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| LEI | 54930012BL04M0OMCP81 |
| CIK | 1414040 |
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 ALPS Advisors Inc - RiverFront Dynamic Unconstrained Income ETF
SEC Filings (Chronological Order)
Denne side giver en komplet, kronologisk liste over SEC-arkiveringer, eksklusive ejerskabsregistreringer, som vi leverer andre steder.
| May 11, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION RE QUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, f |
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| May 5, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION RE QUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, f |
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| April 10, 2026 |
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 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Definitive P |
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| March 26, 2026 |
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 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive P |
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| February 25, 2026 |
SECURITIES AND EXCHANGE COMMISSION Investment Company Act Release No. 35917 Multi-Class ETF Fund Exemptive Relief under the Investment Company Act of 1940 January 27, 2026. AGENCY: Securities and Exchange Commission (“Commission” or “SEC”). ACTION: Notice. Notice of applications under section 6(c) of the Investment Company Act of 1940 (“Act”), each for an exemption from sections 2(a)(32), 5(a)(1), |
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| February 25, 2026 |
UNITED STATES OF AMERICA BEFORE THE SECURITIES AND EXCHANGE COMMISSION INVESTMENT COMPANY ACT OF 1940 Release No. |
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| February 18, 2026 |
New York Stock Exchange 11 Wall Street New York, NY 10005 Tel: +1 212.656.3000 nyse.com February 18, 2026 Chief, Information Technology Securities and Exchange Commission Division of Corporate Finance 100 F Street, NE MS 3040 Washington, DC 20549 To whom it may concern: The NYSE Arca certifies its approval for listing and registration of the ALPS Nautilus SMR, Nuclear & Technology ETF, a series of |
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| December 29, 2025 |
New York Stock Exchange 11 Wall Street New York, NY 10005 Tel: +1 212.656.3000 nyse.com December 29, 2025 Chief, Information Technology Securities and Exchange Commission Division of Corporate Finance 100 F Street, NE MS 3040 Washington, DC 20549 To whom it may concern: The NYSE Arca certifies its approval for listing and registration of the ALPS | O’Shares International Developed Quality Dividend |
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| December 29, 2025 |
New York Stock Exchange 11 Wall Street New York, NY 10005 Tel: +1 212.656.3000 nyse.com December 29, 2025 Chief, Information Technology Securities and Exchange Commission Division of Corporate Finance 100 F Street, NE MS 3040 Washington, DC 20549 To whom it may concern: The NYSE Arca certifies its approval for listing and registration of the ALPS | O’Shares U.S. Quality Dividend ETF, a series of A |
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| December 29, 2025 |
New York Stock Exchange 11 Wall Street New York, NY 10005 Tel: +1 212.656.3000 nyse.com December 29, 2025 Chief, Information Technology Securities and Exchange Commission Division of Corporate Finance 100 F Street, NE MS 3040 Washington, DC 20549 To whom it may concern: The NYSE Arca certifies its approval for listing and registration of the ALPS | O'Shares U.S. Small-Cap Quality Dividend ETF, a s |
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| December 29, 2025 |
New York Stock Exchange 11 Wall Street New York, NY 10005 Tel: +1 212.656.3000 nyse.com December 29, 2025 Chief, Information Technology Securities and Exchange Commission Division of Corporate Finance 100 F Street, NE MS 3040 Washington, DC 20549 To whom it may concern: The NYSE Arca certifies its approval for listing and registration of the ALPS | O'Shares Global Internet Giants ETF, a series of |
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| December 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 ALPS ETF Trust (Exact name of Registrant as specified in Charter) Delaware See Item 1. (State of incorporation or organization) (IRS Employer Identification No.) 1290 Broadway, Suite 1000, Denver, |
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| December 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 ALPS ETF Trust (Exact name of Registrant as specified in Charter) Delaware See Item 1. (State of incorporation or organization) (IRS Employer Identification No.) 1290 Broadway, Suite 1000, Denver, |
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| December 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 ALPS ETF Trust (Exact name of Registrant as specified in Charter) Delaware See Item 1. (State of incorporation or organization) (IRS Employer Identification No.) 1290 Broadway, Suite 1000, Denver, |
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| December 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 ALPS ETF Trust (Exact name of Registrant as specified in Charter) Delaware See Item 1. (State of incorporation or organization) (IRS Employer Identification No.) 1290 Broadway, Suite 1000, Denver, |
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| December 19, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-34040 Issuer: ALPS ETF Trust Exchange: Cboe BZX Exchange, Inc. (Exact name of Issuer as specified in its charter and name of Exchange where securities are listed and/or registe |
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| December 19, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-34040 Issuer: ALPS ETF Trust Exchange: Cboe BZX Exchange, Inc. (Exact name of Issuer as specified in its charter and name of Exchange where securities are listed and/or registe |
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| December 19, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-34040 Issuer: ALPS ETF Trust Exchange: Cboe BZX Exchange, Inc. (Exact name of Issuer as specified in its charter and name of Exchange where securities are listed and/or registe |
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| December 19, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-34040 Issuer: ALPS ETF Trust Exchange: Cboe BZX Exchange, Inc. (Exact name of Issuer as specified in its charter and name of Exchange where securities are listed and/or registe |
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| September 30, 2025 |
Dechert LLP 1900 K Street, N.W. Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax Adam Teufel Partner [email protected] +1 202 261 3464 Direct +1 202 261 3164 Fax September 25, 2025 VIA EDGAR CORRESPONDENCE Deborah O’Neal U.S. Securities and Exchange Commission (“Commission”) Division of Investment Management 100 F Street, NE Washington, D.C. 20549-4644 Re: ALPS ETF Trust (t |
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| April 9, 2025 |
The Nasdaq Stock Market LLC, 1100 New York Ave. NW, Suite 310E, Washington, DC 20005 Eun Ah Choi Senior Vice President Global Head of Regulatory Operations April 9, 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 April 1, 2025 The Nasdaq Stock Market (the "Exchange") r |
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| April 2, 2025 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| April 1, 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 ALPS ETF Trust (Exact name of Registrant as specified in Charter) Delaware See Item 1. (State of incorporation or organization) (IRS Employer Identification No.) 1290 Broadway, Suite 1000, Denver, |
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| February 4, 2025 |
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 Check the appropriate box: [ ] Preliminary information statement. [ ] Confidential, for Use of the Commissioner Only (as permitted by Rule 14c-5(d)(2)). [X] Definitive information statement. ALPS ETF Trust (Name of R |
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| October 18, 2024 |
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 October 29, 2024, pursuant to the provisions of Rule 12d2-2 (a). |
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| June 7, 2024 |
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 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Definitive P |
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| March 22, 2024 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| December 4, 2023 |
New York Stock Exchange 11 Wall Street New York, NY 10005 Tel: +1 212.656.3000 nyse.com December 4, 2023 Chief, Information Technology Securities and Exchange Commission Division of Corporate Finance 100 F Street, NE MS 3040 Washington, DC 20549 To whom it may concern: The NYSE Arca certifies its approval for listing and registration of the ALPS | Smith Core Plus Bond ETF a series of ALPS ETF Trus |
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| November 30, 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 ALPS ETF Trust (Exact name of Registrant as specified in Charter) Delaware See Item 1. (State of incorporation or organization) (IRS Employer Identification No.) 1290 Broadway, Suite 1000, Denver, |
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| August 25, 2023 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| August 22, 2023 |
The Nasdaq Stock Market LLC, 805 King Farm Blvd., Rockville, MD 20850 Eun Ah Choi Senior Vice President U.S. Listing Qualifications & Market Surveillance August 22, 2023 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 August 17, 2023, The Nasdaq Stock Market LLC (the "Excha |
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| August 18, 2023 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| August 17, 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 ALPS ETF Trust (Exact name of Registrant as specified in Charter) Delaware See Item 1. (State of incorporation or organization) (IRS Employer Identification No.) 1290 Broadway, Suite 1000, Denver, |
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| July 28, 2023 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE Arca hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on August 08, 2023, pursuant to the provisions of Rule 12d2-2 (a). |
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| June 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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| February 15, 2023 |
RFFC / RiverFront Dynamic US Flex-Cap 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. )* RiverFront Dynamic US Flex-Cap ETF 00162Q510 December 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 |
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| February 15, 2023 |
RFCI / RiverFront Dynamic Core Income ETF / TRUIST FINANCIAL CORP Passive Investment SC 13G/A 1 r13GARFCIETF12-22.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13GA Under the Securities Exchange Act of 1934 (Amendment No. )* RiverFront Dynamic Core Income ETF 00162Q536 December 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 remain |
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| February 15, 2023 |
RFDA / RiverFront Dynamic US Dividend Advantage ETF / TRUIST FINANCIAL CORP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13GA Under the Securities Exchange Act of 1934 (Amendment No. )* RiverFront Dynamic US Dividend Advantage ETF 00162Q528 December 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 |
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| November 28, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments September 30, 2022 (Unaudited) ALPS | O’Shares U.S. Quality Dividend ETF Schedule of Investments As of September 30, 2022 (Unaudited) Security Description Shares Value COMMON STOCKS (99.75%) Aerospace & Defense (2.02%) General Dynamics Corp. 9,942 $ 2,109,394 L3Harris Technologies, Inc. 4,598 955,602 Lockheed Martin Corp. 14,384 5,556,396 Northrop Grumman Corp. 9,890 4,651,465 Total Aerospace & Defense 13,272,857 Air Freight & |
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| November 28, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments September 30, 2022 (Unaudited) ALPS | O’Shares U.S. Quality Dividend ETF Schedule of Investments As of September 30, 2022 (Unaudited) Security Description Shares Value COMMON STOCKS (99.75%) Aerospace & Defense (2.02%) General Dynamics Corp. 9,942 $ 2,109,394 L3Harris Technologies, Inc. 4,598 955,602 Lockheed Martin Corp. 14,384 5,556,396 Northrop Grumman Corp. 9,890 4,651,465 Total Aerospace & Defense 13,272,857 Air Freight & |
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| November 28, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments September 30, 2022 (Unaudited) ALPS | O’Shares U.S. Quality Dividend ETF Schedule of Investments As of September 30, 2022 (Unaudited) Security Description Shares Value COMMON STOCKS (99.75%) Aerospace & Defense (2.02%) General Dynamics Corp. 9,942 $ 2,109,394 L3Harris Technologies, Inc. 4,598 955,602 Lockheed Martin Corp. 14,384 5,556,396 Northrop Grumman Corp. 9,890 4,651,465 Total Aerospace & Defense 13,272,857 Air Freight & |
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| November 28, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments September 30, 2022 (Unaudited) ALPS | O’Shares U.S. Quality Dividend ETF Schedule of Investments As of September 30, 2022 (Unaudited) Security Description Shares Value COMMON STOCKS (99.75%) Aerospace & Defense (2.02%) General Dynamics Corp. 9,942 $ 2,109,394 L3Harris Technologies, Inc. 4,598 955,602 Lockheed Martin Corp. 14,384 5,556,396 Northrop Grumman Corp. 9,890 4,651,465 Total Aerospace & Defense 13,272,857 Air Freight & |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| October 31, 2022 |
ALPS ETF Trust Schedules of Investments August 31, 2022 ALPS ETF Trust Schedules of Investments (Unaudited) August 31, 2022 Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (26. |
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| July 18, 2022 |
Agreement and Plan of Reorganization is filed herewith. AGREEMENT AND PLAN OF REORGANIZATION This Agreement and Plan of Reorganization (the "Agreement") is made as of June 17, 2022 by and among ALPS ETF Trust, a Delaware statutory trust (?AET?), on behalf of its series identified in Exhibit A (each, a ?New Fund? and, collectively, the ?New Funds?), OSI ETF Trust, a Delaware statutory trust (?OET?), on behalf of its series identified in Exhibit A hereto (each, an ?Existing Fund? and, collectively, the ?Existing Funds?) and, solely with respect to Section 5 hereof, ALPS Advisors, Inc. |
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| July 18, 2022 |
May 12, 2022 State Street Bank and Trust Company Channel Center, CCB7 One Iron Street Boston, MA 02210 Attention: Patrick Arthur, AVP Re: ALPS ETF Trust (the ?Trust?) Ladies and Gentlemen: Please be advised that the undersigned Trust has established four new series (the ?Portfolio?) of shares to be known as follows: ALPS | O?Shares U. |
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| July 18, 2022 |
February 16, 2022 State Street Bank and Trust Company Channel Center, CCB7 One Iron Street Boston, MA 02210 Attention: Patrick Arthur, AVP Re: ALPS ETF Trust (the ?Fund?) Ladies and Gentlemen: Please be advised that the undersigned Trust has established four new series (the ?Portfolio?) of shares to be known as follows: ALPS | O?Shares U. |
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| July 18, 2022 |
As filed with the Securities and Exchange Commission on July 18, 2022 As filed with the Securities and Exchange Commission on July 18, 2022 File No. 333-263500 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [X] Pre-Effective Amendment No. [ ] Post-Effective Amendment No. 1 [X] ALPS ETF Trust (Exact Name of Registrant as Specified in Charter) 1290 Broadway Suite 1000 Denver, Co |
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| July 18, 2022 |
Opinions of Dechert LLP with respect to tax matters (filed herewith). Three Bryant Park 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www. |
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| July 18, 2022 |
Amendment to REPORT MODERNIZATION ADDENDUM to Amended and Restated Administration Agreement This Amendment (this "Amendment") dated February 16, 2022, is to the Report Modernization Addendum (the "Addendum") dated June 4, 2018, as amended to the Amended and Restated Administration Agreement dated March 6, 2017, as amended (the "Agreement"), by and between ALPS Advisors, Inc. |
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| July 18, 2022 |
Amendment to LIQUDITY RISK MANAGEMENT ADDENDUM to Amended and Restated Administration Agreement This Amendment (this ?Amendment?) dated February 16, 2022, is to the Liquidity Risk Management Addendum (the ?Addendum?) dated December 1, 2018, as amended to the Amended and Restated Administration Agreement dated March 6, 2017, as amended (the ?Agreement?), by and between ALPS Advisors, Inc. |
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| June 21, 2022 | ||
| May 18, 2022 | ||
| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
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| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
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| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
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| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
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| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
|
| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
|
| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
|
| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
|
| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
|
| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
|
| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
|
| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
|
| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
|
| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
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| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
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| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
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| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
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| April 29, 2022 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2022 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2022 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (30. |
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| April 20, 2022 |
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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identification No.) 1290 Broadway, Suite 1000, D |
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| April 8, 2022 |
Form of Opinion of Dechert LLP with respect to tax matters (filed herewith). ? Three Bryant Park 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www. |
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| April 8, 2022 |
As filed with the Securities and Exchange Commission on April 8, 2022 As filed with the Securities and Exchange Commission on April 8, 2022 File No. 333-263500 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 X Post-Effective Amendment No. [ ] ALPS ETF Trust (Exact name of Registrant as Specified in Charter) 1290 Broadway Suite 1000 Denver, Colorado |
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| April 8, 2022 |
Consent of independent registered public accounting firm (filed herewith). ? CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Registration Statement on Form N-14 of the ALPS ETF Trust and to the use of our report dated August 25, 2021 on the financial statements and financial highlights of O'Shares U. |
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| April 7, 2022 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| April 5, 2022 |
ALPS ETF Trust 1290 Broadway Suite 1000 Denver, Colorado 80203 April 5, 2022 ALPS ETF Trust 1290 Broadway Suite 1000 Denver, Colorado 80203 April 5, 2022 VIA EDGAR U. |
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| April 5, 2022 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| March 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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| March 18, 2022 |
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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identification No.) 1290 Broadway, Suite 1000, D |
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| March 17, 2022 |
RFFC / RiverFront Dynamic US Flex-Cap 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. )* RiverFront Dynamic US Flex-Cap ETF 00162Q510 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 fi |
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| March 17, 2022 |
RFCI / RiverFront Dynamic Core Income 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. )* RiverFront Dynamic US Dividend AD ETF 00162Q536 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 |
|
| March 17, 2022 |
RFDA / RiverFront Dynamic US Dividend Advantage 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. )* RiverFront Dynamic US Dividend AD ETF 00162Q528 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 |
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| March 11, 2022 |
Powers of attorney for Mary K. Anstine, Jeremy W. Deems, Edmund J. Burke, and Rick A. Pederson.(16). We, the undersigned Trustees of the following investment company: ALPS ETF Trust hereby severally constitute and appoint Brendan Hamill and Kathryn Burns with full power of substitution, and with full power to sign for us and in our names in the appropriate capacities, any Registration Statements on Form N-14; all Pre-Effective Amendments to said Registration Statements; all subsequent Post-Effect |
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| March 11, 2022 |
(11) Opinion of Counsel Regarding Legality of the Securities Being Registered 1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| March 11, 2022 |
Consent of independent registered public accounting firm (filed herewith). CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Registration Statement on Form N-14 of the OSI ETF Trust and to the use of our report dated August 25, 2021 on the financial statements and financial highlights of O'Shares U. |
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| March 11, 2022 |
As filed with the Securities and Exchange Commission on March 11, 2022 As filed with the Securities and Exchange Commission on March 11, 2022 File No. [ ] 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. [ ] ALPS ETF Trust (Exact name of Registrant as Specified in Charter) 1290 Broadway Suite 1000 Denver, Colorado 80203 |
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| January 19, 2022 |
ALPS ETF TRUST 1290 Broadway, Suite 1000 Denver, CO 80203 ALPS ETF TRUST 1290 Broadway, Suite 1000 Denver, CO 80203 January 19, 2022 Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
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| October 29, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (34. |
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| October 22, 2021 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE Arca hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on November 02, 2021, pursuant to the provisions of Rule 12d2-2 (a). |
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| September 2, 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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identification No.) 1290 Broadway, Suite 1000, D |
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| September 2, 2021 |
New York Stock Exchange 11 Wall Street New York, NY 10005 September 2, 2021 Chief, Information Technology Securities and Exchange Commission Division of Corporate Finance 100 F Street, NE MS 3040 Washington, DC 20549 To whom it may concern: The NYSE Arca certifies its approval for listing and registration of the ALPS Global Travel Beneficiaries ETF, shares of beneficial interest, of ALPS ETF Trust under the Exchange Act of 1934. |
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| August 31, 2021 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
|
| August 25, 2021 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
|
| July 14, 2021 |
New York Stock Exchange 11 Wall Street New York, NY 10005 July 14, 2021 Chief, Information Technology Securities and Exchange Commission Division of Corporate Finance 100 F Street, NE MS 3040 Washington, DC 20549 To whom it may concern: The NYSE Arca certifies its approval for listing and registration of the ALPS Hillman Active Value ETF, shares of beneficial interest, of ALPS ETF Trust under the Exchange Act of 1934. |
|
| July 14, 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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identification No.) 1290 Broadway, Suite 1000, D |
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| June 25, 2021 |
VIA EDGAR June 25, 2021 ALPS ETF Trust 1290 Broadway Suite 1000 Denver, Colorado 80203 Securities and Exchange Commission 100 F Street, NE Washington, D. |
|
| June 17, 2021 |
ALPS ETF TRUST 1290 Broadway, Suite 1000 Denver, CO 80203 ALPS ETF TRUST 1290 Broadway, Suite 1000 Denver, CO 80203 June 17, 2021 Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D. |
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| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 27, 2021 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 28, 2021 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 28, 2021 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (33. |
|
| April 14, 2021 |
ALPS ETF TRUST 1290 Broadway, Suite 1000 Denver, CO 80203 COVER 2 filename2.htm ALPS ETF TRUST 1290 Broadway, Suite 1000 Denver, CO 80203 April 14, 2021 Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D.C. 20549 Re: ALPS ETF Trust (the “Trust”) (File Nos. 333-148826; 811-22175) Dear Sir or Madam: An electronic (“EDGAR”) filing is hereby made under the Securities Act of 1933, as amended (the “1933 Act”), a |
|
| March 26, 2021 |
begin 644 DTEC032521.pdf M)5!$1BTQ+C<-"B6UM;6U#0HQ(# @;V)J#0H\/"]4>7!E+T-A=&%L;V'1'4W1A=&4\/"]'4S8@-B P(%(O1U,Y(#D@,"!2/CXO1F]N M=#P\+T8Q(#<@,"!2+T8R(#$P(# @4B]&,R Q,B P(%(O1C0@,34@,"!2+T8U M(#$W(# @4CX^+U!R;V-3971;+U!$1B]497AT+TEM86=E0B]);6%G94,O26UA M9V5)72 ^/B]-961I84)O>%L@," P(#8Q,B W.3)=("]#;VYT96YTQVTH((1[*$,IHF7:V M9+C\^ST^;I-T$M,V-0(8DTEL?\??N=K)^'15WGZ8W93DR9/Q:5G.;CX6[\F; M\71YW8\7Y?C%.Y |
|
| March 26, 2021 |
begin 644 ACES032521.pdf M)5!$1BTQ+C<-"B6UM;6U#0HQ(# @;V)J#0H\/"]4>7!E+T-A=&%L;V'1'4W1A=&4\/"]'4S8@-B P(%(O1U,Y(#D@,"!2/CXO1F]N M=#P\+T8Q(#<@,"!2+T8R(#$P(# @4B]&,R Q,B P(%(O1C0@,34@,"!2+T8U M(#$W(# @4CX^+U!R;V-3971;+U!$1B]497AT+TEM86=E0B]);6%G94,O26UA M9V5)72 ^/B]-961I84)O>%L@," P(#8Q,B W.3)=("]#;VYT96YT)=#.L/397WS:3*MR;-GP].ZGDP5Q) MN^%XF;Z/$5E:X#Q"1'%A 9(4N?DAN(2"8.]K83N&K+(':QS?!WO!A^,^];Q25- M |
|
| March 24, 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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identification No.) 1290 Broadway, Suite 1000, D |
|
| March 24, 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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identification No.) 1290 Broadway, Suite 1000, D |
|
| March 19, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-34040 Issuer: ALPS ETF Trust Exchange: Cboe BZX Exchange, Inc. (Exact name of Issuer as specified in its charter and name of Exchange where securities are listed and/or registe |
|
| March 19, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-34040 Issuer: ALPS ETF Trust Exchange: Cboe BZX Exchange, Inc. (Exact name of Issuer as specified in its charter and name of Exchange where securities are listed and/or registe |
|
| February 24, 2021 |
begin 644 8ACertREIT.pdf M)5!$1BTQ+C8-)>+CS],-"C0R(# @;V)J#3P\+TQI;F5AF4@-SDO5'EP92]84F5F+U=;,2 S(#%=/CYS=')E86T-"FC>8F)D M8!!@8&)@8-H#(AFG@,DJ$,DL#Q;"V9;@]EB8-( 3"J 22LPR0HF-X/U@DUC MW %LP+C @,"XP(#8Q,BXP(#<" W-R P(%(O365D:6%" M;WA;,"XP(# N," V,3(N," W.3(N,%TO4&%R96YT(#0P(# @4B]297-O=7)C M97,\/"]#;VQO7!E+U!A9V4^/@UE;F1O8FH-#4@,"!O8FH-/#PO1FEL=&5R M+T9L871E1&5C;V1E+T9I7!E+T]B M:E-T;3X^[U2A 0T)+0DI |
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| February 22, 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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identification No.) 1290 Broadway, Suite 1000, D |
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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. )* RiverFront Dynamic US Flex-Cap ETF 00162Q510 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 fi |
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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. )* RiverFront Dynamic Unconstrained Income ETF 00162Q544 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 sh |
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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. )* RiverFront Dynamic US Dividend AD ETF 00162Q528 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 |
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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. )* RiverFront Dynamic US Dividend AD ETF 00162Q536 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 |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ALPS Clean Energy ETF (Name of Issuer) Shares of Beneficial Interest (Title of Class of Securities) 00162Q460 (CUSIP Number) Gregory Campbell, Chief Compliance Officer, 181 W Madison, Chicago, IL 60602 (312) 368-7773 (Name, Address and Telephone Number of |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ALPS Clean Energy ETF (Name of Issuer) Shares of Beneficial Interest (Title of Class of Securities) 00162Q460 (CUSIP Number) Gregory Campbell, Chief Compliance Officer, 181 W Madison, Chicago, IL 60602 (312) 368-7773 (Name, Address and Telephone Number of |
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| February 12, 2021 |
VIA EDGAR February 12, 2021 ALPS ETF Trust 1290 Broadway Suite 1000 Denver, Colorado 80203 Securities and Exchange Commission 100 F Street, NE Washington, D. |
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| December 22, 2020 |
Page 1 of 1 VIA EDGAR December 22, 2020 ALPS ETF Trust 1290 Broadway Suite 1000 Denver, Colorado 80203 Securities and Exchange Commission 100 F Street, NE Washington, D. |
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| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| October 28, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments August 31, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| October 8, 2020 |
ALPS ETF TRUST 1290 Broadway, Suite 1000 Denver, CO 80203 ALPS ETF TRUST 1290 Broadway, Suite 1000 Denver, CO 80203 October 8, 2020 Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D. |
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| July 27, 2020 |
RFCI / RiverFront Dynamic Core Income ETF / BB&T CORP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1394 (Amendment No. )* RIVERFRONT DYNAMIC CORE INCO 00162Q536 June 30, 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 out f |
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| July 24, 2020 |
RFDA / RiverFront Dynamic US Dividend Advantage ETF / BB&T CORP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1394 (Amendment No. )* RiverFront Dynamic US DV ETF 00162Q528 June 30, 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 out f |
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| July 24, 2020 |
RFFC / RiverFront Dynamic US Flex-Cap ETF / BB&T CORP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1394 (Amendment No. )* RiverFront Dynamic US Flex-Cap ETF 00162Q510 June 30, 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 |
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| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| April 27, 2020 |
ALPS ETF Trust Notes to Quarterly Schedules of Investments February 29, 2020 (Unaudited) Alerian Energy Infrastructure ETF Schedule of Investments As of February 29, 2020 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (36. |
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| March 27, 2020 |
VIA EDGAR March 27, 2020 ALPS ETF Trust 1290 Broadway Suite 1000 Denver, Colorado 80203 March 27, 2020 Securities and Exchange Commission 100 F Street, NE Washington, D. |
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| February 3, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ALPS Clean Energy ETF (Name of Issuer) Shares of Beneficial Interest (Title of Class of Securities) 00162Q460 (CUSIP Number) Clinton Ward, Chief Compliance Officer, 3290 Northside Parkway, 7th Floor, Atlanta, GA 30327 (404)881-3401 (Name, Address and Tele |
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| February 3, 2020 |
SC 13G/A 1 aces13g-2019.txt ALPS CLEAN ENERGY UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ALPS Clean Energy ETF (Name of Issuer) Shares of Beneficial Interest (Title of Class of Securities) 00162Q460 (CUSIP Number) Clinton Ward, Chief Compliance Officer, 3290 Northside Parkway, 7th Floor, Atlanta, |
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| January 28, 2020 |
January 28, 2020 Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D. |
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| October 25, 2019 |
EQL / Alps Etf Tr Equal Sector Weight Etf NPORT-EX - - Alerian Energy Infrastructure ETF Schedule of Investments As of August 31, 2019 (Unaudited) Security Description Shares Value CANADIAN ENERGY INFRASTRUCTURE COMPANIES (32. |
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| July 22, 2019 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE Arca hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on August 2, 2019 pursuant to the provisions of Rule 12d2-2 (a). |
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| July 22, 2019 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE Arca hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on August 2, 2019 pursuant to the provisions of Rule 12d2-2 (a). |
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| April 29, 2019 |
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 May 10, 2019, pursuant to the provisions of Rule 12d2-2 (a). |
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| April 26, 2019 |
EX-99.CERT 2 fp0041337ex99cert.htm Exhibit 99.Cert CERTIFICATION I, Edmund J. Burke, President and Principal Executive Officer of ALPS ETF Trust, certify that: 1. I have reviewed this report on Form N-Q of ALPS ETF Trust (the “registrant”); 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 statement |
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| April 26, 2019 |
EQL / Alps Etf Tr Equal Sector Weight Etf N-Q (Quarterly Schedule of Portfolio Holdings) 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: 811-22175 ALPS ETF TRUST (Exact name of registrant as specified in charter) 1290 Broadway, Suite 1100, Denver, Colorado 80203 (Address of principal executive offices) (Zip code) Sharon Akselrod, Ass |
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| March 15, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 ALERIAN ENERGY INFRASTRUCTURE ETF - (NAME OF ISSUER) SHARES OF BENEFICIAL INTEREST - (TITLE OF CLASS OF SECURITIES) 00162Q676 - (CUSIP NUMBER) February 28, 2019 - (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) CHECK THE APPROPRIATE BOX TO DESIGNATE THE RULE PURSUA |
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| March 4, 2019 |
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 March 15, 2019, pursuant to the provisions of Rule 12d2-2 (a). |
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| February 8, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ALPS Clean Energy ETF (Name of Issuer) Shares of Beneficial Interest (Title of Class of Securities) 00162Q460 (CUSIP Number) Clinton Ward, Chief Compliance Officer, 3290 Northside Parkway, 7th Floor, Atlanta, GA 30327 (404)881-3401 (Name, Address and Tele |
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| February 8, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ALPS Clean Energy ETF (Name of Issuer) Shares of Beneficial Interest (Title of Class of Securities) 00162Q460 (CUSIP Number) Clinton Ward, Chief Compliance Officer, 3290 Northside Parkway, 7th Floor, Atlanta, GA 30327 (404)881-3401 (Name, Address and Tele |
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| October 29, 2018 |
Exhibit 99.Cert CERTIFICATION I, Edmund J. Burke, President and Principal Executive Officer of ALPS ETF Trust, certify that: 1. I have reviewed this report on Form N-Q of ALPS ETF Trust (the “registrant”); 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 circumstanc |
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| October 29, 2018 |
EQL / Alps Etf Tr Equal Sector Weight Etf N-Q (Quarterly Schedule of Portfolio Holdings) N-Q 1 fp0036610nq.htm 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: 811-22175 ALPS ETF TRUST (Exact name of registrant as specified in charter) 1290 Broadway, Suite 1100, Denver, Colorado 80203 (Address of principal executive offices) (Zip code |
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| September 26, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ALPS Clean Energy ETF (Name of Issuer) Shares of Beneficial Interest (Title of Class of Securities) 00162Q460 (CUSIP Number) Clinton Ward, Chief Compliance Officer, 3290 Northside Parkway, 7th Floor, Atlanta, GA 30327 (404)881-3401 (Name, Address and Tele |
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| August 9, 2018 |
EQL / Alps Etf Tr Equal Sector Weight Etf DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION RE QUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, f |
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| July 18, 2018 |
EQL / Alps Etf Tr Equal Sector Weight Etf DEFA14A DEFA14A 1 fp0034576defa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION RE QUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Prox |
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| July 5, 2018 |
EQL / Alps Etf Tr Equal Sector Weight Etf DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION RE QUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, f |
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| June 18, 2018 |
EQL / Alps Etf Tr Equal Sector Weight Etf REGISTRATION/LISTING OF A CLASS OF SECURITIES 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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identification No.) 1290 Broadway, Suite 1100, D |
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| June 1, 2018 |
EQL / Alps Etf Tr Equal Sector Weight Etf DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION RE QUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, f |
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| May 30, 2018 |
EQL / Alps Etf Tr Equal Sector Weight Etf CORRESP CORRESP 1 filename1.htm May 30, 2018 VIA EDGAR Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Attention: Samantha Brutlag, Division of Investment Management RE: ALPS ETF Trust (the “Registrant”) File Nos. 333-148826, 811-22175 Dear Ms. Brutlag: Set forth in the numbered paragraphs below are the Staff’s oral comments provided on May 21, 2018 to Post-Effective Amendment N |
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| May 29, 2018 |
EQL / Alps Etf Tr Equal Sector Weight Etf CORRESP CORRESP 1 filename1.htm alps etf trust 1290 Broadway Suite 1100 Denver, Colorado 80203 VIA EDGAR May 29, 2018 Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-0504 Attention: Samantha Brutlag, Division of Investment Management Re: ALPS ETF Trust Registration Statement on Form N-1A SEC File Nos. 333-148826; 811-22175 Dear Ms. Brutlag: Pu |
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| May 23, 2018 |
EQL / Alps Etf Tr Equal Sector Weight Etf DEFA14A DEFA14A 1 fp0033618defa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION RE QUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Prox |
|
| May 7, 2018 |
EQL / Alps Etf Tr Equal Sector Weight Etf DEFA14A DEFA14A 1 fp0033327defa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION RE QUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Prox |
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| April 27, 2018 |
Exhibit 99.Cert CERTIFICATION I, Edmund J. Burke, President and Principal Executive Officer of ALPS ETF Trust, certify that: 1. I have reviewed this report on Form N-Q of ALPS ETF Trust (the “registrant”); 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 circumstanc |
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| April 27, 2018 |
EQL / Alps Etf Tr Equal Sector Weight Etf N-Q (Quarterly Schedule of Portfolio Holdings) 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: 811-22175 ALPS ETF TRUST (Exact name of registrant as specified in charter) 1290 Broadway, Suite 1100, Denver, Colorado 80203 (Address of principal executive offices) (Zip code) Andrea E. Kuchli, Se |
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| April 11, 2018 |
EQL / Alps Etf Tr Equal Sector Weight Etf DEF 14A 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 [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| April 6, 2018 |
April 6, 2018 Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D. |
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| April 4, 2018 |
EQL / Alps Etf Tr Equal Sector Weight Etf CORRESP Skadden, Arps, Slate, Meagher & Flom llp 155 North Wacker Drive Chicago, Illinois 60606-1720 TEL: (312) 407-0700 FAX: (312) 407-0411 www. |
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| March 23, 2018 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] March 23, 2018 [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] March 23, 2018 Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 RE: ALPS ETF Trust (File No. |
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| March 23, 2018 |
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 [ ] Check the appropriate box: [X] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| January 29, 2018 |
alpse77b.htm - Generated by SEC Publisher for SEC Filing REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Shareholders and Board of Trustees of ALPS ETF Trust: In planning and performing our audit of the financial statements of ALPS ETF Trust (the ?Trust?), comprised of the as of the Cohen & Steers Global Realty Majors ETF, ALPS Equal Sector Weight ETF, Barron?s 400SM ETF, ALPS Secto |
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| December 27, 2017 |
EQL / Alps Etf Tr Equal Sector Weight Etf 2B 8-A12B 1 fp00298758a12b.htm 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 ALPS ETF Trust (Exact name of registrant as specified in its charter) Delaware See Item 1. (State of incorporation or organization) (I.R.S. Employer Identification No.) |
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| October 24, 2017 |
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: 811-22175 ALPS ETF TRUST (Exact name of registrant as specified in charter) 1290 Broadway, Suite 1100, Denver, Colorado 80203 (Address of principal executive offices) (Zip code) Andrea E. Kuchli, As |
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| October 24, 2017 |
EX-99.CERT 2 fp0028641ex99cert.htm Exhibit 99.Cert CERTIFICATION I, Thomas A. Carter, President and Principal Executive Officer of ALPS ETF Trust, certify that: 1. I have reviewed this report on Form N-Q of ALPS ETF Trust (the “registrant”); 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 statemen |
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| July 26, 2017 |
exhibit77q1dsub-itemdisclosu.htm - Generated by SEC Publisher for SEC Filing Sub-Item 77I and 77Q1(d): During the six-month period ended May 31, 2017, ALPS ETF Trust (the ?Registrant?) offered the following series: Series Registration Statement ALPS/Dorsey Wright Sector Momentum ETF (SWIN) Post-Effective Amendment No. 280 (SEC Accession No. 0001398344-17-000147) Post-Effective Amendment No. 284 in |
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| July 26, 2017 |
exhibit77isub-itemdisclosure.htm - Generated by SEC Publisher for SEC Filing Sub-Item 77I and 77Q1(d): During the six-month period ended May 31, 2017, ALPS ETF Trust (the ?Registrant?) offered the following series: Series Registration Statement ALPS/Dorsey Wright Sector Momentum ETF (SWIN) Post-Effective Amendment No. 280 (SEC Accession No. 0001398344-17-000147) Post-Effective Amendment No. 284 in |
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| July 26, 2017 |
exhibit77q1e-subitemneworame.htm - Generated by SEC Publisher for SEC Filing AETF N-SAR 5.31.17 Sub-Item 77 Q1(e): Copies of any new or amended Registrant investment advisory contracts Investment Advisory Agreement dated January 6, 2017, between the Registrant and ALPS Advisors, Inc., on behalf of the ALPS/Dorsey Wright Sector Momentum ETF, is hereby incorporated by reference to Exhibit (d)(28) to |
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| June 29, 2017 |
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 July 10, 2017, pursuant to the provisions of Rule 12d2-2 (a). |
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| June 2, 2017 |
ALPS ETF EXIT FILING (Passive Acquisition of More Than 5% of Shares) rfda_60217.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Riverfront Dynamic US Dividend Advantage (Name of Issuer) Exchange Traded Fund (Title of Class of Securities) 00162Q528 (CUSIP Number) May 31, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua |
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| June 2, 2017 |
ALPS ETF EXIT FILING (Passive Acquisition of More Than 5% of Shares) rffc60217.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Riverfront Dynamic US Flex-Cap ETF (Name of Issuer) Exchange Traded Fund (Title of Class of Securities) 00162Q510 (CUSIP Number) May 31, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to w |
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| June 2, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Alps ETF Trust (Name of Issuer) Exchange Traded Fund (Title of Class of Securities) 00162Q544 (CUSIP Number) May 31, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] R |
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| May 11, 2017 |
ALPS ETF 3G (Passive Acquisition of More Than 5% of Shares) rfun51117.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 ALPS ETF Trust (Name of Issuer) Exchange Traded Fund (Title of Class of Securities) 00162Q 544 (CUSIP Number) May 01, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
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| April 25, 2017 |
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: 811-22175 ALPS ETF TRUST (Exact name of registrant as specified in charter) 1290 Broadway, Suite 1100, Denver, Colorado 80203 (Address of principal executive offices) (Zip code) Andrea E. Kuchli, As |
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| April 25, 2017 | ||
| April 5, 2017 |
ALPS ETF TRUST 1290 Broadway Suite 1100 Denver, Colorado 80203 April 5, 2017 Securities and Exchange Commission 100 F Street, NE Washington, D. |
