Grundlæggende statistik
| CIK | 1992104 |
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 PGIM Rock ETF Trust - PGIM S&P 500 Buffer 20 ETF - December
SEC Filings (Chronological Order)
Denne side giver en komplet, kronologisk liste over SEC-arkiveringer, eksklusive ejerskabsregistreringer, som vi leverer andre steder.
| August 22, 2025 |
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 PGIM ROCK ETF TRUST (Exact name of registrant as specified in its charter) Delaware See below (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 655 |
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| July 24, 2025 |
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 PGIM ROCK ETF TRUST (Exact name of registrant as specified in its charter) Delaware See below (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 655 |
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| June 23, 2025 |
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 PGIM ROCK ETF TRUST (Exact name of registrant as specified in its charter) Delaware See below (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 655 |
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| May 23, 2025 |
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 PGIM ROCK ETF TRUST (Exact name of registrant as specified in its charter) Delaware See below (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 655 |
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| April 23, 2025 |
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 PGIM ROCK ETF TRUST (Exact name of registrant as specified in its charter) Delaware See below (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 655 |
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| March 24, 2025 |
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 PGIM ROCK ETF TRUST (Exact name of registrant as specified in its charter) Delaware See below (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 655 |
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| February 21, 2025 |
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 PGIM ROCK ETF TRUST (Exact name of registrant as specified in its charter) Delaware See below (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 655 |
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| January 24, 2025 |
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 PGIM ROCK ETF TRUST (Exact name of registrant as specified in its charter) Delaware See below (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 655 |
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| December 27, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 PGIM ROCK ETF TRUST (Exact name of registrant as specified in its charter) Delaware See below (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 655 |
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| June 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 PGIM ROCK ETF TRUST (Exact name of registrant as specified in its charter) Delaware See below (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 655 |
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| May 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 PGIM ROCK ETF TRUST (Exact name of registrant as specified in its charter) Delaware See below (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 655 |
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| April 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 PGIM ROCK ETF TRUST (Exact name of registrant as specified in its charter) Delaware See below (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 655 |
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| April 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 PGIM ROCK ETF TRUST (Exact name of registrant as specified in its charter) Delaware See below (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 655 |
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| March 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 PGIM ROCK ETF TRUST (Exact name of registrant as specified in its charter) Delaware See below (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 655 |
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| February 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 PGIM ROCK ETF TRUST (Exact name of registrant as specified in its charter) Delaware See below (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 655 |
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| January 24, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 PGIM ROCK ETF TRUST (Exact name of registrant as specified in its charter) Delaware See below (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 655 |
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| December 22, 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 PGIM ROCK ETF TRUST (Exact name of registrant as specified in its charter) Delaware See below (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 655 |
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| December 21, 2023 |
As filed with the Securities and Exchange Commission on December 21, 2023 Securities Act File No. |
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| December 21, 2023 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the use in this Registration Statement on Form N-1A of PGIM Rock ETF Trust of our report dated November 14, 2023, relating to the financial statement of PGIM US Large-Cap Buffer 12 ETF - January, which appears in such Registration Statement. |
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| December 20, 2023 |
PGIM Rock ETF Trust 655 Broad Street Newark, New Jersey 07102 December 20, 2023 VIA EDGAR SUBMISSION Securities and Exchange Commission 100 F Street, NE Washington, D. |
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| December 20, 2023 |
N-1A/A 1 f37132d1.htm ROCK ETF TRUST N-1A/A As filed with the Securities and Exchange Commission on December 20, 2023 Securities Act File No. 333-274664 Investment Company Act File No. 811-23901 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 POST-EFFECTIVE AMENDMENT NO. and/ |
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| December 20, 2023 |
Amended and Restated Agreement and Declaration of Trust Amended and Restated Agreement and Declaration of Trust of PGIM Rock ETF Trust a Delaware Statutory Trust Table of Contents AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST . |
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| November 14, 2023 |
PGIM Quantitative Solutions LLC Investment Adviser Code of Ethics Policy Statement Rule 204A-1 under the Advisers Act requires each federally registered investment adviser to adopt a written code of ethics designed to prevent fraud by reinforcing the principles that govern the conduct of investment advisory firms and their personnel. |
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| November 14, 2023 |
PGIM ROCK ETF TRUST SUBADVISORY AGREEMENT Agreement made as of this 26th day of October, 2023 between PGIM Investments LLC ("PGIM Investments" or the "Manager"), a New York limited liability company, and PGIM Quantitative Solutions LLC, (the "Subadviser" or "PGIM Quantitative Solutions"), a New Jersey limited liability company. |
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| November 14, 2023 |
Execution Copy AUTHORIZED PARTICIPANT AGREEMENT This Authorized Participant Agreement (this "Agreement") is entered into by and between [] (the "Participant") and Prudential Investment Management Services LLC (the "Distributor"), principal underwriter of the Trust and its separate series listed on Annex A hereto (each, a "Fund" and collectively, the "Funds"). |
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| November 14, 2023 |
PGIM ROCK ETF TRUST MANAGEMENT AGREEMENT Agreement made the 26th day of October 2023, between PGIM Rock ETF Trust, a Delaware statutory trust (the "Trust"), on behalf of certain of its series, as listed on Schedule A (each, a "Fund"; collectively, the "Funds"), and PGIM Investments LLC, a New York limited liability company (the Manager). |
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| November 14, 2023 |
PGIM ROCK ETF TRUST Distribution Agreement THIS DISTRIBUTION AGREEMENT is made as of October 15, 2023 between the PGIM Rock ETF Trust, a Delaware statutory trust (the Trust), on behalf of its series set forth on attached Exhibit A (each referred to as the "Fund") and Prudential Investment Management Services LLC, a Delaware limited liability company (the Distributor). |
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| November 14, 2023 |
INVESTMENT ADVISER CODE OF ETHICS INTRODUCTION Rule 204A-1 under the Advisers Act requires each federally registered investment adviser to adopt a written code of ethics (the "Code") designed to prevent fraud by reinforcing the principles that govern the conduct of investment advisory firms and their personnel. |
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| November 14, 2023 |
AST Western Asset Core Plus Bond Portfolio Execution Version AMENDMENT AMENDMENT made as of October 15, 2023 to that certain Fund Administration and Accounting Agreement dated as of February 3, 2006, as amended from time to time, between each Fund listed on the attached Schedule A thereto, including any series thereof (collectively, the "Funds") and The Bank of New York Mellon (formerly, The Bank of New York) ("BNY") (such Fund Administration and Accounting Agreement, as amended, hereinafter referred to as the "Accounting Agreement"). |
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| November 14, 2023 |
Execution Version AMENDMENT TO TRANSFER AGENCY AND SERVICE AGREEMENT AMENDMENT made as of October 15, 2023 (the "Effective Date") to that certain Transfer Agency and Service Agreement dated as of March 24, 2022, as amended from time to time, between each Trust (hereinafter each a "Trust", and collectively the "Trusts" as applicable) listed on Appendix A thereto on behalf of it series listed on App |
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| November 14, 2023 |
PGIM Rock ETF Trust 655 Broad Street Newark, New Jersey 07102 November 14, 2023 VIA EDGAR SUBMISSION Securities and Exchange Commission 100 F Street, NE Washington, D. |
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| November 14, 2023 |
PGIM ROCK ETF TRUST Distribution and Service Plan Introduction The Distribution and Service Plan set forth below (the "Plan") has been adopted by PGIM Rock ETF Trust (the "Trust") pursuant to Rule 12b-1 under the Investment Company Act of 1940, as amended (the "1940 Act"), for shares of its series listed on Schedule A attached hereto (each, a "Fund"), as it may be amended from time to time. |
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| November 14, 2023 |
As filed with the Securities and Exchange Commission on November 14, 2023 Securities Act File No. |
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| November 14, 2023 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the use in this Registration Statement on Form N-1A of PGIM Rock ETF Trust of our report dated November 14, 2023, relating to the financial statement of PGIM US Large-Cap Buffer 12 ETF -January, which appears in such Registration Statement. |
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| November 14, 2023 |
MO R R I S , NI C H O L S , AR S H T & TU N N E L L L L P 1201 NORTH MARKET STREET P. |
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| November 14, 2023 |
Code of Ethics Adopted Pursuant to Rule 17j-1 Under the Investment Company Act of 1940 (the "Code") PGIM PRIVATE REAL ESTATE FUND, INC. PGIM PRIVATE CREDIT FUND PGIM ROCK ETF TRUST PGIM CREDIT INCOME FUND Code of Ethics Adopted Pursuant to Rule 17j-1 Under the Investment Company Act of 1940 (the "Code") 1.Purposes This Code has been adopted by the board of directors/trustees of the funds identified above (and each series, as applicable) (collectively referred to herein as the "Fund"), in accorda |
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| November 14, 2023 |
Execution Version AMENDMENT TO CUSTODY AGREEMENT AMENDMENT made as of October 15, 2023 (the "Effective Date") to that certain Custody Agreement dated as of November 7, 2002, as amended from time to time, between each Fund listed on the attached Schedule A thereto, including any series thereof (each, a "Fund") and The Bank of New York Mellon (formerly, The Bank of New York) ("Custodian") (such Custody Agreement, as amended, hereinafter referred to as the "Custody Agreement"). |
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| November 14, 2023 |
PGIM ROCK ETF TRUST CERTIFICATE OF INITIAL SHAREHOLDER PGIM Strategic Investments, Inc. |
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| September 25, 2023 |
Agreement and Declaration of Trust Agreement and Declaration of Trust of PGIM Rock ETF Trust a Delaware Statutory Trust Table of Contents AGREEMENT AND DECLARATION OF TRUST. |
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| September 25, 2023 |
CERTIFICATE OF TRUST OF PGIM ROCK ETF TRUST This Certificate of Trust of PGIM Rock ETF Trust (the "Trust"), dated as of August 30, 2023, is being duly executed and filed by the undersigned, constituting the sole trustee of the Trust, to form a statutory trust under the Delaware Statutory Trust Act, 12 Del. |
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| September 25, 2023 |
As filed with the Securities and Exchange Commission on September 22, 2023 Securities Act File No. |
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| September 25, 2023 |
BY-LAWS OF PGIM ROCK ETF TRUST TABLE OF CONTENTS Page ARTICLE I - AGREEMENT AND DECLARATION OF TRUST . |
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| September 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 notification of registration submits the following information: Name: PGIM Rock ETF Trust Address of Principal Business Office (No. |
