabama - 3.0% $ 1,100,000 Birmingham, AL, Water Works Board Water Rev 5.00%, 01/01/2027 $ 1,361,580 100,000 Jefferson County, AL, Board of Education 5.00%, 02/01/2042 118,666 90,000 Jefferson County, |
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| December 27, 2019 |
FOR VALIDATION PURPOSES ONLY - [829076.SOI] Hartford Municipal Opportunities ETF Schedule of Investments October 31, 2019 (Unaudited) Shares or Principal Amount Market Value† Municipal Bonds - 97.3% Alabama - 3.0% $ 1,100,000 Birmingham, AL, Water Works Board Water Rev 5.00%, 01/01/2027 $ 1,361,580 100,000 Jefferson County, AL, Board of Education 5.00%, 02/01/2042 118,666 90,000 Jefferson County, |
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| December 27, 2019 |
FOR VALIDATION PURPOSES ONLY - [829076.SOI] Hartford Municipal Opportunities ETF Schedule of Investments October 31, 2019 (Unaudited) Shares or Principal Amount Market Value† Municipal Bonds - 97.3% Alabama - 3.0% $ 1,100,000 Birmingham, AL, Water Works Board Water Rev 5.00%, 01/01/2027 $ 1,361,580 100,000 Jefferson County, AL, Board of Education 5.00%, 02/01/2042 118,666 90,000 Jefferson County, |
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| December 10, 2019 |
HSRT / Hartford Short Duration ETF / Bank of New York Mellon Corp Passive Investment SC 13G 1 Hartford13GFiling.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* NAME OF ISSUER: Hartford Schroders Tax-Aware Bond ETF TITLE OF CLASS OF SECURITIES: Exchange Traded Product CUSIP NUMBER: 41653L404 DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT: November 30, 2019 Check the appropria |
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| December 6, 2019 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
|
| October 25, 2019 |
Hartford Funds Exchange-traded Trust DEF 14C - - DEF 14C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 (Amendment No. ) Check the appropriate box: ¨ Preliminary Information Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) x Definitive Information Statement hartford funds exch |
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| June 27, 2019 |
Hartford Funds Exchange-traded Trust NPORT-EX - - NPORT-EX 1 NPORT3167645929582610.htm Hartford Municipal Opportunities ETF Schedule of Investments April 30, 2019 (Unaudited) Shares or Principal Amount Market Value† Municipal Bonds - 98.0% Alabama - 3.4% $ 1,100,000 Birmingham, AL, Water Works Board Water Rev 5.00%, 01/01/2027 $ 1,342,539 100,000 Jefferson County, AL, Board of Education 5.00%, 02/01/2042 115,008 90,000 Jefferson County, AL 5.00%, |
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| June 27, 2019 |
Hartford Funds Exchange-traded Trust NPORT-EX - - Hartford Municipal Opportunities ETF Schedule of Investments April 30, 2019 (Unaudited) Shares or Principal Amount Market Value† Municipal Bonds - 98. |
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| June 27, 2019 |
Hartford Funds Exchange-traded Trust NPORT-EX - - NPORT-EX 1 NPORT3168268005452994.htm Hartford Municipal Opportunities ETF Schedule of Investments April 30, 2019 (Unaudited) Shares or Principal Amount Market Value† Municipal Bonds - 98.0% Alabama - 3.4% $ 1,100,000 Birmingham, AL, Water Works Board Water Rev 5.00%, 01/01/2027 $ 1,342,539 100,000 Jefferson County, AL, Board of Education 5.00%, 02/01/2042 115,008 90,000 Jefferson County, AL 5.00%, |
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| June 27, 2019 |
Hartford Funds Exchange-traded Trust NPORT-EX - - Hartford Municipal Opportunities ETF Schedule of Investments April 30, 2019 (Unaudited) Shares or Principal Amount Market Value† Municipal Bonds - 98. |
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| December 28, 2018 |
FORM N-Q CERTIFICATION I, James E. Davey, certify that: 1. I have reviewed this report on Form N-Q of Hartford Funds Exchange-Traded Trust. (File Number 811-23222); 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 made, |
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| December 28, 2018 |
N-Q 1 d674723dnq.htm HARTFORD FUNDS EXCHANGE-TRADED 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: 811-23222 HARTFORD FUNDS EXCHANGE-TRADED TRUST (Exact name of registrant as specified in charter) 690 Lee Road, Wayne, PA 19087 (Address of |
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| September 21, 2018 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The NYSE Archipelago Exchange 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 October 2, 2018, pursuant to the provisions of Rule 12d2-2 (a). |
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| September 21, 2018 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The NYSE Archipelago Exchange 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 October 2, 2018, pursuant to the provisions of Rule 12d2-2 (a). |
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| June 27, 2018 |
HARTFORD FUNDS EXCHANGE-TRADED TRUST UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| June 27, 2018 |
EX-99.CERT 2 d607539dex99cert.htm 302 CERTIFICATIONS FORM N-Q CERTIFICATION I, James E. Davey, certify that: 1. I have reviewed this report on Form N-Q of Hartford Funds Exchange-Traded Trust. (File Number 811-23222); 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 |
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| May 25, 2018 |
Hartford Funds Exchange-traded Trust 8-A12B 8-A12B 1 tv4949098-a12b.htm 8-A12B 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 HARTFORD FUNDS EXCHANGE-TRADED TRUST (Exact name of registrant as specified in its charter) State of Delaware See Below (State of incorporation or organization) ( |
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| May 15, 2018 |
Hartford Funds Exchange-traded Trust CORRESP 1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| April 18, 2018 |
Hartford Funds Exchange-traded Trust NYSE ARCA CERTIFICATION - HTAB begin 644 HTAB.8A.04.18.18.pdf M)5!$1BTQ+C4*):;IS\0-"C0@,"!O8FH*/#P*+TQE;F=T:" U(# @4@HO1FEL M=&5R("]&;&%T941E8V]D90H^/@IS=')E86T-"GC:E9?=;]LV$,#?_5?HD00J M5OR0*/6MB>.U ]9BB8NT&/9@.&Z<+;;;VOW(?[\[WI$696]3$2"2J./=[SXI M?YXHXTSAG2X:K95O=%%7X?)E-;DMMI-&FZ*"/UY-TLO-Y/GKC2ZFN\GOD\^D MI>DJ96S[$YKB#M)FHK8H:KVJ6KQ5K>U8R$8AISM5!QA5=T7ME3=%A_8WL5\ M\GRFBU95MIA_G.B@41=IFP6,8KZ9_"$N9-FH5JQD62LMMG\MI*Y5(S:R;&' |
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| March 29, 2018 |
SHAREHOLDER MEETING RESULTS Rule 30e-1 under the Investment Company Act of 1940, as amended, requires registered management companies to report on all subject matters put to the vote of shareholders and provide final results. |
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| March 29, 2018 |
EX-99.77E LEGAL 2 ETF77E.txt All Series of the Registrant On February 25, 2011, Jennifer L. Kasilag, Louis Mellinger, Judith M. Menendez, Jacqueline M. Robinson, and Linda A. Russell filed a derivative lawsuit against Hartford Investment Financial Services, LLC (HIFSCO) (now known as Hartford Funds Distributors, LLC) on behalf of six Hartford retail mutual funds in the United States District Court |
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| March 5, 2018 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
|
| December 28, 2017 |
FORM N-Q CERTIFICATION I, James E. Davey, certify that: 1. I have reviewed this report on Form N-Q of Hartford Funds Exchange-Traded Trust. (File Number 811-23222); 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 made, |
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| December 28, 2017 |
Hartford Funds Exchange-traded Trust - HARTFORD FUNDS EXCHANGE-TRADED TRUST N-Q 1 d497101dnq.htm HARTFORD FUNDS EXCHANGE-TRADED 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: 811-23222 HARTFORD FUNDS EXCHANGE-TRADED TRUST (Exact name of registrant as specified in charter) 690 Lee Road, Wayne, PA 19087 (Address of |
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| September 26, 2017 |
8-A12B 1 a17-2250318a12b.htm 8-A12B 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 HARTFORD FUNDS EXCHANGE-TRADED TRUST (Exact name of registrant as specified in its charter) State of Delaware See Below (State of incorporation or organization) |
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| September 1, 2017 |
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 September 1, 2017 [email protected] +1 202 261 3464 Direct +1 202 261 3164 Fax VIA EDGAR CORRESPONDENCE Deborah O’Neal-Johnson U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549-4644 Re: Ha |
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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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| June 29, 2017 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 d380349dex99cert.htm 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 Hartford Funds Exchange-Traded Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a materi |
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| June 29, 2017 |
Hartford Funds Exchange-traded Trust - HARTFORD FUNDS EXCHANGE-TRADED TRUST N-Q 1 d380349dnq.htm HARTFORD FUNDS EXCHANGE-TRADED 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: 811-23222 HARTFORD FUNDS EXCHANGE-TRADED TRUST (Exact name of registrant as specified in charter) 690 Lee Road Wayne, Pennsylvania 19087 (Ad |
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| June 26, 2017 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| June 26, 2017 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| April 3, 2017 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| March 21, 2017 |
8-A12B 1 a17-865718a12b.htm 8-A12B 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 HARTFORD FUNDS EXCHANGE-TRADED TRUST (Exact name of registrant as specified in its charter) State of Delaware See Below (State of incorporation or organization) ( |
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| March 14, 2017 |
One International Place, 40th Floor One International Place, 40th Floor 100 Oliver Street Boston, MA 02110-2605 +1 617 728 7100 Main +1 617 426 6567 Fax www. |
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| March 14, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A As filed with the Securities and Exchange Commission on March 14, 2017 File No. 333-215165/811-23222 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. 2 x Post-Effective Amendment No. o and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 x Amendment No. 2 x HARTF |
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| March 10, 2017 |
Consent of Independent Registered Public Accounting Firm Consent of Independent Registered Public Accounting Firm We consent to the references to our firm under the captions ?Independent Registered Public Accounting Firm? and ?Financial Statements? in the Statement of Additional Information and to the inclusion of our report dated March 10, 2017 with respect to the financial statements of Hartford Funds Exchange-Traded Trust (comprising, respectively, the Hartford Corporate Bond ETF series and Hartford Quality Bond ETF series) as of March 1, 2017 in the Registration Statement on Form N-1A (File No. |
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| March 10, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A As filed with the Securities and Exchange Commission on March 10, 2017 File No. 333-215165/811-23222 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. 1 x Post-Effective Amendment No. o and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 x Amendment No. 1 x HARTF |
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| March 10, 2017 |
[Lattice Strategies Letterhead] [Lattice Strategies Letterhead] April 1, 2017 State Street Bank and Trust Company 200 Clarendon Street, 16th Floor Boston, Massachusetts 02116 Attention: Sheila McClorey, Transfer Agent Vice President Re: HARTFORD FUNDS EXCHANGE-TRADED TRUST (the ?Trust?) Ladies and Gentlemen: Please be advised that the undersigned Trust has been incorporated and registered as a management investment company under the Investment Company Act of 1940, as amended. |
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| March 10, 2017 |
reference to Pre-Effective Amendment No. 1 to the Registrant’s Initial Registration Statement on CERTIFICATE OF AMENDMENT TO THE CERTIFICATE OF TRUST OF THE HARTFORD ACTIVE EXCHANGE-TRADED FUND TRUST (a Delaware Statutory Trust) This Certificate of Amendment to the Certificate of Trust of The Hartford Active Exchange-Traded Fund Trust (?Certificate?) is filed in accordance with the provisions of the Delaware Statutory Trust Act (Title 12 of the Delaware Code, Section 3801 et seq. |
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| March 10, 2017 |
(incorporated by reference to Pre-Effective Amendment No. 1 to the Registrant’s Initial Registration AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST OF HARTFORD FUNDS EXCHANGE-TRADED TRUST (a Delaware Statutory Trust) Dated as of December 8, 2016 TABLE OF CONTENTS Page ARTICLE I NAME AND DEFINITIONS 1 Section 1. |
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| March 10, 2017 |
Amendment No. 1 to the Registrant’s Initial Registration Statement on Form N-1A, SEC file No. EX-99.B.A.(I) 2 a17-69051ex99dbdadi.htm EX-99.B.A.(I) CERTIFICATE OF TRUST OF THE HARTFORD ACTIVE EXCHANGE-TRADED FUND TRUST This Certificate of Trust has been duly executed and is being filed in order to form a statutory trust pursuant to the Delaware Statutory Trust Act (12 Del.C. § 3801 et seq.). FIRST: The name of the statutory trust formed hereby is “The Hartford Active Exchange-Traded Fund T |
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| March 10, 2017 |
CORRESP 1 filename1.htm [Hartford Letterhead] March 10, 2017 VIA EDGAR CORRESPONDENCE Deborah O’Neal-Johnson U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549-4644 Re: Hartford Funds Exchange-Traded Trust (SEC File Nos. 333-215165 and 811-23222) Pre-Effective Amendment No. 1, filed March 10, 2017 Dear Ms. O’Neal-Johnson: Pursuant to |
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| March 10, 2017 |
[Lattice Strategies Letterhead] [Lattice Strategies Letterhead] April 1, 2017 State Street Bank and Trust Company Channel Center 1 Iron Street, CCB6E Boston, MA 02210 Attention: Shawn Alarie, Senior Vice President Re: HARTFORD FUNDS EXCHANGE-TRADED TRUST (the ?Fund?) Ladies and Gentlemen: Please be advised that the undersigned Fund has been incorporated and registered as a management investment company under the Investment Company Act of 1940, as amended. |
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| March 10, 2017 |
[Lattice Strategies Letterhead] [Lattice Strategies Letterhead] April 1, 2017 State Street Bank and Trust Company Legal Division ? Global Services Americas P. |
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| March 10, 2017 |
LATTICE STRATEGIES TRUST HARTFORD FUNDS EXCHANGE-TRADED TRUST (each a ?Trust? and together, the ?Trusts?) Code of Ethics Pursuant to Rule 17j-1 of the Investment Company Act of 1940 A. |
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| March 10, 2017 |
Form of Investing Fund Agreement (incorporated by reference to Pre-Effective Amendment No. 1 to HARTFORD FUNDS EXCHANGE-TRADED TRUST FORM OF INVESTING FUND AGREEMENT This Investing Fund Agreement (the ?Agreement?) is made as of the date set forth below between the Hartford Funds Exchange-Traded Trust (the ?Trust?) and (the ?Purchasing Fund?). |
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| March 10, 2017 |
DISTRIBUTION AGREEMENT THIS AGREEMENT is made as of January 31, 2017, between Hartford Funds Exchange-Traded Trust, a Delaware statutory trust (the ?Trust?), and ALPS Distributors, Inc. |
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| March 10, 2017 |
(incorporated by reference to Pre-Effective Amendment No. 1 to the Registrant’s Registration SUB-ADVISORY AGREEMENT THIS SUB-ADVISORY AGREEMENT (this ?Agreement?) is made as of , 2017 by and between Hartford Funds Management Company, LLC (?Adviser?), a Delaware limited liability company, and Wellington Management Company LLP, a Delaware limited liability partnership (?Sub-Adviser?). |
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| March 10, 2017 |
Initial Registration Statement on Form N-1A, SEC file No. 333-215165, filed on March 10, 2017) INVESTMENT MANAGEMENT AGREEMENT This Agreement is made by and between Hartford Funds Management Company, LLC, a Delaware limited liability company (the ?Adviser?), and Hartford Funds Exchange-Traded Trust, a Delaware statutory trust (the ?Trust?), on its own behalf and on behalf of each of its series listed on Schedule A hereto, as it may be amended from time to time (each, a ?Portfolio? and, collectively, the ?Portfolios?). |
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| March 10, 2017 |
COVER 22 filename22.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 March 10, 2017 VIA ELECTRONIC TRANSMISSION U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Hartford Funds Exchange-Traded Trust (the “Registrant”) (SEC Fil |
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| March 10, 2017 |
reference to Pre-Effective Amendment No. 1 to the Registrant’s Initial Registration Statement on BY-LAWS OF HARTFORD FUNDS EXCHANGE-TRADED TRUST Dated: December 8, 2016 ARTICLE 1 DECLARATION OF TRUST AND PRINCIPAL OFFICE Section 1. |
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| March 10, 2017 |
One International Place, 40th Floor One International Place, 40th Floor 100 Oliver Street Boston, MA 02110-2605 +1 617 728 7100 Main +1 617 426 6567 Fax www. |
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| March 10, 2017 |
LATTICE STRATEGIES TRUST HARTFORD FUNDS EXCHANGE-TRADED TRUST Rule 12b-1 Distribution and Service Plan 1. |
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| March 9, 2017 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| February 17, 2017 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| January 30, 2017 |
UNITED STATES OF AMERICA BEFORE THE SECURITIES AND EXCHANGE COMMISSION INVESTMENT COMPANY ACT OF 1940 Release No. |
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| January 17, 2017 |
January 17, 2017 Adam T. Teufel, Esq. Dechert LLP 1900 K Street, NW Washington, DC 20006-1110 Re: Hartford Funds Exchange Traded Trust, File Nos. 333-214842; 811-23222 Dear Mr. Teufel: On December 19, 2016, Hartford Funds Exchange Traded Trust (the “Trust”) filed a registration statement on Form N-1A (“Form N-1A”) under the Securities Act of 1933 and the Investment Company Act of 1940. The filing |
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| January 9, 2017 |
SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 32413; 812-13828-01 Hartford Funds Exchange-Traded Trust, et al.; Notice of Application] January 4, 2017 Agency: Securities and Exchange Commission (“Commission”). Action: Notice of an application for an order under section 6(c) of the Investment Company Act of 1940 (the “Act”) for an exemption from sections 2(a)(32), 5(a)(1), |
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| December 19, 2016 |
N-8A 1 a16-232481n8a.htm N-8A 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 Investment Company Act |
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| December 19, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A N-1A 1 a16-232501n1a.htm REGISTRATION STATEMENT FOR OPEN-END MANAGEMENT INVESTMENT COMPANIES As filed with the Securities and Exchange Commission on December 19, 2016 File No. 333-[ ]/811-23222 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-Effective Amendment No. o o and/o |
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| December 19, 2016 |
Hartford Funds Exchange-Traded Trust POWER OF ATTORNEY December 8, 2016 Hartford Funds Exchange-Traded Trust POWER OF ATTORNEY December 8, 2016 Robin Christine Beery Naozer Dadachanji David Sung Theodore James Lucas do hereby constitute and appoint Walter F. |
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| December 19, 2016 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
