الإحصائيات الأساسية
| LEI | 549300C5D73JL0P1YC11 |
| CIK | 1683471 |
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 Listed Funds Trust - Horizon Kinetics Blockchain Development ETF
SEC Filings (Chronological Order)
توفر هذه الصفحة قائمة كاملة ومرتبة ترتيبًا زمنيًا لتصريحات هيئة الأوراق المالية والبورصات، باستثناء تصريحات الملكية التي نقدمها في مكان آخر.
| August 20, 2025 |
LISTED FUNDS TRUST 615 East Michigan Street Milwaukee, Wisconsin 53202 Filed by Hennessy Funds Trust (811-07168) pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934, as amended Subject Company: Listed Funds Trust (811-23226) LISTED FUNDS TRUST 615 East Michigan Street Milwaukee, Wisconsin 53202 866-590-9112 www. |
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| August 15, 2025 |
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)) ☐ Definitive Proxy State |
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| August 13, 2025 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE* STATED SECURITIES Cboe BZX Exchange, Inc. |
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| June 16, 2025 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE Arca hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on June 27, 2025, pursuant to the provisions of Rule 12d2-2 (a). |
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| May 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 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)) ☐ Definitive |
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| May 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 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)) ☐ Definitive |
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| May 5, 2025 |
As filed with the Securities and Exchange Commission on May 5, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 2, 2025 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 May 2, 2025 VIA EDGAR TRANSMISSION Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Listed Funds Trust (the “Trust”) Securities Act Registration No. 333-215588 Investment Company Act Reg. No. 811-23226 Dear Sir or Madam: |
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| April 15, 2025 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 April 15, 2025 Mr. Christopher R. Bellacicco U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) Securities Act Registration No. 333-215588 Investment Company Act Registration No. 811-23226 Dear |
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| April 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 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 |
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| April 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 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 |
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| April 14, 2025 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this document of our report dated February 28, 2025 relating to the financial statements and financial highlights of The Opal Dividend Income ETF, RiverNorth Enhanced Pre‐Merger SPAC ETF, RiverNorth Patriot ETF, TrueShares Active Yield ETF, TrueShares Eagle Global Renewable Energy Income |
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| April 14, 2025 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this document of our report dated February 28, 2025 relating to the financial statements and financial highlights of TrueShares Structured Outcome (January) ETF, TrueShares Structured Outcome (February) ETF, TrueShares Structured Outcome (March) ETF, TrueShares Structured Outcome (April) |
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| April 11, 2025 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 April 11, 2025 Mr. Brian Szilagyi, CPA U.S. Securities and Exchange Commission Division of Investment Management, Disclosure Review and Accounting Office 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) File No. 811-23226 Dear Mr. Szilagyi: This correspondence respo |
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| April 8, 2025 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 April 8, 2025 Mr. Christopher R. Bellacicco U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) File No. 811-23226 Dear Mr. Bellacicco: This correspondence responds to the comments the Trust rece |
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| April 4, 2025 |
As filed with the Securities and Exchange Commission on April 4, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 20, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 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 |
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| March 20, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 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 |
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| March 18, 2025 |
As filed with the Securities and Exchange Commission on March 18, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 13, 2025 |
As filed with the Securities and Exchange Commission on March 13, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 6, 2025 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 March 6, 2025 Ms. Lauren Hamilton U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) File Nos. 333-215588 and 811-23226 Dear Ms. Hamilton: This letter responds to comments you provided telephoni |
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| January 28, 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 001-38243 Listed Funds Trust NASDAQ Stock Market, LLC (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or registered) 615 E. Mi |
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| January 28, 2025 |
As filed with the Securities and Exchange Commission on January 28, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| January 21, 2025 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE Arca hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on February 03, 2025, pursuant to the provisions of Rule 12d2-2 (a). |
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| January 7, 2025 |
As filed with the Securities and Exchange Commission on January 7, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| December 30, 2024 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 December 30, 2024 Mr. Chris Bellacicco U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) Securities Act Registration No. 333-215588 Investment Company Act Reg. No. 811-23226 Dear Mr. Bellacicco |
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| December 20, 2024 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 December 20, 2024 Mr. Chris Bellacicco U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) Securities Act Registration No. 333-215588 Investment Company Act Reg. No. 811-23226 Dear Mr. Bellacicco |
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| December 20, 2024 |
As filed with the Securities and Exchange Commission on December 20, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| December 17, 2024 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 December 17, 2024 Mr. Ryan Sutcliffe U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) File Nos. 333-215588 and 811-23226 Fortuna Hedged Bitcoin Fund (the “Fund”) Dear Mr. Sutcliffe: This corre |
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| December 13, 2024 |
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 001-38243 Listed Funds Trust NYSE Arca, Inc. (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or registered) 615 E. Michigan St |
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| December 13, 2024 |
8-A12B 1 alexis8-a12b.htm 8-A12B ALEXIS PRACTICAL TACTICAL ETF As filed with the Securities and Exchange Commission on December 13, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Listed Funds Trust (Exact name of registrant as specified in |
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| December 11, 2024 |
8-A12B 1 teucriumagfunds8-a12b.htm 8-A12B TEUCRIUM ETFS As filed with the Securities and Exchange Commission on December 11, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Listed Funds Trust (Exact name of registrant as specified in its ch |
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| December 9, 2024 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 December 9, 2024 Mr. Daniel Greenspan U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) Securities Act Registration No. 333-215588 Investment Company Act Reg. No. 811-23226 Dear Mr. Greenspan: |
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| December 6, 2024 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 December 6, 2024 Ms. Valerie Lithotomos U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) File No. 811-23226 Clough Hedged Equity ETF and Clough Select Equity ETF (each a “Fund” and collectivel |
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| December 6, 2024 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 December 6, 2024 Mr. Daniel Greenspan U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) File Nos. 333-215588 and 811-23226 Fortuna Hedged Bitcoin Fund (the “Fund”) Dear Mr. Greenspan: This corr |
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| December 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 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 |
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| December 3, 2024 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 December 3, 2024 Mr. Daniel Greenspan U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) Securities Act Registration No. 333-215588 Investment Company Act Reg. No. 811-23226 Dear Mr. Greenspan: |
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| November 29, 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 December 10, 2024, pursuant to the provisions of Rule 12d2-2 (a). |
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| November 27, 2024 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 November 27, 2024 Mr. Daniel Greenspan U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) Securities Act Registration No. 333-215588 Investment Company Act Reg. No. 811-23226 Dear Mr. Greenspan: |
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| November 19, 2024 |
As filed with the Securities and Exchange Commission on November 19, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 19, 2024 |
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 001-38243 Listed Funds Trust NYSE Arca, Inc. (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or registered) 615 E. Michigan St |
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| November 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 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 |
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| November 14, 2024 |
SC 13G 1 mags111424.htm MONEY CONCEPTS CAPITAL CORP UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 LISTED FUNDS TRUST (Name of Issuer) EXCHANGE TRADED PRODUCT (Title of Class of Securities) 53656G498 (CUSIP Number) September 30, 2024 (Date of Event which Requires Filing of this Statement) Check the appropriate box to d |
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| November 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 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 |
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| September 18, 2024 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 September 18, 2024 VIA EDGAR TRANSMISSION Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Listed Funds Trust (the “Trust”) Securities Act Registration No. 333-215588 Investment Company Act Reg. No. 811-23226 Ladies and |
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| September 13, 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 September 24, 2024, pursuant to the provisions of Rule 12d2-2 (a). |
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| August 26, 2024 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 26, 2024 (August 21, 2024) LISTED FUNDS TRUST (Exact name of registrant as specified in its charter) Delaware 811-23226 See List Below (State or other jurisdiction of incorpora |
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| June 14, 2024 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 June 14, 2024 Ms. Valerie Lithotomos U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) File Nos. 333-215588 and 811-23226 Roundhill Video Games ETF (“NERD”) Roundhill Sports Betting & iGaming E |
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| June 6, 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 June 17, 2024, pursuant to the provisions of Rule 12d2-2 (a). |
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| May 9, 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 May 20, 2024, pursuant to the provisions of Rule 12d2-2 (a). |
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| April 25, 2024 |
As filed with the Securities and Exchange Commission on April 25, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 24, 2024 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 April 24, 2024 Ms. Valerie Lithotomos U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) File Nos. 333-215588 and 811-23226 Roundhill Video Games ETF (“NERD”) Roundhill Sports Betting & iGaming |
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| March 15, 2024 |
As filed with the Securities and Exchange Commission on March 15, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 8, 2024 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 March 8, 2024 Ms. Lauren Hamilton U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) File Nos. 333-215588 and 811-23226 Dear Ms. Hamilton: This letter responds to comments you provided telephoni |
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| February 23, 2024 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 February 23, 2024 VIA EDGAR TRANSMISSION Ms. Valerie Lithotomos Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Listed Funds Trust (the “Trust”) Securities Act Registration No. 333-215588 Investment Company Act Reg. No. |
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| February 22, 2024 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 February 22, 2024 VIA EDGAR TRANSMISSION Mr. Ryan Sutcliffe U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) File Nos.: 333-215588 and 811-23226 Roundhill BIG Defense ETF (the “Fund”) (S000079 |
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| February 21, 2024 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 February 21, 2024 VIA EDGAR TRANSMISSION Ms. Valerie Lithotomos Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Listed Funds Trust (the “Trust”) Securities Act Registration No. 333-215588 Investment Company Act Reg. No. |
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| January 23, 2024 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 January 23, 2024 Ms. Valerie Lithotomos U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) File No. 811-23226 Opportunistic Trader ETF (the “Fund”) Dear Ms. Lithotomos: This correspondence respo |
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| December 27, 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 January 08, 2024, pursuant to the provisions of Rule 12d2-2 (a). |
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| December 15, 2023 |
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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| December 14, 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 December 26, 2023, pursuant to the provisions of Rule 12d2-2 (a). |
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| November 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 December 11, 2023, pursuant to the provisions of Rule 12d2-2 (a). |
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| November 27, 2023 |
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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| November 24, 2023 |
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 001-38243 Listed Funds Trust NYSE Arca, Inc. (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or registered) 615 E. Michigan St |
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| November 22, 2023 |
As filed with the Securities and Exchange Commission on November 22, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 2, 2023 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 November 2, 2023 VIA EDGAR TRANSMISSION Mr. Ryan Sutcliffe U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) File Nos.: 333-179562 and 811-22668 Roundhill BIG Oil ETF (S000079580) Roundhill BIG |
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| November 2, 2023 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 November 2, 2023 VIA EDGAR TRANSMISSION Mr. Ryan Sutcliffe U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) File Nos.: 333-179562 and 811-22668 Roundhill BIG Pharma ETF (S0000 Roundhill BIG Ho |
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| November 2, 2023 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 November 2, 2023 VIA EDGAR TRANSMISSION Mr. Ryan Sutcliffe U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) File Nos.: 333-179562 and 811-22668 Roundhill BIG Pharma ETF (S0000 Roundhill BIG Ho |
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| October 31, 2023 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 October 31, 2023 VIA EDGAR TRANSMISSION Mr. Ryan Sutcliffe U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) File Nos.: 333-179562 and 811-22668 Roundhill BIG Pharma ETF (S0000 Roundhill BIG Ho |
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| September 29, 2023 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 September 29, 2023 VIA EDGAR TRANSMISSION Ms. Valerie Lithotomos U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) File Nos.: 333-215588 and 811-23226 Roundhill Ether Strategy ETF (S000081201) |
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| September 18, 2023 |
As filed with the Securities and Exchange Commission on September 18, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 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 September 08, 2023, pursuant to the provisions of Rule 12d2-2 (a). |
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| August 21, 2023 |
As filed with the Securities and Exchange Commission on August 21, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 15, 2023 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 August 15, 2023 VIA EDGAR TRANSMISSION Ms. Valerie Lithotomos U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) File Nos.: 333-179562 and 811-22668 Roundhill Non-Profitable Tech ETF (S000080784 |
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| July 31, 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 11, 2023, pursuant to the provisions of Rule 12d2-2 (a). |
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| June 30, 2023 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 June 30, 2023 Ms. Megan Miller U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) File Nos. 333-215588 and 811-23226 Dear Ms. Miller: This correspondence responds to the comments you provided th |
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| June 2, 2023 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 June 2, 2023 VIA EDGAR TRANSMISSION Mr. Daniel Greenspan U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) File Nos.: 333-179562 and 811-22668 Roundhill Bitcoin Futures ETF (the “Fund”) Dear Mr |
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| May 24, 2023 |
LISTED FUNDS TRUST 615 East Michigan Street | Milwaukee, Wisconsin 53202 LISTED FUNDS TRUST 615 East Michigan Street | Milwaukee, Wisconsin 53202 May 24, 2023 VIA EDGAR U. |
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| May 24, 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 June 05, 2023, pursuant to the provisions of Rule 12d2-2 (a). |
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| May 24, 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 June 05, 2023, pursuant to the provisions of Rule 12d2-2 (a). |
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| April 25, 2023 |
Swan Hedged Equity US Large Cap ETF Schedule of Investments February 28, 2023 (Unaudited) Shares Value INVESTMENT COMPANIES — 91. |
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| April 25, 2023 |
B.A.D. ETF Schedule of Investments February 28, 2023 (Unaudited) Shares Value COMMON STOCKS — 99.6% Beverages-Wine/Spirits — 13.0% Brown-Forman Corp. - Class B 3,462 $ 224,580 Cia Cervecerias Unidas SA - ADR (b) 19,903 302,128 Diageo PLC - ADR (b) 1,260 218,030 MGP Ingredients, Inc. 2,033 206,228 The Duckhorn Portfolio, Inc. (a) 14,185 216,321 1,167,287 Brewery — 12.4% Ambev SA - ADR (b) 80,350 20 |
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| April 25, 2023 |
NPORT-EX 2 umma.htm Wahed Dow Jones Islamic World ETF Schedule of Investments February 28, 2023 (Unaudited) Shares Value COMMON STOCKS - 99.7% (b) Aerospace and Defense - 0.7% Safran SA 1,832 $ 260,263 Apparel and Textile Products - 3.1% adidas AG 934 140,315 Compagnie Financière Richemont SA 2,797 423,019 Hermès International 180 327,472 Kering SA 372 218,951 1,109,757 Automotive - 1.5% BYD Co. L |
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| April 25, 2023 |
NPORT-EX 2 hlal.htm Wahed FTSE USA Shariah ETF Schedule of Investments February 28, 2023 (Unaudited) Shares Value COMMON STOCKS — 98.3% Administrative and Support Services — 0.3% Baker Hughes Co. 12,965 $ 396,729 Robert Half International, Inc. 1,406 113,352 Rollins, Inc. 3,142 110,598 RXO, Inc. (a) 1,400 28,798 649,477 Air Transportation — 0.1% Delta Air Lines, Inc. (a) 2,170 83,198 United Airlin |
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| April 25, 2023 |
Alexis Practical Tactical ETF Schedule of Investments February 28, 2023 (Unaudited) Shares Value COMMON STOCKS — 15. |
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| April 12, 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 April 24, 2023, pursuant to the provisions of Rule 12d2-2 (a). |
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| April 3, 2023 |
ent of Faegre Drinker Biddle & Reath February 8, 2023 Listed Funds Trust c/o U.S. Bancorp Fund Services, LLC 777 East Wisconsin Avenue, I 0th Floor Milwaukee, Wisconsin 53202 Re: Agreement and Plan of Reorganization by and between Kinetics Mutual Funds, Inc., on behalf of its series, Kinetics Medical Fund and Kinetics Alternative Income Fund, and Listed Funds Trust, on behalf of its series, Horizon Kinetics Medical ETF and Horizon Ki |
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| April 3, 2023 |
Morgan, Lewis & Bockius LLP 1111 Pennsylvania Avenue, NW Washington, DC 20004-2541 www. |
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| April 3, 2023 |
As filed with the Securities and Exchange Commission on April 3, 2023 1933 Act Registration File No. |
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| March 27, 2023 |
NPORT-EX 2 ailv.htm Alpha Intelligent - Large Cap Value ETF Schedule of Investments January 31, 2023 (Unaudited) Shares Value COMMON STOCKS — 98.0% Aerospace/Defense — 2.9% Curtiss-Wright Corp. 71 $ 11,772 Raytheon Technologies Corp. 100 9,985 21,757 Airlines — 1.5% Southwest Airlines Co. 320 11,446 Apparel Manufacturers — 1.1% Tapestry, Inc. 185 8,432 Broadcasting (except Internet) — 1.0% Warner |
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| March 27, 2023 |
Merk Stagflation ETF Consolidated Schedule of Investments January 31, 2023 (Unaudited) Shares Value EXCHANGE TRAEDED PRODUCTS - 100. |
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| March 27, 2023 |
NPORT-EX 2 till.htm Teucrium Agricultural Strategy No K-1 ETF Consolidated Schedule of Investments January 31, 2023 (Unaudited) Shares Value SHORT-TERM INVESTMENTS - 92.8% Money Market Funds - 92.8% First American Government Obligations Fund - Class X, 4.14% (a) 78,687,334 $ 78,687,334 TOTAL SHORT-TERM INVESTMENTS (Cost $78,687,334) 78,687,334 Total Investments (Cost $78,687,334) - 92.8% 78,687,33 |
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| March 27, 2023 |
NPORT-EX 2 ailg.htm Alpha Intelligent - Large Cap Growth ETF Schedule of Investments January 31, 2023 (Unaudited) Shares Value COMMON STOCKS — 95.9% Aerospace/Defense — 0.9% TransDigm Group, Inc. 8 $ 5,742 Applications Software — 11.6% Intuit, Inc. 36 15,216 Microsoft Corp. 200 49,562 ServiceNow, Inc. (a) 27 12,289 77,067 Athletic Footwear — 3.3% Nike, Inc. - Class B 170 21,646 Chemicals - Special |
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| March 27, 2023 |
Changebridge Select Equity ETF Schedule of Investments January 31, 2023 (Unaudited) Shares Value COMMON STOCKS — 94. |
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| March 27, 2023 |
NPORT-EX 2 core.htm Core Alternative ETF Schedule of Investments January 31, 2023 (Unaudited) Shares Value COMMON STOCKS - 97.7% Basic Materials - 4.3% Air Products & Chemicals, Inc. 46,444 $ 14,885,766.00 The Mosaic Co. 181,801 9,006,422 23,892,188 Communications - 6.7% Alphabet, Inc. - Class A (a) 134,357 13,279,846 Cisco Systems, Inc. 211,993 10,317,699 FactSet Research Systems, Inc. 30,903 13, |
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| March 27, 2023 |
NPORT-EX 2 cbls2.htm Changebridge Long/Short Equity ETF Schedule of Investments January 31, 2023 (Unaudited) Shares Value COMMON STOCKS — 92.9% Consumer Discretionary Products — 5.2% indie Semiconductor, Inc. - Class A (a)(d) 22,000 $ 175,340 The Lovesac Co. (a)(d) 3,896 100,283 275,623 Consumer Discretionary Services — 17.6% 2U, Inc. (a)(d) 14,973 129,217 Arcos Dorados Holdings, Inc. - Class A (b |
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| March 27, 2023 |
NPORT-EX 2 oaia.htm Teucrium AiLA Long-Short Agriculture Strategy ETF Consolidated Schedule of Investments January 31, 2023 (Unaudited) Shares Value SHORT-TERM INVESTMENTS - 93.5% Money Market Funds - 93.5% First American Government Obligations Fund - Class X, 4.14% (a) 5,220,429 $ 5,220,429 TOTAL SHORT-TERM INVESTMENTS (Cost $5,220,429) 5,220,429 Total Investments (Cost $5,220,429) - 93.5% 5,220, |
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| March 23, 2023 |
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 001-38243 Listed Funds Trust NYSE Arca, Inc. (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or registered) 615 E. Michigan St |
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| March 13, 2023 |
As filed with the Securities and Exchange Commission on March 13, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 10, 2023 |
As filed with the Securities and Exchange Commission on March 10, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 1, 2023 |
As filed with the Securities and Exchange Commission on March 1, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 24, 2023 |
Dividend Performers ETF Schedule of Investments December 31, 2022 (Unaudited) Shares Value COMMON STOCKS - 116. |
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| February 24, 2023 |
NPORT-EX 2 ippp.htm Preferred-Plus ETF Schedule of Investments December 31, 2022 (Unaudited) Shares Value CLOSED-END FUNDS - 0.2% Cohen & Steers Limited Duration Preferred and Income Fund, Inc. (a) 1,318 $ 25,068 TOTAL CLOSED-END FUNDS (Cost $30,562) 25,068 PREFERRED STOCKS - 108.1% Agriculture - 2.1% CHS, Inc. Series 2, 7.100% (3 Month LIBOR USD + 4.298%), 03/31/2024 (a)(f)(g) 4,443 108,098 Serie |
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| February 24, 2023 |
NPORT-EX 2 tug.htm STF Tactical Growth ETF Schedule of Investments December 31, 2022 (Unaudited) Shares Value COMMON STOCKS — 49.3% Accommodation — 0.2% Marriott International, Inc. - Class A 1,730 $ 257,580 Administrative and Support Services — 0.9% Atlassian Corp. PLC - Class A (a) 816 105,003 Baker Hughes Co. 5,429 160,318 Booking Holdings, Inc. (a) 214 431,270 PayPal Holdings, Inc. (a) 6,230 4 |
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| February 24, 2023 |
STF Tactical Growth & Income ETF Schedule of Investments December 31, 2022 (Unaudited) Shares Value COMMON STOCKS — 48. |
|
| February 23, 2023 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 February 23, 2023 Mr. John Lee Mr. Keith Carpenter U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Registrant”) File Nos. 333-215588 and 811-23226 Roundhill Big Tech ETF (S000079576) Roundhill Big Ai |
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| February 13, 2023 |
As filed with the Securities and Exchange Commission on February 13, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| January 30, 2023 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 January 30, 2023 Ms. Lisa Larkin U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) File Nos. 333-215588 and 811-23226 Horizon Kinetics Energy Remediation ETF (S000079432) Dear Ms. Larkin: This |
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| January 27, 2023 |
Overlay Shares Municipal Bond ETF Schedule of Investments November 30, 2022 (Unaudited) Shares Value INVESTMENT COMPANIES - 99. |
|
| January 27, 2023 |
Overlay Shares Hedged Large Cap Equity ETF Schedule of Investments November 30, 2022 (Unaudited) Shares Value INVESTMENTS COMPANIES - 97. |
|
| January 27, 2023 |
Overlay Shares Small Cap Equity ETF Schedule of Investments November 30, 2022 (Unaudited) Shares Value INVESTMENT COMPANIES - 99. |
|
| January 27, 2023 |
Overlay Shares Core Bond ETF Schedule of Investments November 30, 2022 (Unaudited) Shares Value INVESTMENT COMPANIES - 99. |
|
| January 27, 2023 |
Overlay Shares Large Cap Equity ETF Schedule of Investments November 30, 2022 (Unaudited) Shares Value INVESTMENT COMPANIES - 99. |
|
| January 27, 2023 |
Overlay Shares Short Term Bond ETF Schedule of Investments November 30, 2022 (Unaudited) Shares Value INVESTMENTS COMPANIES - 96. |
|
| January 27, 2023 |
Overlay Shares Foreign Equity ETF Schedule of Investments November 30, 2022 (Unaudited) Shares Value INVESTMENT COMPANIES - 99. |
|
| January 26, 2023 |
As filed with the Securities and Exchange Commission on January 26, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| January 24, 2023 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 January 24, 2023 Mr. Keith Carpenter U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) File Nos. 333-215588 and 811-23226 Roundhill Big Tech ETF (S000079576) Roundhill Big Airlines ETF (S000079 |
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| January 24, 2023 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 January 24, 2023 VIA EDGAR TRANSMISSION Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Listed Funds Trust (the “Trust”) Request for Withdrawal of Amendment to a Registration Statement Securities Act Registration No. 33 |
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| January 6, 2023 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 January 6, 2023 Ms. Lisa Larkin U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) File Nos. 333-215588 and 811-23226 Horizon Kinetics Energy Remediation ETF (S000079432) Dear Ms. Larkin: This c |
|
| December 27, 2022 |
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 001-38243 Listed Funds Trust NYSE Arca, Inc. (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or registered) 615 E. Michigan St |
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| December 27, 2022 |
As filed with the Securities and Exchange Commission on December 27, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| December 27, 2022 |
As filed with the Securities and Exchange Commission on December 27, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| December 27, 2022 |
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 001-38243 Listed Funds Trust NYSE Arca, Inc. (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or registered) 615 E. Michigan St |
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| December 22, 2022 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the references to our firm in this Registration Statement on Form N-14/A of The Horizon Kinetics Medical ETF, The Horizon Kinetics SPAC Active ETF, and Horizon Kinetics AAA-AA Floating Rate Debt CLO ETF, each a series of Listed Funds Trust, under the headings “Independent Registered Public Accounting Firm” and “Other Service Providers” in the Combined Proxy Statement and Prospectus. |
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| December 22, 2022 |
As filed with the U.S. Securities and Exchange Commission on December 22, 2022 1933 Act Registration No. 333-267978 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-14/A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [X] Pre-Effective Amendment No. 2 [ ] Post-Effective Amendment No. (Check appropriate box or boxes.) LISTED FUNDS TRUST (Exact name of registran |
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| December 22, 2022 |
CORRESP 1 filename1.htm LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 December 22, 2022 VIA EDGAR TRANSMISSION Ms. Val Lithotomos Mr. John Lee Mr. John Kernan U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) File Nos. 333-267978 Horizon K |
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| December 22, 2022 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Pre-Effective Amendment No. |
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| December 16, 2022 |
Grizzle Growth ETF Schedule of Investments October 31, 2022 (Unaudited) Shares Value COMMON STOCKS — 97. |
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| December 16, 2022 |
As filed with the Securities and Exchange Commission on December 16, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| December 14, 2022 |
Amendment to Exhibit 10 to the Fund Servicing Agreement AMENDMENT TO THE LISTED FUNDS TRUST FUND SERVICING AGREEMENT THIS AMENDMENT, effective as of the last date on the signature block, to the Fund Servicing Agreement,. |
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| December 14, 2022 |
Amendment to Exhibit 10 to the Custody Agreement AMENDMENT TO THE LISTED FUNDS TRUST CUSTODY AGREEMENT THIS AMENDMENT, effective as of the last date on the signature block, to the Custody Agreement, dated as of April 9, 2019 (the ?Agreement?), as amended, is entered into by and between LISTED FUNDS TRUST, a Delaware statutory trust (the ?Trust?), and U. |
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| December 14, 2022 |
As filed with the U.S. Securities and Exchange Commission on December 14, 2022 1933 Act Registration No. 333-267978 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. 1 [ ] Post-Effective Amendment No. (Check appropriate box or boxes.) LISTED FUNDS TRUST (Exact name of registrant |
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| December 9, 2022 |
Listed Funds Trust c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 December 9, 2022 Mr. Daniel Greenspan U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) File Nos. 333-215588 and 811-23226 Teucrium AiLA Long-Short Agriculture ETF (S000079181) Teucrium AiLA Lo |
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| December 5, 2022 |
As filed with the Securities and Exchange Commission on December 5, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 29, 2022 |
NPORT-EX 2 spear.htm Spear Alpha ETF Schedule of Investments September 30, 2022 (Unaudited) Shares Value COMMON STOCKS — 82.2% Administrative & Support Services — 5.1% Cloudflare, Inc.- Class A (a) 2,748 $ 151,992 Computer & Electronic Product Manufacturing — 16.3% Marvell Technology, Inc. 4,882 209,487 NVIDIA Corp. 2,256 273,856 483,343 Mining (Except Oil & Gas) — 4.5 % Cameco Corp. (b) 5,060 134 |
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| November 29, 2022 |
Roundhill Sports Betting & iGaming ETF Schedule of Investments September 30, 2022 (Unaudited) Shares Value COMMON STOCKS — 99. |
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| November 29, 2022 |
NPORT-EX 2 meme.htm Roundhill MEME ETF Schedule of Investments September 30, 2022 (Unaudited) Shares Value COMMON STOCKS — 99.5% Aerospace & Defense — 7.7% Rocket Lab USA, Inc. (a) 8,485 $ 34,534 Spirit AeroSystems Holdings, Inc. - Class A 1,457 31,937 66,471 Auto Manufacturers — 11.7% Lucid Group, Inc. (a)(d) 2,492 34,813 Nikola Corp. (a)(d) 8,986 31,631 Rivian Automotive, Inc. - Class A (a) 1,04 |
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| November 29, 2022 |
NPORT-EX 2 byte.htm Roundhill IO Digital Infrastructure ETF Schedule of Investments September 30, 2022 (Unaudited) Shares Value COMMON STOCKS — 78.5% Engineering & Construction — 13.4% Cellnex Telecom SA (b)(c) 3,202 $ 99,720 China Tower Corp., Ltd. (b)(c) 668,000 71,481 Infrastrutture Wireless Italiane SpA (b)(c) 1,559 13,700 Sarana Menara Nusantara Tbk PT (b) 487,100 39,505 224,406 Internet — 5. |
|
| November 29, 2022 |
NPORT-EX 2 weed2.htm Roundhill Cannabis ETF Schedule of Investments September 30, 2022 (Unaudited) Shares Value COMMON STOCKS — 23.2% Agriculture — 2.8% 22nd Century Group, Inc. (a) 10,901 $ 10,109 Turning Point Brands, Inc. 905 19,213 Village Farms International, Inc. (a)(b) 4,495 8,585 37,907 Household Products/Wares — 4.1% Cronos Group, Inc. (a)(b) 19,180 54,088 Pharmaceuticals — 15.4% Aurora C |
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| November 29, 2022 |
Roundhill Ball Metaverse ETF Schedule of Investments September 30, 2022 (Unaudited) Shares Value COMMON STOCKS — 99. |
|
| November 29, 2022 |
NPORT-EX 2 nerd.htm Roundhill Video Games ETF Schedule of Investments September 30, 2022 (Unaudited) Shares Value COMMON STOCKS — 99.4% Computers — 1.7% Keywords Studios PLC (b) 17,084 $ 438,247 Internet — 4.1% NCSoft Corp. (b) 2,315 559,859 Webzen, Inc. (a)(b) 22,936 238,065 Wemade Co., Ltd. (b) 8,234 263,589 1,061,513 Software — 72.2% (d) AppLovin Corp. - Class A (a) 23,738 462,653 Capcom Co., L |
|
| November 29, 2022 |
Morgan Creek - Exos Active SPAC Arbitrage ETF Schedule of Investments September 30, 2022 (Unaudited) Shares Value COMMON STOCKS — 90. |
|
| November 28, 2022 |
TrueShares Structured Outcome (August) ETF Schedule of Investments September 30, 2022 (Unaudited) Shares / Principal Amount Value SHORT-TERM INVESTMENTS - 107. |
|
| November 28, 2022 |
TrueShares Structured Outcome (November) ETF Schedule of Investments September 30, 2022 (Unaudited) Shares / Principal Amount Value SHORT-TERM INVESTMENTS - 115. |
|
| November 28, 2022 |
TrueShares Structured Outcome (March) ETF Schedule of Investments September 30, 2022 (Unaudited) Shares / Principal Amount Value SHORT-TERM INVESTMENTS - 110. |
|
| November 28, 2022 |
TrueShares Structured Outcome (February) ETF Schedule of Investments September 30, 2022 (Unaudited) Shares / Principal Amount Value SHORT-TERM INVESTMENTS - 114. |
|
| November 28, 2022 |
TrueShares Structured Outcome (May) ETF Schedule of Investments September 30, 2022 (Unaudited) Shares / Principal Amount Value SHORT-TERM INVESTMENTS - 108. |
|
| November 28, 2022 |
TrueShares Technology, AI & Deep Learning ETF Schedule of Investments September 30, 2022 (Unaudited) Shares Value COMMON STOCKS - 94. |
|
| November 28, 2022 |
NPORT-EX 2 fldz.htm RiverNorth Patriot ETF Schedule of Investments September 30, 2022 (Unaudited) Shares Value COMMON STOCKS - 86.5% Advertising - 0.4% The Trade Desk, Inc. - Class A (a) 228 $ 13,623 Agriculture - 0.5% Altria Group, Inc. 370 14,941 Airlines - 0.4% Southwest Airlines Co. (a) 433 13,354 Banks - 7.7% Bank OZK 143 5,657 BOK Financial Corp. 81 7,198 Citizens Financial Group, Inc. 213 7 |
|
| November 28, 2022 |
TrueShares Structured Outcome (December) ETF Schedule of Investments September 30, 2022 (Unaudited) Shares / Principal Amount Value SHORT-TERM INVESTMENTS - 113. |
|
| November 28, 2022 |
TrueShares Structured Outcome (July) ETF Schedule of Investments September 30, 2022 (Unaudited) Shares / Principal Amount Value SHORT-TERM INVESTMENTS - 101. |
|
| November 28, 2022 |
Horizon Kinetics Blockchain Development ETF Schedule of Investments September 30, 2022 (Unaudited) Shares Value COMMON STOCKS — 98. |
|
| November 28, 2022 |
TrueShares ESG Active Opportunities ETF Schedule of Investments September 30, 2022 (Unaudited) Shares Value COMMON STOCKS - 95. |
|
| November 28, 2022 |
TrueShares Structured Outcome (January) ETF Schedule of Investments September 30, 2022 (Unaudited) Shares / Principal Amount Value SHORT-TERM INVESTMENTS - 120. |
|
| November 28, 2022 |
Horizon Kinetics Inflation Beneficiaries ETF Schedule of Investments September 30, 2022 (Unaudited) Shares Value COMMON STOCKS — 96. |
|
| November 28, 2022 |
TrueShares Low Volatility Equity Income ETF Schedule of Investments September 30, 2022 (Unaudited) Shares Value COMMON STOCKS - 95. |
|
| November 28, 2022 |
RiverNorth Enhanced Pre-Merger SPAC ETF Schedule of Investments September 30, 2022 (Unaudited) Shares Value COMMON STOCKS - 96. |
|
| November 28, 2022 |
TrueShares Structured Outcome (October) ETF Schedule of Investments September 30, 2022 (Unaudited) Shares / Principal Amount Value SHORT-TERM INVESTMENTS - 106. |
|
| November 28, 2022 |
TrueShares Structured Outcome (June) ETF Schedule of Investments September 30, 2022 (Unaudited) Shares / Principal Amount Value SHORT-TERM INVESTMENTS - 107. |
|
| November 28, 2022 |
TrueShares Structured Outcome (September) ETF Schedule of Investments September 30, 2022 (Unaudited) Shares / Principal Amount Value SHORT-TERM INVESTMENTS - 104. |
|
| November 28, 2022 |
TrueShares Structured Outcome (April) ETF Schedule of Investments September 30, 2022 (Unaudited) Shares / Principal Amount Value SHORT-TERM INVESTMENTS - 114. |
|
| November 25, 2022 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 November 25, 2022 VIA EDGAR Ms. Valerie Lithotomas Mr. John Kernan U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) File Nos. 333-267978 Horizon Kinetics Medical ETF (S000078972) Horizon Kinet |
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| November 17, 2022 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 November 17, 2022 VIA EDGAR TRANSMISSION Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Listed Funds Trust (the “Trust”) Securities Act Registration No. 333-215588 Investment Company Act Reg. No. 811-23226 Ladies and G |
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| November 15, 2022 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 November 15, 2022 VIA EDGAR TRANSMISSION Ms. Val Lithotomos United States Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: Delaying Amendment for Listed Funds Trust (the ?Trust?) Registration Statement on Form N-14 File No.: |
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| November 1, 2022 |
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 Commission Only (as permitted by Rule 14c-5(d)(2)) [X] Definitive Information Statement LISTED FUNDS TRUST (Name of Registrant As Specified In Its Charter) Payment of Filing Fee (Check the appropriate box): [X] No fee required [ ] Fee paid previously with preliminary materials [ ] Fee computed on table in exhibit required by Item 25(b) of Schedule 14A (17 CFR 240. |
|
| October 28, 2022 |
Morgan, Lewis & Bockius LLP 1111 Pennsylvania Avenue, NW Washington, DC 20004-2541 www. |
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| October 28, 2022 |
As filed with the Securities and Exchange Commission on October 28, 2022 1933 Act Registration File No. |
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| October 26, 2022 |
As filed with the Securities and Exchange Commission on October 26, 2022 1933 Act Registration File No. |
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| October 26, 2022 |
Morgan, Lewis & Bockius LLP 1111 Pennsylvania Avenue, NW Washington, DC 20004-2541 www. |
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| October 24, 2022 |
NPORT-EX 2 umma.htm Wahed Dow Jones Islamic World ETF Schedule of Investments August 31, 2022 (Unaudited) COMMON STOCKS - 98.2% (b) Aerospace and Defense - 0.6% Safran SA 1,644 $ 168,453 Apparel and Textile Products - 1.7% adidas AG 885 131,956 Hermes International 155 199,891 Kering SA 341 172,475 504,322 Automotive - 1.3% Denso Corp. 2,493 137,594 Ferrari NV 620 120,449 NIO, Inc. - ADR (a) 6,989 |
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| October 24, 2022 |
NPORT-EX 2 hlal.htm Wahed FTSE USA Shariah ETF Schedule of Investments August 31, 2022 (Unaudited) COMMON STOCKS — 98.5% Administrative and Support Services — 0.4% Baker Hughes Co. 9,957 $ 251,514 FleetCor Technologies, Inc. (a) 827 175,762 GXO Logistics, Inc. (a) 1,164 51,658 Robert Half International, Inc. 1,185 91,210 Rollins, Inc. 2,553 86,189 656,333 Air Transportation — 0.0% (d) Delta Air Li |
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| October 24, 2022 |
NPORT-EX 2 lexi.htm Alexis Practical Tactical ETF Schedule of Investments August 31, 2022 (Unaudited) Shares Value COMMON STOCKS — 15.2% Consumer Discretionary — 2.6% Marriott International, Inc. - Class A 1,766 $ 271,505 Tempur Sealy International, Inc. 8,774 219,438 Tesla, Inc. (a) 1,245 343,134 The Home Depot, Inc. 1,610 464,356 1,298,433 Financials — 1.4% Blackstone, Inc. 2,298 215,874 Morgan |
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| October 24, 2022 |
Swan Hedged Equity US Large Cap ETF Schedule of Investments August 31, 2022 (Unaudited) Shares Value INVESTMENT COMPANIES — 84. |
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| October 24, 2022 |
B.A.D. ETF Schedule of Investments August 31, 2022 (Unaudited) Shares Value COMMON STOCKS — 99.8% Beverages - Wine/Spirits — 13.1% Brown-Forman Corp. - Class B 3,073 $ 223,407 Cia Cervecerias Unidas SA - ADR 15,216 166,311 Diageo PLC - ADR 1,169 206,200 MGP Ingredients, Inc. 2,254 246,723 The Duckhorn Portfolio, Inc. (a) 10,308 188,018 1,030,659 Brewery — 13.3% Ambev SA - ADR (b) 77,695 225,316 An |
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| October 21, 2022 |
Listed Funds Trust c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 October 21, 2022 VIA EDGAR TRANSMISSION Division of Investment Management U.S. Securities and Exchange Commission 100 “F” Street, N.E. Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) File Nos.: 333-261819 Dear Sir or Madam: On behalf of the Trust, transmitted herewith for filing i |
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| October 21, 2022 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Registration Statement on Form N-14 of Listed Funds Trust and to the use of our report dated March 1, 2022 on the financial statements and financial highlights of The Medical Fund, The Alternative Income Fund and The Multi-Disciplinary Income Fund, each a series of shares of Kinetics Mutual Funds, Inc. |
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| October 21, 2022 |
As filed with the U.S. Securities and Exchange Commission on October 21, 2022 1933 Act Registration No. 333-[ ] UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [ ] Pre-Effective Amendment No. [ ] Post-Effective Amendment No. (Check appropriate box or boxes.) LISTED FUNDS TRUST (Exact name of registrant as spe |
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| October 21, 2022 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the references to our firm in this Registration Statement on Form N-14 of The Horizon Kinetics Medical ETF, The Horizon Kinetics SPAC Active ETF, and Horizon Kinetics AAA-AA Floating Rate Debt CLO ETF, each a series of Listed Funds Trust, under the headings “Independent Registered Public Accounting Firm” and “Other Service Providers” in the Combined Proxy Statement and Prospectus. |
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| October 21, 2022 |
SCHEDULE A to the INVESTMENT ADVISORY AGREEMENT Dated December 27, 2020 between LISTED FUNDS TRUST and Horizon Kinetics Asset Management LLC The Trust will pay to the Adviser, as compensation for the Adviser’s services rendered, a fee computed daily at an annual rate based on the average daily net assets of the Fund in accordance with the following fee schedule: Fund Rate Horizon Kinetics Inflation Fighters ETF 0. |
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| October 21, 2022 |
SCHEDULE 14C INFORMATION INFORMATION STATEMENT PURSUANT TO SECTION 14(C) OF THE SECURITIES EXCHANGE ACT OF 1934 Check the appropriate box: [X] Preliminary Information Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) [ ] Definitive Information Statement LISTED FUNDS TRUST (Name of Registrant As Specified In Its Charter) Payment of Filing Fee (Check the appropriate box): [X] No fee required [ ] Fee paid previously with preliminary materials [ ] Fee computed on table in exhibit required by Item 25(b) of Schedule 14A (17 CFR 240. |
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| October 21, 2022 |
LISTED FUNDS TRUST INVESTMENT SUB-ADVISORY AGREEMENT with RYAN HERITAGE, LLP INVESTMENT SUB-ADVISORY AGREEMENT (the “Agreement”) is made as of this 14th day of September, 2022 by and among Horizon Kinetics Asset Management LLC, a Delaware limited liability company with its principal place of business at 470 South Park Avenue South, 3rd Floor South, New York, New York 10016 (the “Adviser”), LISTED FUNDS TRUST (the “Trust”), and Ryan Heritage, LLP, a Delaware limited liability partnership with its principal place of business located at 250 Pehle Avenue, Suite 708, Saddle Brook, New Jersey 07663 (the “Sub-Adviser”). |
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| October 21, 2022 |
is incorporated herein by reference to Exhibit (11) to the Registra October 21, 2022 Listed Funds Trust 615 East Michigan Street Milwaukee, Wisconsin 53202 Re: Registration Statement on Form N-14 Ladies and Gentlemen: We have acted as counsel to Listed Funds Trust, a Delaware statutory trust (the “Trust”), on behalf of the Horizon Kinetics Medical ETF, the Horizon Kinetics SPAC Active ETF, and the Horizon Kinetics AAA-AA Floating Rate Debt CLO ETF (collectively, the “Acquiring Funds”), separate series of the Trust, in connection with the Trust’s Registration Statement on Form N-14 pursuant to the Securities Act of 1933, as amended (the “Securities Act”), to be filed with the U. |
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| October 21, 2022 |
Morgan, Lewis & Bockius llp 1111 Pennsylvania Avenue, NW Washington, DC 20004-2541 www. |
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| October 17, 2022 |
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 28, 2022, pursuant to the provisions of Rule 12d2-2 (a). |
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| September 26, 2022 |
Alpha Intelligent - Large Cap Value ETF Schedule of Investments July 31, 2022 (Unaudited) Shares Value COMMON STOCKS — 97. |
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| September 26, 2022 |
Core Alternative ETF Schedule of Investments July 31, 2022 (Unaudited) Shares Value COMMON STOCKS - 98. |
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| September 26, 2022 |
Changebridge Capital Sustainable Equity ETF Schedule of Investments July 31, 2022 (Unaudited) Shares Value COMMON STOCKS — 94. |
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| September 26, 2022 |
Merk Stagflation ETF Consolidated Schedule of Investments July 31, 2022 (Unaudited) Shares Value INVESTMENT COMPANIES - 100. |
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| September 26, 2022 |
Teucrium Agricultural Strategy No K-1 ETF Consolidated Schedule of Investments July 31, 2022 (Unaudited) Shares Value SHORT-TERM INVESTMENTS - 92. |
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| September 26, 2022 |
Alpha Intelligent - Large Cap Growth ETF Schedule of Investments July 31, 2022 (Unaudited) Shares Value COMMON STOCKS — 95. |
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| September 26, 2022 |
Changebridge Capital Long/Short Equity ETF Schedule of Investments July 31, 2022 (Unaudited) Shares Value COMMON STOCKS — 95. |
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| September 19, 2022 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 September 19, 2022 VIA EDGAR TRANSMISSION Mr. Christian Sandoe Ms. Lisa Larkin U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the ?Trust?) File Nos.: 333-179562 and 811-22668 Roundhill TRAX ETFs Dear Mr. |
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| August 26, 2022 |
STF Tactical Growth ETF Schedule of Investments June 30, 2022 (Unaudited) Shares Value COMMON STOCKS — 9. |
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| August 26, 2022 |
STF Tactical Growth & Income ETF Schedule of Investments June 30, 2022 (Unaudited) Shares Value COMMON STOCKS - 10. |
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| August 26, 2022 |
Dividend Performers ETF Schedule of Investments June 30, 2022 (Unaudited) Shares Value COMMON STOCKS — 114. |
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| August 26, 2022 |
Preferred-Plus ETF Schedule of Investments June 30, 2022 (Unaudited) Shares Value CLOSED-END FUNDS - 0. |
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| August 19, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement. o Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)). x Defi |
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| August 18, 2022 |
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 29, 2022, pursuant to the provisions of Rule 12d2-2 (a). |
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| August 10, 2022 |
Listed Funds Trust 615 East Michigan Street | Milwaukee, Wisconsin 53202 Listed Funds Trust 615 East Michigan Street | Milwaukee, Wisconsin 53202 August 10, 2022 Ms. |
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| August 10, 2022 |
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. 1) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement. o Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)). o De |
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| August 10, 2022 |
COVER 2 filename2.htm LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 August 10, 2022 VIA EDGAR TRANSMISSION U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) Securities Act Registration No. 333-215588 Investment Company Act Reg. No. 811-232 |
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| July 29, 2022 |
As filed with the Securities and Exchange Commission on July 29, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 27, 2022 |
Overlay Shares Hedged Large Cap Equity ETF Schedule of Investments May 31, 2022 (Unaudited) Shares Value INVESTMENT COMPANIES - 99. |
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| July 27, 2022 |
Overlay Shares Municipal Bond ETF Schedule of Investments May 31, 2022 (Unaudited) Shares Value INVESTMENT COMPANIES - 99. |
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| July 27, 2022 |
Overlay Shares Short Term Bond ETF Schedule of Investments May 31, 2022 (Unaudited) Shares Value INVESTMENT COMPANIES - 99. |
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| July 27, 2022 |
Overlay Shares Small Cap Equity ETF Schedule of Investments May 31, 2022 (Unaudited) Shares Value IINVESTMENT COMPANIES - 99. |
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| July 27, 2022 |
Overlay Shares Core Bond ETF Schedule of Investments May 31, 2022 (Unaudited) Shares Value INVESTMENT COMPANIES - 99. |
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| July 27, 2022 |
Overlay Shares Large Cap Equity ETF Schedule of Investments May 31, 2022 (Unaudited) Shares Value INVESTMENT COMPANIES - 99. |
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| July 27, 2022 |
Overlay Shares Foreign Equity ETF Schedule of Investments May 31, 2022 (Unaudited) Shares Value INVESTMENT COMPANIES - 99. |
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| July 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement. o Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)). o Def |
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| July 21, 2022 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 July 21, 2022 VIA EDGAR TRANSMISSION U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) Securities Act Registration No. 333-215588 Investment Company Act Reg. No. 811-23226 Dear Sir or Madam: On |
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| July 11, 2022 |
As filed with the Securities and Exchange Commission on July 11, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| June 23, 2022 |
Grizzle Growth ETF Schedule of Investments April 30, 2022 (Unaudited) Shares Value COMMON STOCKS — 97. |
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| June 23, 2022 |
AAF First Priority CLO Bond ETF Schedule of Investments April 30, 2022 (Unaudited) Principal Amount Value COLLATERALIZED LOAN OBLIGATIONS - 96. |
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| June 17, 2022 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 June 17, 2022 Ms. Valerie Lithotomos U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) RiverNorth SPAC Focus ETF (the “Fund”) File Nos. 333-215588 and 811-23226 Dear Ms. Lithotomos: This corres |
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| May 27, 2022 |
Horizon Kinetics Inflation Beneficiaries ETF Schedule of Investments March 31, 2022 (Unaudited) Shares Value COMMON STOCKS — 96. |
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| May 27, 2022 |
Roundhill MEME ETF Schedule of Investments March 31, 2022 (Unaudited) Shares Value COMMON STOCKS — 99. |
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| May 27, 2022 |
Roundhill Pro Sports Media & Apparel ETF Schedule of Investments March 31, 2022 (Unaudited) Shares Value SHORT-TERM INVESTMENTS — 99. |
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| May 27, 2022 |
Spear Alpha ETF Schedule of Investments March 31, 2022 (Unaudited) Shares Value COMMON STOCKS — 87. |
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| May 27, 2022 |
Roundhill Streaming Services & Technology ETF Schedule of Investments March 31, 2022 (Unaudited) Shares Value SHORT-TERM INVESTMENTS — 100. |
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| May 27, 2022 |
Roundhill Sports Betting & iGaming ETF Schedule of Investments March 31, 2022 (Unaudited) Shares Value COMMON STOCKS — 99. |
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| May 27, 2022 |
Morgan Creek - Exos SPAC Originated ETF Schedule of Investments March 31, 2022 (Unaudited) Shares Value COMMON STOCKS - 97. |
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| May 27, 2022 |
Morgan Creek - Exos Active SPAC Arbitrage ETF Schedule of Investments March 31, 2022 (Unaudited) Shares Value COMMON STOCKS - 94. |
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| May 27, 2022 |
Roundhill IO Digital Infrastructure ETF Schedule of Investments March 31, 2022 (Unaudited) Shares Value COMMON STOCKS — 75. |
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| May 27, 2022 |
Roundhill Ball Metaverse ETF Schedule of Investments March 31, 2022 (Unaudited) Shares Value COMMON STOCKS ? 99. |
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| May 27, 2022 |
Roundhill BITKRAFT Esports & Digital Entertainment ETF Schedule of Investments March 31, 2022 (Unaudited) Shares Value COMMON STOCKS — 99. |
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| May 26, 2022 |
TrueShares Structured Outcome (September) ETF Schedule of Investments March 31, 2022 (Unaudited) Shares / Principal Amount Value SHORT-TERM INVESTMENTS - 98. |
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| May 26, 2022 |
TrueShares Structured Outcome (May) ETF Schedule of Investments March 31, 2022 (Unaudited) Shares / Principal Amount Value SHORT-TERM INVESTMENTS - 93. |
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| May 26, 2022 |
TrueShares Structured Outcome (January) ETF Schedule of Investments March 31, 2022 (Unaudited) Shares / Principal Amount Value SHORT-TERM INVESTMENTS - 102. |
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| May 26, 2022 |
TrueShares Low Volatility Equity Income ETF Schedule of Investments March 31, 2022 (Unaudited) Shares Value COMMON STOCKS - 97. |
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| May 26, 2022 |
TrueShares Structured Outcome (December) ETF Schedule of Investments March 31, 2022 (Unaudited) Shares / Principal Amount Value SHORT-TERM INVESTMENTS - 98. |
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| May 26, 2022 |
TrueShares Structured Outcome (April) ETF Schedule of Investments March 31, 2022 (Unaudited) Shares Value INVESTMENT COMPANIES - 78. |
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| May 26, 2022 |
TrueShares Structured Outcome (February) ETF Schedule of Investments March 31, 2022 (Unaudited) Shares / Principal Amount Value SHORT-TERM INVESTMENTS - 99. |
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| May 26, 2022 |
TrueShares Structured Outcome (November) ETF Schedule of Investments March 31, 2022 (Unaudited) Shares / Principal Amount Value SHORT-TERM INVESTMENTS - 100. |
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| May 26, 2022 |
TrueShares ESG Active Opportunities ETF Schedule of Investments March 31, 2022 (Unaudited) Shares Value COMMON STOCKS - 94. |
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| May 26, 2022 |
TrueShares Structured Outcome (June) ETF Schedule of Investments March 31, 2022 (Unaudited) Shares / Principal Amount Value SHORT-TERM INVESTMENTS - 93. |
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| May 26, 2022 |
TrueShares Structured Outcome (July) ETF Schedule of Investments March 31, 2022 (Unaudited) Shares / Principal Amount Value SHORT-TERM INVESTMENTS - 95. |
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| May 26, 2022 |
TrueShares Structured Outcome (August) ETF Schedule of Investments March 31, 2022 (Unaudited) Shares / Principal Amount Value SHORT-TERM INVESTMENTS - 96. |
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| May 26, 2022 |
TrueShares Structured Outcome (March) ETF Schedule of Investments March 31, 2022 (Unaudited) Shares / Principal Amount Value SHORT-TERM INVESTMENTS - 95. |
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| May 26, 2022 |
TrueShares Technology, AI & Deep Learning ETF Schedule of Investments March 31, 2022 (Unaudited) Shares Value COMMON STOCKS - 96. |
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| May 26, 2022 |
TrueShares Structured Outcome (October) ETF Schedule of Investments March 31, 2022 (Unaudited) Shares / Principal Amount Value SHORT-TERM INVESTMENTS - 95. |
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| May 26, 2022 |
RiverNorth Patriot ETF Schedule of Investments March 31, 2022 (Unaudited) Shares Value COMMON STOCKS - 86. |
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| May 16, 2022 |
As filed with the Securities and Exchange Commission on May 16, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 12, 2022 |
As filed with the Securities and Exchange Commission on May 12, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 5, 2022 |
Listed Funds Trust c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 May 5, 2022 Ms. Valerie Lithotomos U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the “Trust”) File Nos. 333-215588 and 811-23226 TUG + Income & Nasdaq-100® ETF TUG & Nasdaq-100® ETF (each, a “Fund” and |
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| May 5, 2022 |
LISTED FUNDS TRUST c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street | Milwaukee, Wisconsin 53202 May 5, 2022 VIA EDGAR TRANSMISSION Ms. Valerie Lithotomos U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Listed Funds Trust (the ?Trust?) File Nos.: 333-179562 and 811-22668 Roundhill Digital Payments ETF (the ?Fund?) Dear |
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| May 2, 2022 |
As filed with the Securities and Exchange Commission on May 2, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 28, 2022 |
Swan Hedged Equity US Large Cap ETF Schedule of Investments February 28, 2022 (Unaudited) Shares Value INVESTMENT COMPANIES — 87. |
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| April 28, 2022 |
Alexis Practical Tactical ETF Schedule of Investments February 28, 2022 (Unaudited) Shares Value COMMON STOCKS — 18. |
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| April 28, 2022 |
Wahed FTSE USA Shariah ETF Schedule of Investments February 28, 2022 (Unaudited) Shares Value COMMON STOCKS — 98. |
