UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-A
FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES
PURSUANT TO SECTION 12(b) or (g) OF THE
SECURITIES EXCHANGE ACT OF 1934
HARTFORD FUNDS EXCHANGE-TRADED TRUST
(Exact name of registrant as specified in its charter)
State of Delaware |
| See Below |
(State of incorporation |
| (I.R.S. Employer |
690 Lee Road
Wayne, Pennsylvania 19087
(Address of principal executive offices)
Securities to be registered pursuant to Section 12(b) of the Act:
Title of Each Class |
| Name of the Exchange on which Each Class is to be so |
| I.R.S. Employer |
Shares of beneficial interest, no par value per share, of: |
|
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Hartford Municipal Opportunities ETF |
| NYSE Arca, Inc. |
| 82-1911110 |
Hartford Schroders Tax-Aware Bond ETF |
| NYSE Arca, Inc. |
| 82-1959543 |
Hartford Total Return Bond ETF |
| NYSE Arca, Inc. |
| 82-1059347 |
If this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General Instruction A.(c), check the following box. x
If this form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d), check the following box. o
Securities Act registration statement file number to which this form relates: 333-215165
Securities to be registered pursuant to Section 12(g) of the Exchange Act: None.
INFORMATION REQUIRED IN REGISTRATION STATEMENT
Item 1. Description of Registrant’s Securities to be Registered.
A description of the shares of beneficial interest of each of Hartford Municipal Opportunities ETF and Hartford Schroders Tax-Aware Bond ETF, each a series of Hartford Funds Exchange-Traded Trust (the “Trust”) to be registered hereunder, is set forth in Post-Effective Amendments No. 8 and 9, respectively, to the Trust’s Registration Statement on Form N-1A (Commission File Nos. 333-215165; 811-23222) filed on September 11, 2017, which description is incorporated herein by reference as filed with the Securities and Exchange Commission. A description of the shares of beneficial interest of Hartford Total Return Bond ETF, a series of Trust to be registered hereunder, is set forth in Post-Effective Amendment No. 10 to the Trust’s Registration Statement on Form N-1A (Commission File Nos. 333-215165; 811-23222) filed on September 15, 2017, which description is incorporated herein by reference as filed with the Securities and Exchange Commission. Any form of amendment or supplement to the registration statement that is subsequently filed is hereby also incorporated by reference herein.
Item 2. Exhibits.
1. The Trust’s Certificate of Trust is included as Exhibit (a)(i) to Pre-Effective Amendment No. 1 to the Trust’s Registration Statement on Form N-1A (File No. 333-215165), as filed with the Securities and Exchange Commission on March 10, 2017.
2. The Trust’s Certificate of Amendment to the Certificate of Trust is included as Exhibit (a)(ii) to Pre-Effective Amendment No. 1 to the Trust’s Registration Statement on Form N-1A (File No. 333-215165), as filed with the Securities and Exchange Commission on March 10, 2017.
3. The Trust’s Amended and Restated Agreement and Declaration of Trust is included as Exhibit (a)(iii) to Pre-Effective Amendment No. 1 to the Trust’s Registration Statement on Form N-1A (File No. 333-215165), as filed with the Securities and Exchange Commission on March 10, 2017.
4. The Trust’s By-Laws are included as Exhibit (b) to Pre-Effective Amendment No. 1 to Pre-Effective Amendment No. 1 to the Trust’s Registration Statement on Form N-1A (File No. 333-215165), as filed with the Securities and Exchange Commission on March 10, 2017.
SIGNATURE
Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the Registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereto duly authorized, as of this 26th day of September, 2017.
| HARTFORD FUNDS EXCHANGE-TRADED TRUST | |
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| By: | /s/ Alice A. Pellegrino |
| Name: | Alice A. Pellegrino |
| Title: | Secretary and Vice President |